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Cubic collapsibility when a2/3−ba^2/3-ba2/3−b is represented by x2+xy+y2x^2+xy+y^2x2+xy+y2

Proved
CollapsibleCubics.cubic_collapsible_of_normForm_repr

by carlok · Sep 8, 2026 · Mathlib 0df444a (Lean v4.33.1)

algebraalgebraic-numbersnumber-theorypolynomials

Let α∈C\alpha \in \mathbb{C}α∈C be an algebraic number of degree 333 and write its monic minimal polynomial over Q\mathbb{Q}Q as

m(x)  =  x3+ax2+bx+c.m(x) \;=\; x^{3} + a x^{2} + b x + c .m(x)=x3+ax2+bx+c.

Where the degree-333 case sits. Suppose fff is split — degree ≥1\ge 1≥1, nonzero rational leading coefficient, all roots rational — and f(α)=k∈Qf(\alpha) = k \in \mathbb{Q}f(α)=k∈Q. Then m∣f−km \mid f - km∣f−k. A nonzero polynomial of degree 111 or 222 cannot be divisible by the cubic mmm, and f−kf - kf−k is nonzero because deg⁡f≥1\deg f \ge 1degf≥1; so no collapsing polynomial has degree 111 or 222. If deg⁡f=3\deg f = 3degf=3 then f−k=λmf - k = \lambda mf−k=λm with λ\lambdaλ the leading coefficient of fff, so λ−1f=m+k′\lambda^{-1} f = m + k'λ−1f=m+k′ is a monic split cubic for some k′∈Qk' \in \mathbb{Q}k′∈Q; conversely any monic split cubic congruent to a constant modulo mmm collapses α\alphaα. Hence

a collapsing f of degree 3 exists  ⟺  ∃ r1,r2,r3∈Q:  r1+r2+r3=−a,r1r2+r1r3+r2r3=b.\text{a collapsing } f \text{ of degree } 3 \text{ exists} \iff \exists\, r_1,r_2,r_3 \in \mathbb{Q}: \; r_1+r_2+r_3 = -a, \quad r_1r_2+r_1r_3+r_2r_3 = b .a collapsing f of degree 3 exists⟺∃r1​,r2​,r3​∈Q:r1​+r2​+r3​=−a,r1​r2​+r1​r3​+r2​r3​=b.

Substituting ri=ρi−a/3r_i = \rho_i - a/3ri​=ρi​−a/3 removes the quadratic term and the two conditions collapse to a single one: writing ρ1=ρ\rho_1 = \rhoρ1​=ρ, ρ2=σ\rho_2 = \sigmaρ2​=σ, ρ3=−(ρ+σ)\rho_3 = -(\rho+\sigma)ρ3​=−(ρ+σ),

ρ2+ρσ+σ2  =  a23−b.\rho^{2} + \rho\sigma + \sigma^{2} \;=\; \frac{a^{2}}{3} - b .ρ2+ρσ+σ2=3a2​−b.

The left-hand side is the norm form of Q(−3)\mathbb{Q}(\sqrt{-3})Q(−3​) — the norm form of the Eisenstein integers Z[ω]\mathbb{Z}[\omega]Z[ω]. The right-hand side is −d-d−d, where x3+dx+ex^{3} + dx + ex3+dx+e is the depressed cubic obtained from mmm by x↦x−a/3x \mapsto x - a/3x↦x−a/3. So the hypothesis below says exactly: −d-d−d is represented over Q\mathbb{Q}Q by x2+xy+y2x^{2}+xy+y^{2}x2+xy+y2, equivalently (classically) −d-d−d is a norm from Q(−3)\mathbb{Q}(\sqrt{-3})Q(−3​), equivalently −d≥0-d \ge 0−d≥0 and every prime p≡2(mod3)p \equiv 2 \pmod 3p≡2(mod3) occurs in −d-d−d to an even exponent. Since the form is positive definite, d≤0d \le 0d≤0 is necessary; in particular every totally real cubic (Δ=−4d3−27e2>0\Delta = -4d^{3}-27e^{2} > 0Δ=−4d3−27e2>0 forces d<0d < 0d<0) passes the sign test, and every cubic with d>0d > 0d>0 fails it outright.

This statement — the reachable half. It asserts that when the representation exists, α\alphaα is collapsible. The proof is short and constructive, and is given here in full so that the reader can judge the split rather than take it on trust. Given ρ,σ∈Q\rho,\sigma \in \mathbb{Q}ρ,σ∈Q with ρ2+ρσ+σ2=a2/3−b\rho^{2}+\rho\sigma+\sigma^{2} = a^{2}/3 - bρ2+ρσ+σ2=a2/3−b, put

r1=ρ−a3,r2=σ−a3,r3=−(ρ+σ)−a3,f=(x−r1)(x−r2)(x−r3).r_1 = \rho - \tfrac{a}{3}, \qquad r_2 = \sigma - \tfrac{a}{3}, \qquad r_3 = -(\rho+\sigma) - \tfrac{a}{3}, \qquad f = (x-r_1)(x-r_2)(x-r_3).r1​=ρ−3a​,r2​=σ−3a​,r3​=−(ρ+σ)−3a​,f=(x−r1​)(x−r2​)(x−r3​).

Then e1(r)=−ae_1(r) = -ae1​(r)=−a and e2(r)=be_2(r) = be2​(r)=b by the computation above, so f=x3+ax2+bx−e3(r)=m−(c+e3(r))f = x^{3} + a x^{2} + b x - e_3(r) = m - \bigl(c + e_3(r)\bigr)f=x3+ax2+bx−e3​(r)=m−(c+e3​(r)), and therefore

f(α)  =  m(α)−(c+e3(r))  =  −(c+e3(r))∈Q,f(\alpha) \;=\; m(\alpha) - \bigl(c + e_3(r)\bigr) \;=\; -\bigl(c + e_3(r)\bigr) \in \mathbb{Q},f(α)=m(α)−(c+e3​(r))=−(c+e3​(r))∈Q,

while fff is split by construction with deg⁡f=3>0\deg f = 3 > 0degf=3>0. The Lean work is the packaging: the multiset of roots demanded by IsSplit, the degree of a product of three monic linear factors, and the symmetric-function identity.

What this half is worth. It is genuinely easier than the parent, not merely weaker — the argument above is complete. What it retires is the region of cubics that collapse in degree 333; by the equivalence above that is exactly the region where a collapsing polynomial of degree ≤3\le 3≤3 exists at all. Examples: any α\alphaα with α3∈Q\alpha^{3} \in \mathbb{Q}α3∈Q (take ρ=σ=0\rho = \sigma = 0ρ=σ=0, f=x3f = x^{3}f=x3), and, less trivially, the root of x3−3x+10x^{3}-3x+10x3−3x+10, where ρ=σ=1\rho = \sigma = 1ρ=σ=1 gives f=(x−1)2(x+2)=m−8f = (x-1)^{2}(x+2) = m - 8f=(x−1)2(x+2)=m−8.

Non-vacuity, checked and not asserted. Both halves of this split are inhabited, and both witnesses are machine-checked in Lean (including the irreducibility of the two cubics, via the rational root theorem). A root of x3−2x^{3}-2x3−2 satisfies this hypothesis (a=b=0a=b=0a=b=0, take ρ=σ=0\rho=\sigma=0ρ=σ=0); a root of x3+x+1x^{3}+x+1x3+x+1 satisfies its negation (a=0a=0a=0, b=1b=1b=1, so a2/3−b=−1<0a^{2}/3-b = -1 < 0a2/3−b=−1<0, which the positive-definite form never represents), and is the subject of the sibling node CollapsibleCubics.cubic_collapsible_of_not_normForm_repr.

Formalization note. The hypothesis IsIntegral ℚ α is carried over verbatim from the parent so that the case split typechecks against it; it is redundant, since (minpoly ℚ α).natDegree = 3 already forces it (a non-integral element has minimal polynomial 000). The coefficients aaa and bbb appear as (minpoly ℚ α).coeff 2 and (minpoly ℚ α).coeff 1; the division by 333 is division in Q\mathbb{Q}Q. The hypothesis is stated inline rather than through a new definition, in exactly the same words as in the sibling node, so that the two halves are visibly complementary.

Preamble
import Definitions.Def_CollapsibleCubics_basic
Formal statement
namespace CollapsibleCubics
theorem cubic_collapsible_of_normForm_repr (α : ℂ) (hint : IsIntegral ℚ α)
    (hdeg : (minpoly ℚ α).natDegree = 3)
    (hrep : ∃ r s : ℚ, r ^ 2 + r * s + s ^ 2
      = ((minpoly ℚ α).coeff 2) ^ 2 / 3 - (minpoly ℚ α).coeff 1) :
    Collapsible α := by sorry
end CollapsibleCubics
Source
Decomposition of CollapsibleCubics.cubic_collapsible (theorem_id 6c13f615-ee99-4c9e-b081-79ac6e26168c) by the elementary case division on the degree of a collapsing polynomial. Parent problem: Miles, *Collapsible algebraic numbers*, blog post, 2026-08-20, https://quesswho.github.io/miles-blog/2026/08/20/collapsible/ (definitions of *split* polynomial and of *1-collapsible*; the degree-3 case of one-step collapsibility stated open); underlying problem Griffin Macris, list of open problems, Problem 3, https://sites.google.com/view/griffinmacris/open-problems. The case division itself is not taken from the source: it is the elementary observation, derived in full in the statement below, that a collapsing polynomial of degree 3 exists exactly when the quantity a2/3−ba^2/3 - ba2/3−b is represented over Q\mathbb{Q}Q by the form x2+xy+y2x^2+xy+y^2x2+xy+y2. The form x2+xy+y2x^2+xy+y^2x2+xy+y2 as the norm form of Z[ω]\mathbb{Z}[\omega]Z[ω] is classical (Gauss, *Disquisitiones*, art. 179 ff.).

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