Approximating The Negative Imaginary Root of F (Z) Z 4 - 1 Using Newton's Method

Abhishek Kumar
Candidate Number: 0662-024

- 1 -

Approximating the Negative Imaginary Root of
4
( ) 1 f z z = using Newtons Method

IB Extended Essay: Mathematics
Abhishek Kumar
Advisor: Mr. Daniel Davis
Word Count: 3952

Abhishek Kumar
- 2 -

Abstract

Newtons Method is a method of numerical approximation, generally used to
approximate the real roots of a function, which exist in the real Cartesian plane. However,
it can be applied to complex functions, particularly 1 ) (
4
= z z f . This paper investigates
the use of Newtons Method to approximate the negative imaginary root of 1 ) (
4
= z z f .

When the initial approximation is purely imaginary, Newtons Method behaves similarly
as to when it is applied to approximate real roots of a function with purely real initial
approximations. Each subsequent approximation to the negative imaginary root of f(z) is
found by finding the zero of the line tangent to f(z) at the initial approximation,
0
z .

The geometry of Newtons Method is quite different when the initial approximation
contains both a real and imaginary part. With such an initial approximation, a three
dimensional view of Newtons Method is required to visualize its dynamics. Firstly, the
modulus of f(z) is taken, forming a solid shell around the function, while preserving its
roots. Secondly, each subsequent approximation to the root of f(z) is sought by finding
the intersection between the line in the (x, y) plane containing the gradient vector,
0
z f V ,
of ) (z f at the initial approximation of
0
z , and the plane tangent to the surface of ) (z f
at
0
z .

Studying attraction Basins known as Newton Basins, which label all the points that
converge to a certain root a single color, provides further insights into the geometry
of 1 ) (
4
= z z f . These insights include the nature of the surface of the level sets of
) (z f at different points, and the geometry of the tangent plane and the lines containing
the gradient vectors of ) (z f .

Word Count: 268

Abhishek Kumar
- 3 -

Contents

Section Page

Introduction 1
Overview of Newtons Method 2
Overview of Complex Numbers 4
Geometry of f(z) = z
4
-1 5
Newtons Method Adapted for The Complex Plane 8
Approximating the Negative Imaginary Root of f(z) with Purely Imaginary
Initial Approximations
9

Approximating the Negative Imaginary Root of f(z)=z
4
-1 with Complex
Initial Approximations
12
Altering the Geometry of f(z) = z
4
-1 13
A Three-Dimensional View of Newtons Method 17
Newton Basins 23
Conclusion 28
Bibliography 29
Appendices 30
Acknowledgements 34

Abhishek Kumar
- 4 -

Introduction

Newtons Method is commonly used as numerical method of approximation of the real
roots of a function. However, not too often is Newtons Method seen applied to complex
function in which it is used to approximate the imaginary roots of a function. The study
of complex analysis begs the question: how a method, generally applied to real functions,
will converge, geometrically, to the imaginary roots of a complex function? This topic is
worth discussing because it provides new insights into the geometry of complex functions
and varied versions of Newtons Method, which combine both the concepts of calculus
and analytic geometry. This paper seeks to answer this very question through exploring
the use of Newtons Method in approximating the negative imaginary root of the
function
4
( ) 1 f z z = .

Abhishek Kumar
- 5 -

Overview of Newtons Method

Newtons Method works as follows: a value, which is reasonably close to the root of the
given function, is chosen. Then the function is replaced by a tangent line, which is found
with the derivative of the given function, and the root of that tangent line is computed.
The root of this tangent is typically a better approximation to the functions root, and this
method is iterated to reach a very precise approximation of the functions root.

Suppose :[ , ] f a b is a differentiable function, which is defined on the interval [ , ] a b
with values in the real numbers, . The iteration process is started with the arbitrary
value
n
x (if the value is closer to the root of the function, it will take less iterations to
gain a precise approximation) and then each subsequent iteration is taken,
[1]
:

The formula used for Newtons method derives the next approximation to a
particular zero of a function. In other words, it finds the x
n+1
approximation from the nth
approximation, x
n
. In this graph of f(x), the point-slope form of the equation tangent to f(x)
at ( ) , ( )
n n
x f x is ( ) '( )( )
n n n
y f x f x x x = . Now, the value of x
n+1
would be found by
finding out where this tangent line crosses the x-axis, and we can do this by setting y = 0:

[1]
Wikipedia, Newtons Method
1 n
x
+

n
x
, ( )
n n
x f x
( ) y f x
y
x
Change in x
Change in y
Root Sought
Abhishek Kumar
- 6 -

| | | |
| | | |
0 ( ) '( )( )
( ) '( ) '( )
'( ) '( ) ( )
( )
'( )
n n n
n n n n
n n n n
n
n
n
f x f x x x
f x x f x x f x
x f x x f x f x
f x
x x
f x
=
=
=
=

[2]

The value of x that we have derived here is the value of the next approximation, x
n+1
.
Therefore,
1
( )
'( )
n
n n
n
f x
x x
f x
+
= , which is Newtons method.

[2]
Finney, Ross L. 222-223
Abhishek Kumar
- 7 -

Overview of Complex Numbers

Unlike real numbers, which are the field of numbers, complex numbers are the field
of numbers of the form x iy + , where x and y are real numbers and i is the imaginary unit
equal to the square root of -1, 1 ,
[3]
. A single letter, z, is often used to denote a
complex number, z x iy = + . In this component notation, z x iy = + can be written( , ) x y .
In other words, the complex number z x iy = + e is identified by the two-dimensional
real vectors
2
( , ) x y e , and this correspondence is denoted by: ( , ) x iy x y + .
Additionally, the field of complex numbers includes the field of real numbers as a
subfield,
[4]
.

[3]
Weisstein, Complex Number
[4]
Wikipedia, Complex Number
Abhishek Kumar
- 8 -

Geometry of
4
( ) 1 f z z =

Visualizing the complex functions is perhaps the most challenging part of the endeavor.
Real functions are quite easy to visualize, as they exist simply on a Cartesian plane,
comprising of an x-axis and a y-axis. For instance, the function
2
( ) 1 f x x = exists only
on the (x, y) plane; like so:
-3 -2 -1 1 2 3
2
4
6
8

It is quite easy to visualize such a function and its roots, which we can see exist at 1 x =
and 1 x = . However, a complex function is much more difficult to visualize, as it does
not exist in the Cartesian plane. For instance, consider the function,
4
( ) 1 f z z = . This
function has four different roots. However, we cannot graph this function on a simple
Cartesian plane to obtain both its real and imaginary roots, as the function being analyzed
is not real, but is complex. In other words, the Cartesian plane comprises of an x-axis and
a y-axis, which can be written as the x-axis and the f(x)-axis, respectively.
Therefore, ( ) ( ) , , ( ) x y x f x ,
[5]
. But the function that is being dealt with is a complex
function, which cannot lie on an ( ) , ( ) x f x plane, as its function is f(z). Therefore, a new
plane for such a function must be brought into use.
From the function alone, it can be understood that one of the axis of this plane will be the
f(z)-axis. For the other axis, recall section Overview of Complex Numbers, where it is
explained that a complex number consists of two parts; the complex number z consists of
a real and an imaginary part (real: x; imaginary: iy), which form the complex
number z x iy = + . Therefore, behaving like a real function, the real root, x, of f(z) will lie
where the graph of f(z) intersects an x-axis; where f(z) = 0. So, for the graph of f(z)=0 and
there exist a real root, such an x-axis must exist. Thus far, the following picture of this
plane exists:

[5]
Gullberg 337-338
Abhishek Kumar
- 9 -

A plane displaying the real axis, x, of a complex number and the axis, f(z).
Thus far, this plane only yields the real root of a complex function. So, to obtain a value
for the imaginary root, iy, of the complex number, there must be another axis added.
Following the same logic as that of adding the real axis, x-axis, to our graph, it can be
assumed that imaginary root of the complex function will exist where the graph of f(z)
intersects the imaginary-axis. In other words, there exists an imaginary root for f(z)
where f(z) = 0. Continuing with this logic, to represent the complete graph of a complex
function, a third axis must be added; the y-axis, which represents the imaginary part of
the complex function:

Complex Plane Representing three axis: the real part of a complex number, x-axis; the imaginary part of
a complex number, y-axis; and the axis, f(z).
x
f(z)

y
x
f(z)

Abhishek Kumar
- 10 -

A model capable of displaying the complete graph of a complex function has now been
derived,
[6] [7]
. Since
4
( ) 1 f z z = has two real roots and two imaginary roots in perfect
symmetry to each other, f(z) will be graphed like so:

Figure-1
The function, f(z), graphed on the Complex Plan. For easy visualization, the curve intersecting the real
axis, x, is colored red, similar to the color of the x-axis itself; and the curve intersecting the complex axis,
y, is colored blue, similar to the y-axis itself.

This model encompasses the complete graph of f(z). Both the real and the imaginary roots
can be clearly seen. Additionally, in the plane, the orthogonally intersecting axis, x and y,
combine to form a plane, which contains all the real numbers: x iy + . In other words, the
x-axis of this plane is the Re(z) axis of an Argand Diagram and the y-axis is the Im(z) of
an Argand Diagram. Therefore, the x-axis will contain all the real values and the y-axis
will contain all the imaginary values. So, basically, an Argand Diagram has been
combined with an orthogonally intersecting axis, f(z).
Combining these three axis states that when considering only real values, the imaginary
values will be considered zero; and when considering only imaginary values, real values
will be zero. Also, combining the three axis also allows f(z) to be written as f(x, y), as the
vertical axis is a function of both the x and the y axis.

[6]
Visualizing Functions of a Complex Variable
[7]
Bronwell 339-383
x
f(z)
y
f(z)
Abhishek Kumar
- 11 -

Newtons Methods Adapted to the Complex Plane

The root of any functions exists where that function equals to zero. Say, the function, f(x)
is to be taken. The root of f(x) will exist where f(x) = 0. This exact same logic can be
applied to roots of complex functions as well. Say, the complex function, f(z), is taken.
This function has complex roots, and these roots of f(z) will exist where f(z) = 0.
Therefore, roots of both real and complex functions exist where the functions equal zero,
[8]
. Considering this commonality between the real and complex functions, implies that
the root of a complex function can be approximated by Newtons method as well.
However, the complex Newtons method would have to be written differently, and have
different rules:
The real Newtons method is written like so:
1
( )
'( )
n
n n
n
f x
x x
f x
+
=
And has the rule that xe . However, the complex Newtons Method will be written like
so:
1
( )
'( )
n
n n
n
f z
z z
f z
+
=
And has the rule that z e , where
0
z , our first approximation, is sufficiently close to
the root sought,
[9]
, [see section, Newton Basins].

[8]
Morris 623-669
[9]
Shepperd
Abhishek Kumar
- 12 -

Approximating the Negative Imaginary Root of f(z)
with Purely Imaginary Initial Approximations
When a purely imaginary value is plugged in for the complex number, z x iy = + , the
result is a purely imaginary number. Therefore, a visual depiction of the graph of f(z)
when abiding by the geometry derived in the section, Geometry of
4
( ) 1 f z z = and
considering only purely imaginary values would look like so:

Graph of f(z)=z
4
-1, considering only purely imaginary values.
Now, considering the above graph, the complex Newton Method [refer to Newtons
Method Adapted for the Complex Plane] can be used to approximate the negative
imaginary root of f(z):
1
( )
'( )
n
n n
n
f z
z z
f z
+
=
The first step would be to choose an initial approximation to the negative imaginary root
of f(z). Because the closest whole number to the left of the root seems to be -2i, the first
approximation must be z=-2i; in other terms,
0
2 z i = . With all the necessary information
obtained, the negative imaginary root shall be approximated with Newtons Method:
0
1 0
0
( )
'( )
f z
z z
f z
=
Differentiating the proper terms,
( )
4
0
1 0
4
0
0
1
1
z
z z
d
z
dz

f(z)
z
Note: f(z) here is purely
imaginary.
Abhishek Kumar
- 13 -

4
0
1 0 3
0
1
4
z
z z
z
=
Substituting -2i for
0
z we obtain,
( )
( )
4
1 3
1
2 1
2
4 2
1.531
i
z i
i
z i

=
~

Iterating further,
( )
( )
4
2 3
2
1.531 1
1.531
4 1.531
1.218
i
z i
i
z i

=
~

Without showing work,
3
4
5
6
1.052
1.004
1.000
1.000
z i
z i
z i
z i
=
=
=
=

The above iterations can also be seen occurring graphically:

The black curve represents the function f(z), and the red lines are tangent lines representing each iteration.
Since the fifth iteration yielded no change in the fourth significant figure, it will be
presumed that the negative imaginary root of f(z) is z i = . Newtons Method has been
z
f(z)
1
1.531 z i =
2
1.218 z i =
Abhishek Kumar
- 14 -

successfully employed to approximate the negative imaginary root of f(z). Therefore, we
can see that Newtons Method can be used to approximate the real and imaginary roots of
the function
4
( ) 1 f z z = if the approximations are taken only in the form of purely real
or purely completely imaginary. However, so far, only a set case of purely imaginary or
purely real values has been investigated. Cases dealing with initial approximations of the
complex formx iy + , which are neither purely real nor purely imaginary, have not yet
been considered.

Abhishek Kumar
- 15 -

Approximating the Negative Imaginary Root of
4
( ) 1 f z z = with Complex Initial Approximations

In the previous section, approximating the negative imaginary root of
4
( ) 1 f z z = ,
provided the initial approximation was purely imaginary, was discussed. However, what
would be the geometry of Newtons Method if the initial approximation contained both a
real and an imaginary part? The next two sections are aimed at discussing that very
phenomenon.

Abhishek Kumar
- 16 -

Altering the Geometry of
4
( ) 1 f z z =

If the initial approximation is complex, containing both real and imaginary parts, the
geometry of f(z) needs to be altered to apply Newtons Method [refer to A Three-
Dimensional View of Newtons Method].

Upon viewing the graph of f(z) [see Figure-1 in Geometry of
4
( ) 1 f z z = section], it
seems as if it is forming a shell:

From the above graph, it may seem as if there is a paraboloid,
[10],
connecting the roots of
the function to form a solid shell, but that is not the case. The function is disjointed; some
of its values are below the axis and some are above the axis. For instance, it is clear from
the graph of f(z) that there are no z values for which the function has a value smaller than
f(z)=-1. However, if we take the point 1.15 1.15 z i = + , f(z) yields the value -8. It is quite
obvious from the graph of f(z) that the function does not exist at f(z)=-8. This shows that
some of the points, not visible, are disjointed from the graph of f(z). Another example of
the disjointedness of the function is that the graph clearly exists only in either the plane,
( ) , ( ) x f z or ( ) , ( ) y f z , but not anywhere else; looking at Figure-1 from an aerial view
may assist in visualizing such an abstract concept:

[10]
Wikipedia, Paraboloid
x
f(z)
y
Abhishek Kumar
- 17 -

An aerial view of the (x, y, f(z)) plane [Figure-1]. The real roots of f(z) are presented as blue dots on the
real axis, x; and the imaginary roots of f(z) are presented as red dots on the imaginary axis, y.

The real portion of the function f(z) passes vertically upwards through the blue points and
the imaginary portion of f(z) passes vertically upwards through the red points. Therefore,
it is evident that ( ) 0 f z = does not exist at, say,
1 1
2 2
z i = + [shown below], which is
on the circle of intersection of the apparent paraboloid.

The green dot denotes the point 1/ 2 1/ 2 z i = +

Substituting
1 1
2 2
z i = + into f(z) should yields the value f(z) = 0 if the paraboloid
exists, but the value it yields is f(z) = -2. In fact, anything on the diagonals, y x =
or y x = ( ) i.e. 1 , 2 2 , etc. i i + , results in ( ) < 0 f z . Therefore, it can be understood that
y
x
y
x
Abhishek Kumar
- 18 -

the paraboloid does not exist, proving that f(z) is disjointed. Therefore, to correctly
implement Newtons Method with the initial approximation as a value other than one on
the x or the y axis [see section, A Three-Dimensional View of Newtons Method], all
the disjointed points must be brought together; all must be collected within the positive
section of the axis, f(z). The simplest way to assure that all points f(z) values are positive
is by taking the modulus of f(z), like so:
4
( ) : 1 f z z ,
[11] [12]
. Taking the modulus of
f(z) will assure that all the points are positive, and as an added bonus, it will create a
function with a solid shell, enabling us to easily implement Newtons Method to
approximate the roots:

Screenshots taken from a TI-89 calculator of the function f(z) and the function | f(z)|, respectively. See
Appendix-[1] for the programming inputted into the TI-89.

[11]
Richards 319
[12]
Weisstein, Complex Modulus
Converting from graph of f(z) to
graph of | f(z)|
Abhishek Kumar
- 19 -

From the above graph, it can be noticed that the graph of |f(z)| has a solid shell. This
particular geometry will assist understanding the geometry of Newtons Method greatly.

Abhishek Kumar
- 20 -

A Three-Dimensional View of Newtons Method

When dealing with a two-dimensional space, the geometric interpretation of Newtons
Method is well known: the next iterate
1 n
x
+
is the root of the line
( ) '( )( )
n n n
y f x f x x x = + tangent to the graph of f(x) at ( ) ) ( ,
n n
x f x . However, for a
complex function, this process is carried out not by tangent lines, rather tangent planes.

In the previous section, a solid shelled version of f(z) was derived. This solid shell will
enable planes to be tangent against that very shell. To visual this a bit clearer, the graph
and level sets of | f(z)| are given below:

The function | f(z) | graphed on the (x, y, f(z)) plane with its level sets visible; showing the two zeros, z=i
and z=-i.

Figure-1

Given the above graph, a visualization of the tangent plane can be taken, along with other
components: In the real case, each subsequent approximation,
1 n
x
+
, is found by finding
the root of the line tangent to the function at
n
x . In the complex case, however, each
subsequent approximation,
1 n
z
+
, is found by finding the intersection between the line
f(z)
| f(z) |
y
x
i
i
Abhishek Kumar
- 21 -

containing the gradient vector,
n
f z V , and the plane tangent to the function at
n
z . The
diagram below puts all of these planes and vectors into perspective,
[13]
:

The plane tangent to | f(z)| at z
n
is labeled as T
n
, the gradient vector orthogonal to the tangent plane and the
graph of | f(z)| at z
n
is represented by the arrow, f z
n
V .

Figure-2

In the above illustration, it is noticeable that the subsequent approximation to the sought
root is the intersection between the line containing the gradient vector
n
f z V and the
plane, T
n
. To see a working example, this method of approximating the root of a complex
function can be applied to the function
4
( ) 1 f z z = .

As stated in the previous section, we must use the modulus of the f(z) in order to apply
the complex Newtons Method. Applying the modulus will create a solid shell around the
graph of the function, allowing planes to be tangent to its surface. To begin applying
Newtons Method, an initial point must first be denoted: 0.123 0.68
n
z i = . However,
the imaginary number, i, is accounted for in the function
4
( ) 1 f z z = , as z x iy = + .

[13]
Yau and Ben-Israel
f(z)
| f(z)|
y
x
z
n
z
n+1
| f(z
n
)|
T
n
n
f z V
Abhishek Kumar
- 22 -

Therefore, the initial point will be taken as two separate real numbers, ( , ) x y [refer to
section, Overview of Complex Numbers]. Thus, the initial approximation
is ( 0.123, 0.68) . With the initial approximation at hand, the tangent plane can now be
found:

The equation of any plane tangent to a function is given by the following formula,
[14]
:

( ) ( ) ( ) ( ) ( )
0 0 0 0 0 0 0 0
, , ,
f f
z f x y x y x x x y y y
x y
c c
= + +

c c

Finding values for all the variables in the equation of a tangent plane, while considering
the function
4
( ) 1 f z z = :

Finding ( )
0 0
, f x y :

( ) ( )
( ) ( )
( ) | |
4
0 0 0 0
4
0 0
, 1
0.123, 0.68 0.123 0.68 1
, 0.8413 4 S.F.
f x y x iy
f i
f x y
= +
= +
=

Finding ( )
0 0
,
f
x y
x
c
c
:

( )
( ) ( )
( ) ( ) ( )
( ) | | { }
6 4 2 2 4 2 4
2
8 6 2 4 4 2 2 4 4
4 3 3 1 3
,
4 2 3 1 4 3 1
0.123, 0.68 0.8660 4 S.F. See Appendix for Working
x x x y x y y y
f
x y
x
x x y x y x y y y
f
x

+ + + +
c

=
c
+ + + + +
c
=
c

Finding ( )
0 0
,
f
x y
y
c
c
:
( )
( ) ( )
( ) ( ) ( )
( ) | |
6 4 2 2 4 2 4
2
8 6 2 4 4 2 2 4 4
4 3 3 1 3
,
4 2 3 1 4 3 1
0.123, 0.68 0.9961 4 S.F.
y y y x y x x x
f
x y
y
y y x y x y x x x
f
y

+ + + +
c

=
c
+ + + + +
c
=
c

[14]
Mardsen and Tromba 124-151
Abhishek Kumar
- 23 -

Substituting values into the equation of the tangent plane:

| |( ) | |( ) 0.8413 0.866 0.123 0.9961 0.68 z x y = + + + +

Since were considering only the part of the tangent plane that lies in the ( , ) x y plane of
the ( , , ( )) x y f z plane, the value for z in the above equation will be zero. Thus, giving the
following equation for the plane tangent to |f(z)| at |f(z
0
)|:

| |( ) | |( ) 0 0.8413 0.866 0.123 0.9961 0.68 x y = + + + + (0.1)

The next step is to find the gradient vector through the following equation:
( )
( )
0 0
0 0
,
,
f
x y
x
f
f
x y
y
c | |
|
c
| V =
c
|
|
c
\ .

Since these values have already been found in the process carried out above, the gradient
vector of |f(z)| at |f(z
0
)| is:

0.866
0.9961
f
| |
V =
|
\ .

The next step in finding the value of
1
z (the next approximation to the root) is creating a
line, which contains the gradient vector found above:

( )
0
0
x x
f
y y

| | | |
= + V
| |
\ . \ .

0.123 0.866
0.680 0.9961
x
y

| | | | | |
= +
| | |
\ . \ . \ .
(0.2)

To find the point of intersection between the line containing the gradient vector (0.2) and
the tangent plane (0.1), the value of must be sought by substituting the x and y values of
the lines into the plane:

( )
( )
0.123 0.866
0.68 0.9961
x
y
= +
= +

Abhishek Kumar
- 24 -

Substituting these values of x and y into equation of the tangent plane (0.1) and solving
for :

| | ( ) ( ) | | ( ) ( )
| |
0.8413 0.866 0.123 0.866 0.123 0.9961 0.68 0.9961 0.68 0
0.4687 4 S.F.

+ + + + + + =

=

Substituting value of into the equation of the line will yield the point of intersection:

( )
0.123 0.866
0.680 0.9961
0.123 0.866
0.4687
0.680 0.9961
0.2952 1.161
x
y
x
y
x and y
| | | | | |
= +
| | |
\ . \ . \ .
| | | | | |
= +
| | |
\ . \ . \ .
= =

These values can now be substituted into the complex number z x iy = + to obtain the
second approximation to the negative imaginary root of |f(z)|:

| |
1
0.2952 1.161 4 S.F.
z x iy
z i
= +
=

Continuing this entire process of iteration, Newtons Method will converge like so:

| |
| |
| |
| |
2
3
4
5 5
0.1226 0.9775 4 S.F.
0.0037 0.9765 4 S.F.
0.0003 1.001 4 S.F.
0 4 S.F.
z i
z i
z i
z i z i
=
=
=
= =

Through successful implementation of analytic geometry concepts, it has been shown that
Newtons Method can converge to the sought root when the initial point is other than one
solely on the real axis or imaginary axis. Furthermore, another interesting point that
arises is that Newtons Method, a two-dimensional method, yields the same
approximations as that of the abovementioned three-dimensional method:
4
0
1 0 3
0
1
4
z
z z
z
=
( )
( )
( )( )
4
1 3
1
0.123 0.680 1
0.123 0.680
4 0.123 0.680
0.2952 1.161
i
z i
i
z i

=

~

Abhishek Kumar
- 25 -

( )
( )
( )( )
( )
( )
( )( )
( )
( )
( )( )
4
2 3
2
4
3 3
3
4
4 3
4
0.2952 1.161 1
0.2952 1.161
4 0.2952 1.161
0.1226 0.9775
0.1226 0.9775 1
0.1226 0.9775
4 0.1226 0.9775
0.0037 0.9765
0.0037 0.9765 1
0.0037 0.9765
4 0.0037 0.9765
0.0
i
z i
i
z i
i
z i
i
z i
i
z i
i
z

=
~

=
~

=

~
( )
( )
( )( )
4
5 3
5 5
003 1.001
0.0003 1.001 1
0.0003 1.001
4 0.0003 1.001
0
i
i
z i
i
z i z i
~ ~

Therefore, though the original method is intended for two-dimensional use, it yields the
same approximations as those of the three-dimensional adaptation of the method.

Abhishek Kumar
- 26 -

Newton Basins

Newtons Method has been seen converging the desired negative imaginary root of f(z) in
the previous sections. However, the question that arises now is that which points will
converge to the root sought and which will not. A certain initial guess may approach one
root, and another guess may approach a different root. If we color the complex plane in a
manner that designates a specific color to all the points that converge to a certain root, we
obtain Newton Basins (or domain of attraction),
[ 15 ]
. So, if a specific color basin
assigned to the root
i
. , all the points within that color basin will eventually converge
to
i
. ,
[16]
. Through the use of Mathematica 5, an image showing these Newton Basins has
been obtained by repeated iterations of the Newtons method applied to f(z):

(See Appendix-[3] for Mathematica Programming 1)

(Figure-1)

Carried out just as stated above, the Newton basins have been created; each color
represents points that will converge to certain root. These Newton Basins will give some
insight into the dynamics of Newtons method. For instance, if an initial guess is to be
taken from the purple regions, Newtons method would converge to the imaginary
root, z i = . This means that tangent planes are taken against the shell of the modulus of
f(z) until the desired root is reached. To prove this statement, we will go through a few
examples.

Let us take our initial guess as the same one in the previous section,
0
0.123 0.680 z i = ,
which is located in the purple basin presented in the figure below:

[15]
Garcia
[16]
Joyce
Root sought, z = -i.
Abhishek Kumar
- 27 -

Domain of Image: 0.353 Re(z) 0.313
Range of Image: -0.708i Im(z) -0.0417i

(Figure-2)

Beginning the iterating process,

4
0
1 0 4 1
0
1 z
z z
nz

=

( )
( )
( )( )
( )
( )
( )( )
( )
( )
( )( )
4
1 3
1
4
2 3
2
4
3 3
3
4
0.123 0.680 1
0.123 0.680
4 0.123 0.680
0.295 1.161
0.295 1.161 1
0.295 1.161
4 0.295 1.161
0.123 0.977
0.123 0.977 1
0.123 0.977
4 0.123 0.977
0.004 0.976
0.004
i
z i
i
z i
i
z i
i
z i
i
z i
i
z i
z

=

=

=
=

=
=
= ( )
( )
( )( )
4
3
4 4
0.004 0.976 1
0.976
4 0.004 0.976
0 (3 . .)
i
i
i
z i z i S F

= =

Picking a point in the same basin as the one containing the imaginary root z = -i has
yielded that very root when using Newtons Method. Geometrically, this shows that
Abhishek Kumar
- 28 -

Newtons Method converged exactly how it has been depicted in figure-1 of the previous
section. For a second example, we will choose a point in a purple basin that is surrounded
by different basins, making it far more difficult for Newtons method to reach the
designated root. We will take our initial guess in a very small purple basin located in the
top left-hand corner of the complex graph of f(z), as pointed out by the arrow in figure-3:

(Figure-3)

The process of zooming into desired purple basin is presented below in sequential order:

(Figure-4)
Abhishek Kumar
- 29 -

We will choose the point 0.6314 0.85133 z i = + from the indicated basin. The initial
guess contains more than three significant figures because this purple basin is so small
that it requires the highest amount of precision. Now that we have an initial estimate, we
will begin iterating in hopes of finally reaching the root, z = -i.
( )
( )
( )
( )
( )
( )
( )( )
0
4
0
1 0 3
0
4
1 3
1
4
2 3
2
8 7
,
0.6314 0.85133
,
1
0.6314 0.85133 1
0.6314 0.85133
4 0.6314 0.85133
0.276 0.586
0.276 0.586 1
0.276 0.586
4 0.276 0.586
0.764 0.637
.
..
...
0.0
Given
z i
And
z
z z
nz
i
z i
i
z i
i
z i
i
z i
z z
= +
=
+
= +
+
= +
+
= +
+
= +
= = ( )
( )
( )( )
4
3
8 8
0.017 0.987 1
17 0.987
4 0.017 0.987
0
i
i
i
z i z i

= =

Newtons Method has once again yielded the root specified by the color of the basin; the
root, z = -i, which is in a purple basin, has been located using Newtons method with the
initial guess also being a point in a purple basin. Though the method converged to the
designated root, it took more iterations to do so because the basin chosen was surrounded
by many other basins of different colors. Geometrically, this shows that the surface of the
shell around the modulus of f(z) at
0
z was very steep, as the distance of the step between
the first and second approximation was small. However, the surface at
1
z quite flat, as it
produced a huge step, yielding the next approximation as 0.764+0.637i. We can also
presume that the tangent plane taken in the first approximation was vertically quite small,
whereas the one in the second iteration was quite long, as was the gradient vector.

Another scenario can also take place in which Newtons Method doesnt converge to any
root. An initial approximation that will yield such a result exists in the black areas of
figure-1. For instance, if the point 1+i is taken, the following results will follow:

Abhishek Kumar
- 30 -

4
0
1 0 4 1
0
1 z
z z
nz

=
( )
( )
( )( )
( )
( )
( )( )
( )
( )
( )( )
( )
( )
4
1 3
1
4
2 3
2
4
3 3
3
4
4
1 1
1
4 1
0.688 0.688 (3 . .)
0.688 0.688 1
0.688 0.688
4 0.688 0.688
0.323 0.323
0.323 0.323 1
0.323 0.323
4 0.323 0.323
1.607 1.607
1.607 1.607
1.607 1.607
i
z i
i
z i s f
i
z i
i
z i
i
z i
i
z i
i
z i
+
= +
+
= +
+
= +
+
= +
+
= +
+
=

=
( )( )
3
1
4 1.607 1.607
.
..
...
Re[ ] Im[ ]
n
i
z z z z

= e =

From the above calculations, it is evident that a point chose on the black areas of figure-1
will not converge to any root; more specifically, a point taken on the line Re[ ] Im[ ] z z =
causes Newtons Method to oscillate back and forth on the same line. This shows that
shell of ( ) f z at the black Basins is so that it prevents the next approximation from
landing in any colored basin; thus preventing any convergence.

Abhishek Kumar
- 31 -

Conclusion

Whether the initial approximation is purely imaginary or has both a real and an imaginary
component, Newtons Method can be used to approximate the negative imaginary root of
4
( ) 1 f z z = . When the initial approximation is purely imaginary, Newtons Method
takes on the same form, geometrically, as when applied to approximate real roots of a
function. On the other hand, a three dimensional form of Newtons Method is required to
visualize its dynamics against f(z), and surprisingly, the results of this three-dimensional
variation are similar to those of the regular two-dimensional version of the method.
However, this discussion is not broad enough to explore how Newtons Method would
behave for a class of 1 ) ( =
n
z z f functions, where 5 > n . Such functions may produce
completely different visuals of Newton Basins, causing Newtons Method, geometrically,
in both three and two dimensions when used to approximate the functions roots.
Furthermore, another question that is left unanswered by this discussion is how Newtons
Method will behave geometrically when applied to complex functions not in the form
of 1 ) ( =
n
z z f . For instance, complex functions such as | | ) ( ) cos( ) (
6
z z z f = . Therefore,
though this essay addresses numerous methods, which could be used to approximate the
negative imaginary root of
4
( ) 1 f z z = , it still leaves room for much further research in
this interesting topic.

Abhishek Kumar
- 32 -

Bibliography

[1] "Newton's Method." Wikipedia. 28 Feb. 2005. 2 Mar. 2005 <http://en.wikipedia.org/wiki/
Newton%27s_method>.

[2] Finney, Ross L., et al. "Linearization and Newton's Method." Calculus: Graphical,
Numerical, Algebraic. Upper Saddle River, New Jersey: Pearson Prentice Hall, 2003.
222-223.

[3] Weisstein, Eric W. "Complex Number." MathWorld. Wolfram. 20 Jan. 2005
<http://mathworld.wolfram.com/ComplexNumber.html>.

[4] "Complex Number." Wikipedia. 25 Feb. 2005. 2 Mar. 2005
<http://en.wikipedia.org/wiki/Complex_number>.

[5] Gullberg, Jan. Mathematics: From the Birth of Numbers. New York, New York: W.W.
Norton & Company Inc., 1997.

[6] "Visualizing Functions of a Complex Variable." Pacific Tech. 2002. 18 Jan. 2005
<http://www.pacifict.com/ComplexFunctions.html>.

[7] Bronwell, Arthur. Advanced Mathematics in Physics and Engineering. 1st ed. New York:
McGraw-Hill, 1953.

[8] Kline, Morris. Mathematical Thought from Ancient to Modern Times. Vol. 2. New York:
Oxford University Press, 1990.

[9] Shepperd, Michael. "Newton Basins." Mathematics Resources. 21 Feb. 2005
<http://michaelshepperd.tripod.com/calcnewtoncomplex/>.

[10] "Paraboloid." Wikipedia. 1 Mar. 2005. 2 Mar. 2005
<http://en.wikipedia.org/wiki/Paraboloid>.

[11] Richards, Paul I. Manual of Mathematical Physics. London; New York: Pergamon Press,
1959.

[12] Weisstein, Eric W. "Complex Modulus." Mathworld. 2 Feb. 2005
<http://mathworld.wolfram.com/ComplexModulus.html>.

[13] Yau, Lily, and Adi Ben-Israel. "The Newton and Halley Methods for Complex Roots." The
American Mathematical Monthly 105 (1998).

[14] Marsden, Jerrold E., and Anthony J. Tromba. "Differentiation." Vector Calculus. 3rd ed.
New York, New York: W.H. Freeman and Company, 1988. 124-154.

[15] Garcia, Fransisco, et al. "Coloring Dynamical Systems in the Complex Plane." Unpublished
essay.

[16] Joyce, David E. "Newton Basins: Newton's Method." Newton Basins. Aug. 1994. 22 Feb.
2005 <http://aleph0.clarku.edu/~djoyce/newton/method.html>.
Abhishek Kumar
- 33 -

Appendix

Appendix-[1]:

TI-89 Programming:

i) Switch to 3D graphing by pressing [MODE] and switching Graph to 3D
ii) Press [diamond] and input the following command in y1: 1 ) (
4
+iy x .
iii) Press [diamond] and [F3].

Appendix-[2]:

Differentiating 1 ) ( ) , (
4
+ = iy x y x f with respect to x:

Expanding the function,

1 4 6 4 ) , (
1 ) ( ) , (
4 3 2 2 3 4
4
+ + =
+ =
y xiy y x iy x x y x f
iy x y x f

Separating the real and imaginary parts,

( ) ( )
3 3 4 2 2 4
4 4 1 6 ) , ( xiy iy x y y x x y x f + + =

Simplifying the modulus of the function,

( ) ( )
2
3 3
2
4 2 2 4
4 4 1 6 ) , ( xy y x y y x x y x f + + =

Without the imaginary unit, i, finding ) , ( y x
x
f
c
c
becomes much easier,

Using chain rule,

( ) ( )
( ) ( )
( )
2 2
4 2 2 4 3 3
2 2
4 2 2 4 3 3
1
6 1 4 4
2 6 1 4 4
d
x x y y x y xy
dx
x x y y x y xy
| |
+ +
|
\ .
+ +

Abhishek Kumar
- 34 -

( )
( )
( )
( )
( ) ( )
2 2
3 3 4 2 2 4
2 2
4 2 2 4 3 3
4 4 6 1
2 6 1 4 4
d d
x y xy x x y y
dx dx
x x y y x y xy
+ +
+ +

Using the chain rule once again,

( ) ( ) ( )
( )
( ) ( )
2
3 3 3 3 4 2 2 4
2 2
4 2 2 4 3 3
2 4 4 4 4 6 1
2 6 1 4 4
d d
x y xy x y xy x x y y
dx dx
x x y y x y xy
+ +
+ +

( )( ) ( )
( )
( ) ( )
2
2 3 3 3 4 2 2 4
2 2
4 2 2 4 3 3
2 12 4 4 4 6 1
2 6 1 4 4
d
x y y x y xy x x y y
dx
x x y y x y xy
+ +
+ +

Using the chain rule yet again,

( )( ) ( ) ( )
( ) ( )
2 3 3 3 4 2 2 4 4 2 2 4
2 2
4 2 2 4 3 3
2 12 4 4 4 2 6 1 6 1
2 6 1 4 4
d
x y y x y xy x x y y x x y y
dx
x x y y x y xy
+ + +
+ +

( )( ) ( )( )
( ) ( )
2 3 3 3 3 2 4 2 2 4
2 2
4 2 2 4 3 3
2 12 4 4 4 2 4 12 6 1
2 6 1 4 4
x y y x y xy x xy x x y y
x x y y x y xy
+ +
+ +

Simplifying,

( ) ( )
( ) ( )
6 4 2 2 4 2 4
2 2
4 2 2 4 3 3
4 3 3 1 3
6 1 4 4
x x x y x y y y
x x y y x y xy

+ + + +

+ +

Using Binomial Expansion for the terms in the denominator,

( ) ( )
( ) ( ) ( )
6 4 2 2 4 2 4
2
8 6 2 4 4 2 2 4 4
4 3 3 1 3
4 2 3 1 4 3 1
x x x y x y y y
x x y x y x y y y

+ + + +

+ + + + +

Abhishek Kumar
- 35 -

Appendix-[3]:

Mathematica Programming, in sequential order, behind Figure-1 in Newton Basin
section:

Abhishek Kumar
- 36 -

Abhishek Kumar
- 37 -

Acknowledgements

There are five people to whom Id like to pay my gratitude. I would like to begin by
paying my respects to a very special friend of mine, Daphne Tenne, because she was the
reason I became interested in mathematics. Once a lost young man, I gained my footing
because of her beautiful words that embodied her unbelievable passion for mathematics.
Though she has moved away, she still remains in my heart, inspiring me to achieve ever
higher and pursuing my dreams.

Soon after came one of my greatest mentors, Mr. Joseph Reing. I had no one to share
my flourishing interest in mathematics during its early stages, except for Mr. Reing. He
listened to my everyday intrigues with the strange, abstract concepts of mathematics, and
he would carry on such discussions for hours on end. When most thought a high school
student would be incapable of writing an extended essay in mathematics, Mr. Reing
believed in me, staying firm to the belief that if I pursued this assignment with a true
passion, Id be able to complete such a monumental task.

My father once had a son who was lost in his academic life, and even through that,
my father never lost hope in me. Throughout my entire life, he has believed in me
without a shadow of a doubt. He was one of the main reasons I decided to pursue a
mathematical topic as my Extended Essay. My father, with his never-failing support,
encouraged me to pursue a task, which at first seemed daunting. Because of his
unbelievable faith in me, I would like to thank him for being responsible for the birth of
this paper.

Moving onto my teachers, Id like to thank Mr. Brewster Campbell for believing in
me and my mathematical abilities to let me join his IB Mathematics HL class, which
served as a great learning sources for me and allowed me to truly explore my newly-born
love of mathematics.

I must pay the highest gratitude to my advisor, Mr. Daniel Davis, who worked with
me in each step of the way, helping me grasp newer concepts concepts I never thought
Id learn in high school. He was an amazing help to me. I have taken two of his classes,
and they both blew me away because of how interesting he made them, and so working
with him one-on-one was unbelievable. Therefore, for his dedication, and for his
unbelievable persistence and breadth of knowledge, I offer Mr. Davis the highest
gratitude.

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