Upper and Lower Bounds for Numerical Radii of Block Shifts

Abstract

For any $n$-by-$n$ matrix $A$ of the form \[[\begin{array}{cccc} 0 & A_1 & & \\ & 0 & \ddots & \\ & & \ddots & A_{k-1} \\ & & & 0\end{array}],\] we consider two $k$-by-$k$ matrices \[A'=[\begin{array}{cccc} 0 & \|A_1\| & & \\ & 0 & \ddots & \\ & & \ddots & \|A_{k-1}\| \\ & & & 0\end{array}] \ {and} \ A''=[\begin{array}{cccc} 0 & m(A_1) & & \\ & 0 & \ddots & \\ & & \ddots & m(A_{k-1}) \\ & & & 0\end{array}],\] where $\|\cdot\|$ and $m(\cdot)$ denote the operator norm and minimum modulus of a matrix, respectively. It is shown that the numerical radii $w(\cdot)$ of $A$, $A'$ and $A''$ are related by the inequalities $w(A'')\le w(A)\le w(A')$. We also determine exactly when either of the inequalities becomes an equality.