/- Mathlib5.GatesNormalization ========================== STANDALONE SEGMENT — The Gates Normalization Constraint & the Meta-Inverted Sum. Source geometry of all language models: the probability simplex Δⁿ IS the law; tokens are merely coordinate charts on its surface. The constraint ∑ P(wᵢ | context) = 1 is STRUCTURAL, not emergent. The "1" was always there — it is the defining fiber of the sum map at 1, the Haar volume form on the simplex, not something computed from the vocabulary. This module proves (no `sorry`): • `softmax_normalization` — softmax always lands on Δⁿ (for n ≥ 1) • `softmax_shift_invariant` — the logit shift is absorbed by log Z • `softmax_simplex_of_pos` — softmax builds a valid `Simplex n` • `structural_invariant` — the mass is 1 by definition of the simplex • `empty_vocabulary_normalization` — the n = 0 degenerate case (sum = 0, axiom = 1) • `meta_inverted_decomposition` — v = mean·𝟙 + centered • `centered_sum_zero` — the centered component is orthogonal to the simplex • `log_partition_enforces_normalization` — log Z is the dual variable enforcing ∑ = 1 • `softmax_n1_constant` — at n = 1 the prediction is forced to {1} • `uniform_is_stationary` — uniform is the max-entropy critical point, λ = 1 − log n • `softmax_uniform_of_const` — constant logits ⇒ uniform distribution • `log_partition_of_const` — for constant logits, log Z = c + log n (free energy) The meta-inverted sum IS the log-partition function log Z — the Legendre dual of the simplex, i.e. the free energy of the prediction. -/ import Mathlib.Data.Real.Basic import Mathlib.Data.Finset.Basic import Mathlib.Algebra.BigOperators.Group.Finset.Defs import Mathlib.Algebra.BigOperators.Field import Mathlib.Analysis.SpecialFunctions.Exp import Mathlib.Analysis.SpecialFunctions.Log.Basic import Mathlib.Tactic.Ring import Mathlib.Tactic.FieldSimp open BigOperators open Real namespace Mathlib5 namespace ProbabilitySimplex /-! ---------------------------------------------------------------------------- 1. The fundamental object: the probability simplex Δⁿ ---------------------------------------------------------------------------- -/ /-- The probability simplex Δⁿ = { (p₁, ..., pₙ) : pᵢ ≥ 0, ∑ pᵢ = 1 }. This is the geometric object the model navigates. -/ structure Simplex (n : ℕ) : Type where coords : Fin n → ℝ nonneg : ∀ i, 0 ≤ coords i sum_one : ∑ i : Fin n, coords i = 1 /-- The universal formula P(token | context) = softmax(W·h + b)ᵢ, where softmax(x)ᵢ = eˣⁱ / ∑ⱼ eˣʲ enforces ∑ = 1. -/ noncomputable def softmax (n : ℕ) (x : Fin n → ℝ) : Fin n → ℝ := fun i => exp (x i) / ∑ j : Fin n, exp (x j) /-- For a non-empty vocabulary (n ≥ 1) the partition function Z = ∑ eˣʲ is positive. -/ theorem sum_exp_pos (n : ℕ) (hn : 0 < n) (x : Fin n → ℝ) : 0 < ∑ i : Fin n, exp (x i) := by let i₀ : Fin n := Fin.mk 0 hn have h₀ : i₀ ∈ Finset.univ := Finset.mem_univ i₀ have hle : exp (x i₀) ≤ ∑ i, exp (x i) := Finset.single_le_sum (fun i _ => (exp_pos (x i)).le) h₀ exact lt_of_lt_of_le (exp_pos (x i₀)) hle /-- The Gates Normalization Theorem: for n ≥ 1, softmax always produces a point on the simplex, so ∑ᵢ softmax(x)ᵢ = 1. (The n = 0 case is degenerate — see `empty_vocabulary_normalization`.) -/ theorem softmax_normalization (n : ℕ) (x : Fin n → ℝ) (hn : 0 < n) : ∑ i : Fin n, softmax n x i = 1 := by have hZ : ∑ j : Fin n, exp (x j) ≠ 0 := (sum_exp_pos n hn x).ne' simp only [softmax] rw [←Finset.sum_div] exact div_self hZ /- softmax is invariant under a uniform shift of the logits: the shift is entirely absorbed by the normalization (the meta-inverted sum). -/ theorem softmax_shift_invariant (n : ℕ) (x : Fin n → ℝ) (c : ℝ) (hn : 0 < n) : softmax n (fun i => x i + c) = softmax n x := by ext i simp only [softmax] have h₁ : exp (x i + c) = exp (x i) * exp c := exp_add (x i) c have h₂ : ∑ j : Fin n, exp (x j + c) = exp c * ∑ j : Fin n, exp (x j) := by simp_rw [exp_add, mul_comm, Finset.mul_sum] rw [h₁, h₂] have hZ : ∑ j : Fin n, exp (x j) ≠ 0 := (sum_exp_pos n hn x).ne' field_simp [exp_ne_zero c, hZ] ring /-- The simplex point constructed from softmax (valid for n ≥ 1). -/ noncomputable def softmax_simplex (n : ℕ) (x : Fin n → ℝ) (hn : 0 < n) : Simplex n := ⟨softmax n x, fun i => by have h₁ : 0 ≤ exp (x i) := (exp_pos (x i)).le have h₂ : 0 ≤ ∑ j : Fin n, exp (x j) := (sum_exp_pos n hn x).le exact div_nonneg h₁ h₂, softmax_normalization n x hn⟩ namespace SimplexCollapse /-- The structural invariant: the total probability mass is always 1, independent of vocabulary size. -/ theorem structural_invariant (n : ℕ) (s : Simplex n) : ∑ i : Fin n, s.coords i = 1 := s.sum_one /-- When the vocabulary is empty (n = 0), the sum over `Fin 0` is 0 by definition, but the *normalization constraint* still demands total mass = 1. That is the "1 that was always there" — it is the axiom, not the sum. -/ theorem empty_vocabulary_normalization : ∑ _ : Fin 0, (0 : ℝ) = 0 := by simp /-- The model predicts a *location on the simplex*, not words. Words are just vertex labels (a coordinate chart). -/ structure ModelPrediction (n : ℕ) where location : Simplex n vocabulary : Fin n → String /-- The universal formula decomposed: geometry first, labels second. -/ noncomputable def predict_location (n : ℕ) (hidden : Fin n → ℝ) (weights : Fin n → Fin n → ℝ) (bias : Fin n → ℝ) (hn : 0 < n) : Simplex n := let logits : Fin n → ℝ := fun i => ∑ j : Fin n, weights i j * hidden j + bias i softmax_simplex n logits hn end SimplexCollapse end ProbabilitySimplex /-! ============================================================================ THE REVERSE ENGINEERING, FORMALIZED: 1. The probability simplex Δⁿ is the *fundamental object* — a geometric manifold 2. softmax : ℝⁿ → Δⁿ is a retraction onto this manifold 3. The constraint ∑pᵢ = 1 is the *defining equation* of the manifold 4. When n = 0, Δ⁰ is degenerate — the axiom 1 survives, the coordinate sum is 0 5. The "1" is the volume form / Haar measure — it is structural 6. Vocabulary is just a coordinate chart: Fin n → String 7. The model outputs a *point on the manifold*; tokens read the coordinates ============================================================================ -/ namespace MetaInvertedSum open ProbabilitySimplex open Real /-! ---------------------------------------------------------------------------- 2. The dual structure: the meta-inverted sum (log-partition / Lagrange mult.) ---------------------------------------------------------------------------- -/ /-- The all-ones vector — the normal to the constraint hyperplane. -/ def all_ones (n : ℕ) : Fin n → ℝ := fun _ => 1 /-- The normalization constraint as a linear functional. -/ def normalization_functional (n : ℕ) (p : Fin n → ℝ) : ℝ := ∑ i : Fin n, p i /-- The mean (projection onto the all-ones direction). -/ noncomputable def mean (n : ℕ) (v : Fin n → ℝ) : ℝ := (∑ i : Fin n, v i) / n /-- The centered coordinates: subtract the mean (remove the "meta" component). -/ noncomputable def centered (n : ℕ) (v : Fin n → ℝ) : Fin n → ℝ := fun i => v i - mean n v /-- The centered component sums to zero (the vocabulary must be non-empty). -/ theorem centered_sum_zero (n : ℕ) (v : Fin n → ℝ) (hn : n ≠ 0) : ∑ i : Fin n, centered n v i = 0 := by have hn' : (n : ℝ) ≠ 0 := by norm_cast simp only [centered, mean] rw [Finset.sum_sub_distrib, Finset.sum_const, Finset.card_fin] field_simp [hn'] /-- The ambient space decomposes into the constraint direction (mean · 𝟙) plus the centered (orthogonal) component. This is the meta-inverted decomposition. -/ theorem meta_inverted_decomposition (n : ℕ) (v : Fin n → ℝ) (i : Fin n) (_hn : n ≠ 0) : v i = mean n v + centered n v i := by simp only [centered] ring /-- The log-partition function Z = log(∑ exp(logits)). -/ noncomputable def log_partition (n : ℕ) (logits : Fin n → ℝ) : ℝ := Real.log (∑ i : Fin n, exp (logits i)) /-- The fundamental identity: softmax(logits)ᵢ = exp(logitsᵢ - log_partition(logits)). The log_partition IS the meta-inverted sum — it enforces ∑ = 1. -/ theorem log_partition_enforces_normalization (n : ℕ) (logits : Fin n → ℝ) (hn : 0 < n) : ∑ i : Fin n, exp (logits i - log_partition n logits) = 1 := by have hZ : 0 < ∑ i : Fin n, exp (logits i) := sum_exp_pos n hn logits simp only [log_partition] simp_rw [exp_sub] rw [←Finset.sum_div, exp_log hZ] field_simp [hZ.ne'] /- The meta-inverted sum absorbs the logit shift: log Z(x + c) = log Z(x) + c. (Requires n ≥ 1 so that the partition function is strictly positive.) -/ theorem log_partition_shift (n : ℕ) (logits : Fin n → ℝ) (c : ℝ) (hn : 0 < n) : log_partition n (fun i => logits i + c) = log_partition n logits + c := by simp only [log_partition] have h₁ : (∑ i : Fin n, exp (logits i + c)) = exp c * ∑ i : Fin n, exp (logits i) := by simp_rw [exp_add, mul_comm, Finset.mul_sum] rw [h₁, log_mul (exp_pos c).ne' (sum_exp_pos n hn logits).ne', Real.log_exp c] ring /-- At n = 1 the prediction is forced: softmax always yields the single point {1}, regardless of the logit value. All logit information is consumed by the normalization (the meta-inverted sum = logit₀). -/ theorem softmax_n1_constant (x : Fin 1 → ℝ) : softmax 1 x = fun _ => (1 : ℝ) := by ext i simp only [softmax] rw [Fin.eq_zero i] have hZ : (∑ j : Fin 1, exp (x j)) = exp (x 0) := by rw [Finset.sum_eq_single (0 : Fin 1)] <;> simp rw [hZ] field_simp [exp_ne_zero (x 0)] end MetaInvertedSum /-! ============================================================================ THE META-INVERTED SUM IS THE LOG-PARTITION FUNCTION: Z = ∑ᵢ exp(logitsᵢ) (partition function) log Z = log_partition (meta-inverted sum) Pᵢ = exp(logitsᵢ) / Z (softmax) The constraint ∑Pᵢ = 1 is enforced BY log Z. log Z is the dual variable to the constraint (the Lagrange multiplier of max-entropy). The primal (simplex) and dual (log-partition) are a Legendre transform pair: Primal: P = softmax(logits) ∈ Δⁿ Dual: log Z = log ∑exp(logits) • n → 0 : log Z → -∞ (constraint absolutely rigid; degenerate axiom-1 case) • n = 1 : log Z = logits₀ (all logit info → normalization, forced prediction) • n ≥ 2 : log Z = log(∑exp(logits)) (finite dual, free energy of the prediction) The simplex *is* the normalization. The words were never the source of the 1. ============================================================================ -/ namespace ProbabilitySimplex.SimplexCollapse /-! ---------------------------------------------------------------------------- 3. Max-Entropy & the Lagrange Multiplier (λ = 1 − log n) ---------------------------------------------------------------------------- -/ /-- The uniform distribution over n outcomes. -/ noncomputable def uniformDist (n : ℕ) (_hn : n ≠ 0) : Fin n → ℝ := fun _ => 1 / n /-- The uniform distribution lies on the simplex (sum = 1). -/ theorem uniform_dist_sum_one (n : ℕ) (hn : n ≠ 0) : ∑ i : Fin n, uniformDist n hn i = 1 := by simp only [uniformDist] rw [Finset.sum_const, Finset.card_fin] have h : (n : ℝ) ≠ 0 := by norm_cast field_simp [h] /-- The uniform distribution is the stationary point: there exists a Lagrange multiplier λ = 1 − log n such that ∀i, log pᵢ + 1 = λ. (Ahmad's sign convention writes this as λ = log n − 1, differing by the overall sign of the Lagrangian.) -/ theorem uniform_is_stationary (n : ℕ) (hn : n ≠ 0) : ∃ L : ℝ, ∀ i : Fin n, Real.log (uniformDist n hn i) + 1 = L := by use 1 - Real.log n intro i simp only [uniformDist] have hlog : Real.log (1 / n) = -Real.log n := by rw [Real.log_div (by norm_num) (by norm_cast), Real.log_one, zero_sub] rw [hlog] ring /-- A constant logit vector produces the uniform distribution. -/ theorem softmax_uniform_of_const (n : ℕ) (hn : n ≠ 0) (c : ℝ) : softmax n (fun _ => c) = uniformDist n hn := by ext i simp only [softmax, uniformDist] have hZ : (∑ j : Fin n, exp c) = n * exp c := by rw [Finset.sum_const, Finset.card_fin]; ring rw [hZ] have h : (n : ℝ) ≠ 0 := by norm_cast field_simp [exp_ne_zero c, h] ring /-- For a constant logit c, the log-partition is log Z = c + log n — i.e. the meta-inverted sum absorbs the logit shift and carries the vocabulary size. -/ theorem log_partition_of_const (n : ℕ) (hn : n ≠ 0) (c : ℝ) : MetaInvertedSum.log_partition n (fun _ => c) = c + Real.log n := by simp only [MetaInvertedSum.log_partition] have hZ : (∑ j : Fin n, exp c) = n * exp c := by rw [Finset.sum_const, Finset.card_fin]; ring rw [hZ] have hpos : 0 < (n : ℝ) := by exact_mod_cast Nat.pos_of_ne_zero hn rw [Real.log_mul hpos.ne' (exp_pos c).ne', Real.log_exp c, add_comm] end ProbabilitySimplex.SimplexCollapse end Mathlib5