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Derong Kong

Publications and source records attributed to Derong Kong.

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On the continuity of the Hausdorff dimension of the univoque set

In a recent paper [Adv. Math. 305:165--196, 2017], Komornik et al.~proved a long-conjectured formula for the Hausdorff dimension of the set $\mathcal{U}_q$ of numbers having a unique expansion in the (non-integer) base $q$, and showed that this Hausdorff dimension is continuous in $q$. Unfortunately, their proof contained a gap which appears difficult to fix. This article gives a completely different proof of these results, using a more direct combinatorial approach.

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The $β$-transformation with a hole at 0

For $β\in(1,2]$ the $β$-transformation $T_β: [0,1) \to [0,1)$ is defined by $T_β( x) = βx \pmod 1$. For $t\in[0, 1)$ let $K_β(t)$ be the survivor set of $T_β$ with hole $(0,t)$ given by \[K_β(t):=\{x\in[0, 1): T_β^n(x)\not \in (0, t) \textrm{ for all }n\ge 0\}.\] In this paper we characterise the bifurcation set $E_β$ of all parameters $t\in[0,1)$ for which the set valued function $t\mapsto K_β(t)$ is not locally constant. We show that $E_β$ is a Lebesgue null set of full Hausdorff dimension for all $β\in(1,2)$. We prove that for Lebesgue almost every $β\in(1,2)$ the bifurcation set $E_β$ contains both infinitely many isolated and accumulation points arbitrarily close to zero. On the other hand, we show that the set of $β\in(1,2)$ for which $E_β$ contains no isolated points has zero Hausdorff dimension. These results contrast with the situation for $E_2$, the bifurcation set of the doubling map. Finally, we give for each $β\in (1,2)$ a lower and upper bound for the value $τ_β$, such that the Hausdorff dimension of $K_β(t)$ is positive if and only if $t< τ_β$. We show that $τ_β\le 1-\frac1β$ for all $β\in (1,2)$.

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Entropy, topological transitivity, and dimensional properties of unique $q$-expansions

Let $M$ be a positive integer and $q \in(1,M+1].$ We consider expansions of real numbers in base $q$ over the alphabet $\{0,\ldots, M\}$. In particular, we study the set $\mathcal{U}_{q}$ of real numbers with a unique $q$-expansion, and the set $\mathbf{U}_q$ of corresponding sequences. It was shown in (Komornik et al, 2017 Adv. Math.) that the function $H$, which associates to each $q\in(1, M+1]$ the topological entropy of $\mathcal{U}_q$, is a Devil's staircase. In this paper we explicitly determine the plateaus of $H$, and characterize the bifurcation set $\mathcal E$ of $q$'s where the function $H$ is not locally constant. Moreover, we show that $\mathcal E$ is a Cantor set of full Hausdorff dimension. We also investigate the topological transitivity of a naturally occurring subshift $(\mathbf{V}_q, σ),$ which has a close connection with open dynamical systems. Finally, we prove that the Hausdorff dimension and box dimension of $\mathcal{U}_q$ coincide for all $q\in(1,M+1]$.

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Numbers with simply normal $β$-expansions

In [Bak] the first author proved that for any $β\in (1,β_{KL})$ every $x\in(0,\frac{1}{β-1})$ has a simply normal $β$-expansion, where $β_{KL}\approx 1.78723$ is the Komornik-Loreti constant. This result is complemented by an observation made in [JSS], where it was shown that whenever $β\in (β_T, 2]$ there exists an $x\in(0,\frac{1}{β-1})$ with a unique $β$-expansion, and this expansion is not simply normal. Here $β_T\approx 1.80194$ is the unique zero in $(1,2]$ of the polynomial $x^3-x^2-2x+1$. This leaves a gap in our understanding within the interval $[β_{KL}, β_T]$. In this paper we fill this gap and prove that for any $β\in (1,β_T],$ every $x\in(0,\frac{1}{β-1})$ has a simply normal $β$-expansion. For completion, we provide a proof that for any $β\in(1,2)$, Lebesgue almost every $x$ has a simply normal $β$-expansion. We also give examples of $x$ with multiple $β$-expansions, none of which are simply normal. Our proofs rely on ideas from combinatorics on words and dynamical systems.

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Univoque bases and Hausdorff dimension

Given a positive integer $M$ and a real number $q >1$, a \emph{$q$-expansion} of a real number $x$ is a sequence $(c_i)=c_1c_2\cdots$ with $(c_i) \in \{0,\ldots,M\}^\infty$ such that \[x=\sum_{i=1}^{\infty} c_iq^{-i}.\] It is well known that if $q \in (1,M+1]$, then each $x \in I_q:=\left[0,M/(q-1)\right]$ has a $q$-expansion. Let $\mathcal{U}=\mathcal{U}(M)$ be the set of \emph{univoque bases} $q>1$ for which $1$ has a unique $q$-expansion. The main object of this paper is to provide new characterizations of $\mathcal{U}$ and to show that the Hausdorff dimension of the set of numbers $x \in I_q$ with a unique $q$-expansion changes the most if $q$ "crosses" a univoque base. Denote by $\mathcal{B}_2=\mathcal{B}_2(M)$ the set of $q \in (1,M+1]$ such that there exist numbers having precisely two distinct $q$-expansions. As a by-product of our results, we obtain an answer to a question of Sidorov (2009) and prove that \[\dim_H(\mathcal{B}_2\cap(q',q'+δ))>0\quad\textrm{for any}\quad δ>0,\] where $q'=q'(M)$ is the Komornik-Loreti constant.

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On small univoque bases of real numbers

Given a positive real number $x$, we consider the smallest base $q_s(x)\in(1,2)$ for which there exists a unique sequence $(d_i)$ of zeros and ones such that \[ x=\sum_{i=1}^\infty\frac{d_i}{(q_s(x))^i}. \] In this paper we give complete characterizations of those $x$'s for which $q_s(x)\le q_{KL}$, where $q_{KL}$ is the Komornik-Loreti constant. Furthermore, we show that $q_s(x)=q_{KL}$ if and only if \[ x\in\left\{1, ~\frac{q_{KL}}{q_{KL}^2-1},~ \frac{1}{q_{KL}^2-1}, ~\frac{1}{q_{KL}(q_{KL}^2-1)}\right\}. \] Finally, we determine the explicit value of $q_s(x)$ if $q_s(x)<q_{KL}$.

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Unique expansions and intersections of Cantor sets

To each $α\in(1/3,1/2)$ we associate the Cantor set $$Γ_α:=\Big\{\sum_{i=1}^{\infty}ε_{i}α^i: ε_i\in\{0,1\},\,i\geq 1\Big\}.$$ In this paper we consider the intersection $Γ_α\cap (Γ_α+ t)$ for any translation $t\in\mathbb{R}$. We pay special attention to those $t$ with a unique $\{-1,0,1\}$ $α$-expansion, and study the set $$D_α:=\{\dim_H(Γ_α\cap (Γ_α+ t)):t \textrm{ has a unique }\{-1,0,1\}\,α\textrm{-expansion}\}.$$ We prove that there exists a transcendental number $α_{KL}\approx 0.39433\ldots$ such that: $D_α$ is finite for $α\in(α_{KL},1/2),$ $D_{α_{KL}}$ is infinitely countable, and $D_α$ contains an interval for $α\in(1/3,α_{KL}).$ We also prove that $D_α$ equals $[0,\frac{\log 2}{-\log α}]$ if and only if $α\in (1/3,\frac {3-\sqrt{5}}{2}].$ As a consequence of our investigation we prove some results on the possible values of $\dim_{H}(Γ_α\cap (Γ_α+ t))$ when $Γ_α\cap (Γ_α+ t)$ is a self-similar set. We also give examples of $t$ with a continuum of $\{-1,0,1\}$ $α$-expansions for which we can explicitly calculate $\dim_{H}(Γ_α\cap(Γ_α+t)),$ and for which $Γ_α\cap (Γ_α+t)$ is a self-similar set. We also construct $α$ and $t$ for which $Γ_α\cap (Γ_α+ t)$ contains only transcendental numbers. Our approach makes use of digit frequency arguments and a lexicographic characterisation of those $t$ with a unique $\{-1,0,1\}$ $α$-expansion.

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Typical points of univoque sets

Given a positive integer $M$ and a real number $q>1$, we consider the univoque set $\mathcal{U}_q$ of reals which have a unique $q$-expansion over the alphabet $\set{0,1,\cdots,M}$. In this paper we show that for any $x\in\mathcal{U}_q$ and all sufficiently small $\varepsilon>0$ the Hausdorff dimension $\dim_H\mathcal{U}_q\cap(x-\varepsilon, x+\varepsilon)$ equals either $\dim_H\mathcal{U}_q$ {or} zero. Moreover, we give a complete description of the typical points $x\in\mathcal{U}_q$ which satisfy \[ \dim_H\mathcal{U}_q\cap(x-\varepsilon, x+\varepsilon)=\dim_H\mathcal{U}_q\quad\textrm{for any}\quad \varepsilon>0, \] and prove that the set of typical points of $\mathcal{U}_q$ has full Hausdorff dimension. In particular, we show that if $\mathcal{U}_q$ is a Cantor set, then all points of $\mathcal{U}_q$ are typical points. This strengthen a result of de Vries and Komornik (Adv. Math., 2009).

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On a problem of countable expansions

For a real number $q\in(1,2)$ and $x\in[0,1/(q-1)]$, the infinite sequence $(d_i)$ is called a \emph{$q$-expansion} of $x$ if $$ x=\sum_{i=1}^\infty\frac{d_i}{q^i},\quad d_i\in\{0,1\}\quad\textrm{for all}~ i\ge 1. $$ For $m=1, 2, \cdots$ or $\aleph_0$ we denote by $\mathcal{B}_m$ the set of $q\in(1,2)$ such that there exists $x\in[0,1/(q-1)]$ having exactly $m$ different $q$-expansions. It was shown by Sidorov (2009) that $q_2:=\min \mathcal{B}_2\approx1.71064$, and later asked by Baker (2015) whether $q_2\in\mathcal{B}_{\aleph_0}$? In this paper we provide a negative answer to this question and conclude that $\mathcal{B}_{\aleph_0} $ is not a closed set. In particular, we give a complete description of $x\in[0,1/(q_2-1)]$ having exactly two different $q_2$-expansions.

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Smallest bases of expansions with multiple digits

Given two positive integers $M$ and $k$, let $\B_k$ be the set of bases $q>1$ such that there exists a real number $x$ having exactly $k$ different $q$-expansions over the alphabet $\{0,1,\cdots,M\}$. In this paper we investigate the smallest base $q_2$ of $\B_2$, and show that if $M=2m$ the smallest base $$q_2 =\frac{m+1+\sqrt{m^2+2m+5}}{2},$$ and if $M=2m-1$ the smallest base $q_2$ is the appropriate root of $$ x^4=(m-1)\,x^3+2 m\, x^2+m \,x+1. $$ Moreover, for $M=2$ we show that $q_2$ is also the smallest base of $\B_k$ for all $k\ge 3$. This turns out to be different from that for $M=1$.

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Hausdorff dimension of univoque sets and Devil's staircase

We fix a positive integer $M$, and we consider expansions in arbitrary real bases $q>1$ over the alphabet $\{0,1,...,M\}$. We denote by $U_q$ the set of real numbers having a unique expansion. Completing many former investigations, we give a formula for the Hausdorff dimension $D(q)$ of $U_q$ for each $q\in (1,\infty)$. Furthermore, we prove that the dimension function $D:(1,\infty)\to[0,1]$ is continuous, and has a bounded variation. Moreover, it has a Devil's staircase behavior in $(q',\infty)$, where $q'$ denotes the Komornik--Loreti constant: although $D(q)>D(q')$ for all $q>q'$, we have $D'<0$ a.e. in $(q',\infty)$. During the proofs we improve and generalize a theorem of Erdős et al. on the existence of large blocks of zeros in $β$-expansions, and we determine for all $M$ the Lebesgue measure and the Hausdorff dimension of the set of bases in which $x=1$ has a unique expansion.

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Hausdorff dimension of unique beta expansions

Given an integer $N\ge 2$ and a real number $β>1$, let $Γ_{β,N}$ be the set of all $x=\sum_{i=1}^\infty {d_i}/{β^i}$ with $d_i\in\{0,1,\cdots,N-1\}$ for all $i\ge 1$. The infinite sequence $(d_i)$ is called a $β$-expansion of $x$. Let $\mathbf{U}_{β,N}$ be the set of all $x$'s in $Γ_{β,N}$ which have unique $β$-expansions. We give explicit formula of the Hausdorff dimension of $\mathbf{U}_{β,N}$ for $β$ in any admissible interval $[{β}_L,{β}_U]$, where ${β_L}$ is a purely Parry number while ${β_U}$ is a transcendental number whose quasi-greedy expansion of $1$ is related to the classical Thue-Morse sequence. This allows us to calculate the Hausdorff dimension of $\U{N}$ for almost every $β>1$. In particular, this improves the main results of G{á}bor Kall{ó}s (1999, 2001). Moreover, we find that the dimension function $f(β)=\dim_H\mathbf{U}_{β,N}$ fluctuates frequently for $β\in(1,N)$.

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On the self similarity of generalized Cantor sets

We consider the self-similar structure of the class of generalized Cantor sets $$Γ_{\mathcal{D}}=\Big\{\sum_{n=1}^\infty d_nβ^{n}: d_n\in D_n, n\ge 1\Big\},$$ where $0<β<1$ and $D_n, n\ge 1,$ are nonempty and finite subsets of $\mathbb{Z}$. We give a necessary and sufficient condition for $Γ_{\mathcal{D}}$ to be a homogeneously generated self similar set. An application to the self-similarity of intersections of generalized Cantor sets will be given.

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Plumes in kinetic transport: how the simple random walk can be too simple

We consider a discrete time particle model for kinetic transport on the two dimensional integer lattice. The particle can move due to advection in the $x$-direction and due to dispersion. This happens when the particle is free, but it can also be adsorbed and then does not move. When the dispersion of the particle is modeled by simple random walk, strange phenomena occur. In the second half of the paper, we resolve these problems and give expressions for the shape of the plume consisting of many particles.

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Intersections of homogeneous Cantor sets and beta-expansions

Let $Γ_{β,N}$ be the $N$-part homogeneous Cantor set with $β\in(1/(2N-1),1/N)$. Any string $(j_\ell)_{\ell=1}^\N$ with $j_\ell\in\{0,\pm 1,...,\pm(N-1)\}$ such that $t=\sum_{\ell=1}^\N j_\ellβ^{\ell-1}(1-β)/(N-1)$ is called a code of $t$. Let $\mathcal{U}_{β,\pm N}$ be the set of $t\in[-1,1]$ having a unique code, and let $\mathcal{S}_{β,\pm N}$ be the set of $t\in\mathcal{U}_{β,\pm N}$ which make the intersection $Γ_{β,N}\cap(Γ_{β,N}+t)$ a self-similar set. We characterize the set $\mathcal{U}_{β,\pm N}$ in a geometrical and algebraical way, and give a sufficient and necessary condition for $t\in\mathcal{S}_{β,\pm N}$. Using techniques from beta-expansions, we show that there is a critical point $β_c\in(1/(2N-1),1/N)$, which is a transcendental number, such that $\mathcal{U}_{β,\pm N}$ has positive Hausdorff dimension if $β\in(1/(2N-1),β_c)$, and contains countably infinite many elements if $β\in(β_c,1/N)$. Moreover, there exists a second critical point $α_c=\big[N+1-\sqrt{(N-1)(N+3)}\,\big]/2\in(1/(2N-1),β_c)$ such that $\mathcal{S}_{β,\pm N}$ has positive Hausdorff dimension if $β\in(1/(2N-1),α_c)$, and contains countably infinite many elements if $β\in[α_c,1/N)$.

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A simple stochastic reactive transport model

We introduce a discrete time microscopic single particle model for kinetic transport. The kinetics is modeled by a two-state Markov chain, the transport by deterministic advection plus a random space step. The position of the particle after $n$ time steps is given by a random sum of space steps, where the size of the sum is given by a Markov binomial distribution (MBD). We prove that by letting the length of the time steps and the intensity of the switching between states tend to zero linearly, we obtain a random variable $S(t)$, which is closely connected to a well known (deterministic) PDE reactive transport model from the civil engineering literature. Our model explains (via bimodality of the MBD) the double peaking behavior of the concentration of the free part of solutes in the PDE model. Moreover, we show for instantaneous injection of the solute that the partial densities of the free and adsorbed part of the solute at time $t$ do exist, and satisfy the partial differential equations.

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Multimodality of the Markov binomial distribution

We study the shape of the probability mass function of the Markov binomial distribution, and give necessary and sufficient conditions for the probability mass function to be unimodal, bimodal or trimodal. These are useful to analyze the double-peaking results from a PDE reactive transport model from the engineering literature. Moreover, we give a closed form expression for the variance of the Markov binomial distribution, and expressions for the mean and the variance conditioned on the state at time $n$.

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