Lexin Li

Jiaxin Qing, Junwei Lu, Lexin Li

Brain-computer interfaces aim to decode naturalistic stimuli from neural signals, yet most progress to date has focused on vision and language. In this article, we study a more challenging but far less explored setting, EEG-to-music reconstruction, where signals are weak, distributed, and highly susceptible to noise and channel variability. Our central finding is that early channel mixing destroys weak but discriminative EEG signals. To address this, we propose a channel-oriented design with three key components. Specifically, channel-wise tokenization treats each electrode as an explicit token to retain spatially localized neural evidence, channel-wise multi-view self-distillation enforces consistency across temporal crops and random channel subsets to learn robust and distributed representations, and channel-wise data augmentation introduces structured channel dropout to improve invariance to noise, artifacts, and missing electrodes. Together, these components preserve weak yet informative signals across channels and enable stable alignment to a semantic music representation space. We integrate this channel-oriented design within an encoding-alignment-decoding pipeline for EEG-to-music reconstruction. Theoretically, we characterize when preserving channel-level structure leads to improved alignment. Empirically, we compare with a range of state-of-the-art baselines and demonstrate consistent and significant performance gains.

Jiaxin Qing, Lexin Li

We study cross-subject emotion recognition from EEG, a practically important yet challenging problem in brain-computer interfaces. Unlike tasks with clear waveform signatures, emotion-related EEG signals are primarily encoded in spectral power and are weak, noisy, and highly variable across subjects. Existing approaches rely either on large pretrained EEG foundation models, which require massive data yet still struggle with cross-subject variability, or frequency-domain encoders, which better reflect spectral structure but suffer from mismatched representations, drift-dominated tokenization, and lack of band-specific spatial modeling. In this article, we propose the Morlet Spectral Transformer (MST), built around three key components and integrated with a spatiotemporal Transformer backbone. First, Morlet wavelet tokenization provides a time-frequency representation that matches the multi-scale structure of brain rhythms, and extends classical differential entropy features to a form suitable for Transformers. Second, long-context baseline removal acts as a simple temporal normalization that removes subject-specific drift and redundancy across nearby windows. Third, frequency-specific spatial projection learns a separate channel mixer for each frequency band, capturing interpretable band-specific patterns and reducing cross-channel mixing. We show that, even without pretraining, MST consistently outperforms both large pretrained EEG foundation models and frequency-based methods across all SEED-family datasets. These results suggest that careful representation design can yield an accurate, cost-effective, and interpretable alternative to large-scale pretraining.

Yunzhe Zhou, Zhengling Qi, Chengchun Shi et al.

In this article, we propose a novel pessimism-based Bayesian learning method for optimal dynamic treatment regimes in the offline setting. When the coverage condition does not hold, which is common for offline data, the existing solutions would produce sub-optimal policies. The pessimism principle addresses this issue by discouraging recommendation of actions that are less explored conditioning on the state. However, nearly all pessimism-based methods rely on a key hyper-parameter that quantifies the degree of pessimism, and the performance of the methods can be highly sensitive to the choice of this parameter. We propose to integrate the pessimism principle with Thompson sampling and Bayesian machine learning for optimizing the degree of pessimism. We derive a credible set whose boundary uniformly lower bounds the optimal Q-function, and thus we do not require additional tuning of the degree of pessimism. We develop a general Bayesian learning method that works with a range of models, from Bayesian linear basis model to Bayesian neural network model. We develop the computational algorithm based on variational inference, which is highly efficient and scalable. We establish the theoretical guarantees of the proposed method, and show empirically that it outperforms the existing state-of-the-art solutions through both simulations and a real data example.

Jian Kang, Thomas Nichols, Lexin Li et al.

Neuroimaging has profoundly enhanced our understanding of the human brain by characterizing its structure, function, and connectivity through modalities like MRI, fMRI, EEG, and PET. These technologies have enabled major breakthroughs across the lifespan, from early brain development to neurodegenerative and neuropsychiatric disorders. Despite these advances, the brain is a complex, multiscale system, and neuroimaging measurements are correspondingly high-dimensional. This creates major statistical challenges, including measurement noise, motion-related artifacts, substantial inter-subject and site/scanner variability, and the sheer scale of modern studies. This paper explores statistical opportunities and challenges in neuroimaging across four key areas: (i) brain development from birth to age 20, (ii) the adult and aging brain, (iii) neurodegeneration and neuropsychiatric disorders, and (iv) brain encoding and decoding. After a quick tutorial on major imaging technologies, we review cutting-edge studies, underscore data and modeling challenges, and highlight research opportunities for statisticians. We conclude by emphasizing that close collaboration among statisticians, neuroscientists, and clinicians is essential for translating neuroimaging advances into improved diagnostics, deeper mechanistic insight, and more personalized treatments.

Shuoxun Xu, Zijian Guo, Brooke R. Staveland et al.

Ordinary differential equations (ODEs) provide a powerful framework for modeling dynamic systems arising in a wide range of scientific domains. However, most existing ODE methods focus on a single system, and do not adequately address the problem of learning shared patterns from multiple heterogeneous dynamic systems. In this article, we propose a novel distributionally robust learning approach for modeling heterogeneous ODE systems. Specifically, we construct a robust dynamic system by maximizing a worst-case reward over an uncertainty class formed by convex combinations of the derivatives of trajectories. We show the resulting estimator admits an explicit weighted average representation, where the weights are obtained from a quadratic optimization that balances information across multiple data sources. We further develop a bi-level stabilization procedure to address potential instability in estimation. We establish rigorous theoretical guarantees for the proposed method, including consistency of the stabilized weights, error bound for robust trajectory estimation, and asymptotical validity of pointwise confidence interval. We demonstrate that the proposed method considerably improves the generalization performance compared to the alternative solutions through both extensive simulations and the analysis of an intracranial electroencephalogram data.

Hengrui Cai, Huaqing Jin, Lexin Li

Estimating treatment effects from observational data is of central interest across numerous application domains. Individual treatment effect offers the most granular measure of treatment effect on an individual level, and is the most useful to facilitate personalized care. However, its estimation and inference remain underdeveloped due to several challenges. In this article, we propose a novel conformal diffusion model-based approach that addresses those intricate challenges. We integrate the highly flexible diffusion modeling, the model-free statistical inference paradigm of conformal inference, along with propensity score and covariate local approximation that tackle distributional shifts. We unbiasedly estimate the distributions of potential outcomes for individual treatment effect, construct an informative confidence interval, and establish rigorous theoretical guarantees. We demonstrate the competitive performance of the proposed method over existing solutions through extensive numerical studies.

Chengchun Shi, Tianlin Xu, Wicher Bergsma et al.

In this article, we study the problem of high-dimensional conditional independence testing, a key building block in statistics and machine learning. We propose an inferential procedure based on double generative adversarial networks (GANs). Specifically, we first introduce a double GANs framework to learn two generators of the conditional distributions. We then integrate the two generators to construct a test statistic, which takes the form of the maximum of generalized covariance measures of multiple transformation functions. We also employ data-splitting and cross-fitting to minimize the conditions on the generators to achieve the desired asymptotic properties, and employ multiplier bootstrap to obtain the corresponding $p$-value. We show that the constructed test statistic is doubly robust, and the resulting test both controls type-I error and has the power approaching one asymptotically. Also notably, we establish those theoretical guarantees under much weaker and practically more feasible conditions compared to the existing tests, and our proposal gives a concrete example of how to utilize some state-of-the-art deep learning tools, such as GANs, to help address a classical but challenging statistical problem. We demonstrate the efficacy of our test through both simulations and an application to an anti-cancer drug dataset. A Python implementation of the proposed procedure is available at https://github.com/tianlinxu312/dgcit.

Shuoxun Xu, Zhanhao Yan, Lexin Li

Brain encoding and decoding aims to understand the relationship between external stimuli and brain activities, and is a fundamental problem in neuroscience. In this article, we study latent embedding alignment for brain encoding and decoding, with a focus on improving sample efficiency under limited fMRI-stimulus paired data and substantial subject heterogeneity. We propose a lightweight alignment framework equipped with two statistical learning components: inverse semi-supervised learning that leverages abundant unpaired stimulus embeddings through inverse mapping and residual debiasing, and meta transfer learning that borrows strength from pretrained models across subjects via sparse aggregation and residual correction. Both methods operate exclusively at the alignment stage while keeping encoders and decoders frozen, allowing for efficient computation, modular deployment, and rigorous theoretical analysis. We establish finite-sample generalization bounds and safety guarantees, and demonstrate competitive empirical performance on the large-scale fMRI-image reconstruction benchmark data.

Yinpeng Cai, Lexin Li, Linjun Zhang

Large Language Models (LLMs) are rapidly gaining enormous popularity in recent years. However, the training of LLMs has raised significant privacy and legal concerns, particularly regarding the distillation and inclusion of copyrighted materials in their training data without proper attribution or licensing, an issue that falls under the broader concern of data misappropriation. In this article, we focus on a specific problem of data misappropriation detection, namely, to determine whether a given LLM has incorporated the data generated by another LLM. We propose embedding watermarks into the copyrighted training data and formulating the detection of data misappropriation as a hypothesis testing problem. We develop a general statistical testing framework, construct test statistics, determine optimal rejection thresholds, and explicitly control type I and type II errors. Furthermore, we establish the asymptotic optimality properties of the proposed tests, and demonstrate the empirical effectiveness through intensive numerical experiments.

Jin Zhu, Xin Zhou, Jiaang Yao et al.

Offline reinforcement learning (RL) aims to learn an optimal policy from pre-collected data. However, it faces challenges of distributional shift, where the learned policy may encounter unseen scenarios not covered in the offline data. Additionally, numerous applications suffer from a scarcity of labeled reward data. Relying on labeled data alone often leads to a narrow state-action distribution, further amplifying the distributional shift, and resulting in suboptimal policy learning. To address these issues, we first recognize that the volume of unlabeled data is typically substantially larger than that of labeled data. We then propose a semi-pessimistic RL method to effectively leverage abundant unlabeled data. Our approach offers several advantages. It considerably simplifies the learning process, as it seeks a lower bound of the reward function, rather than that of the Q-function or state transition function. It is highly flexible, and can be integrated with a range of model-free and model-based RL algorithms. It enjoys the guaranteed improvement when utilizing vast unlabeled data, but requires much less restrictive conditions. We compare our method with a number of alternative solutions, both analytically and numerically, and demonstrate its clear competitiveness. We further illustrate with an application to adaptive deep brain stimulation for Parkinson's disease.

Baiting Chen, Tong Zhu, Jiale Han et al.

Large Language Models (LLMs) have demonstrated strong generative capabilities but remain prone to inconsistencies and hallucinations. We introduce Peer Elicitation Games (PEG), a training-free, game-theoretic framework for aligning LLMs through a peer elicitation mechanism involving a generator and multiple discriminators instantiated from distinct base models. Discriminators interact in a peer evaluation setting, where utilities are computed using a determinant-based mutual information score that provably incentivizes truthful reporting without requiring ground-truth labels. We establish theoretical guarantees showing that each agent, via online learning, achieves sublinear regret in the sense their cumulative performance approaches that of the best fixed truthful strategy in hindsight. Moreover, we prove last-iterate convergence to a truthful Nash equilibrium, ensuring that the actual policies used by agents converge to stable and truthful behavior over time. Empirical evaluations across multiple benchmarks demonstrate significant improvements in factual accuracy. These results position PEG as a practical approach for eliciting truthful behavior from LLMs without supervision or fine-tuning.

Zihan Dong, Xin Zhou, Ryumei Nakada et al.

Network representation learning seeks to embed networks into a low-dimensional space while preserving the structural and semantic properties, thereby facilitating downstream tasks such as classification, trait prediction, edge identification, and community detection. Motivated by challenges in brain connectivity data analysis that is characterized by subject-specific, high-dimensional, and sparse networks that lack node or edge covariates, we propose a novel contrastive learning-based statistical approach for network edge embedding, which we name as Adaptive Contrastive Edge Representation Learning (ACERL). It builds on two key components: contrastive learning of augmented network pairs, and a data-driven adaptive random masking mechanism. We establish the non-asymptotic error bounds, and show that our method achieves the minimax optimal convergence rate for edge representation learning. We further demonstrate the applicability of the learned representation in multiple downstream tasks, including network classification, important edge detection, and community detection, and establish the corresponding theoretical guarantees. We validate our method through both synthetic data and real brain connectivities studies, and show its competitive performance compared to the baseline method of sparse principal components analysis.

Yichen Xu, Ryumei Nakada, Linjun Zhang et al.

Transfer learning typically leverages representations learned from a source domain to improve performance on a target task. A common approach is to extract features from a pre-trained model and directly apply them for target prediction. However, this strategy is prone to negative transfer where the source representation fails to align with the target distribution. In this article, we propose Residual Feature Integration (REFINE), a simple yet effective method designed to mitigate negative transfer. Our approach combines a fixed source-side representation with a trainable target-side encoder and fits a shallow neural network on the resulting joint representation, which adapts to the target domain while preserving transferable knowledge from the source domain. Theoretically, we prove that REFINE is sufficient to prevent negative transfer under mild conditions, and derive the generalization bound demonstrating its theoretical benefit. Empirically, we show that REFINE consistently enhances performance across diverse application and data modalities including vision, text, and tabular data, and outperforms numerous alternative solutions. Our method is lightweight, architecture-agnostic, and robust, making it a valuable addition to the existing transfer learning toolbox.

Mingrui Zhang, Xiaowu Dai, Lexin Li

The kidney paired donation (KPD) program provides an innovative solution to overcome incompatibility challenges in kidney transplants by matching incompatible donor-patient pairs and facilitating kidney exchanges. To address unequal access to transplant opportunities, there are two widely used fairness criteria: group fairness and individual fairness. However, these criteria do not consider protected patient features, which refer to characteristics legally or ethically recognized as needing protection from discrimination, such as race and gender. Motivated by the calibration principle in machine learning, we introduce a new fairness criterion: the matching outcome should be conditionally independent of the protected feature, given the sensitization level. We integrate this fairness criterion as a constraint within the KPD optimization framework and propose a computationally efficient solution. Theoretically, we analyze the associated price of fairness using random graph models. Empirically, we compare our fairness criterion with group fairness and individual fairness through both simulations and a real-data example.

Ryumei Nakada, Yichen Xu, Lexin Li et al.

Imbalanced classification and spurious correlation are common challenges in data science and machine learning. Both issues are linked to data imbalance, with certain groups of data samples significantly underrepresented, which in turn would compromise the accuracy, robustness and generalizability of the learned models. Recent advances have proposed leveraging the flexibility and generative capabilities of large language models (LLMs), typically built on transformer architectures, to generate synthetic samples and to augment the observed data. In the context of imbalanced data, LLMs are used to oversample underrepresented groups and have shown promising improvements. However, there is a clear lack of theoretical understanding of such synthetic data approaches. In this article, we develop novel theoretical foundations to systematically study the roles of synthetic samples in addressing imbalanced classification and spurious correlation. Specifically, we first explicitly quantify the benefits of synthetic oversampling. Next, we analyze the scaling dynamics in synthetic data augmentation, and derive the corresponding scaling law. Finally, we demonstrate the capacity of transformer models to generate high-quality synthetic samples. We further conduct extensive numerical experiments to validate the efficacy of the LLM-based synthetic oversampling and augmentation.

Yunzhe Zhou, Chengchun Shi, Lexin Li et al.

The Markov property is widely imposed in analysis of time series data. Correspondingly, testing the Markov property, and relatedly, inferring the order of a Markov model, are of paramount importance. In this article, we propose a nonparametric test for the Markov property in high-dimensional time series via deep conditional generative learning. We also apply the test sequentially to determine the order of the Markov model. We show that the test controls the type-I error asymptotically, and has the power approaching one. Our proposal makes novel contributions in several ways. We utilize and extend state-of-the-art deep generative learning to estimate the conditional density functions, and establish a sharp upper bound on the approximation error of the estimators. We derive a doubly robust test statistic, which employs a nonparametric estimation but achieves a parametric convergence rate. We further adopt sample splitting and cross-fitting to minimize the conditions required to ensure the consistency of the test. We demonstrate the efficacy of the test through both simulations and the three data applications.

Xin Zhou, Botao Hao, Jian Kang et al.

A brain-computer interface (BCI) is a technology that enables direct communication between the brain and an external device or computer system. It allows individuals to interact with the device using only their thoughts, and holds immense potential for a wide range of applications in medicine, rehabilitation, and human augmentation. An electroencephalogram (EEG) and event-related potential (ERP)-based speller system is a type of BCI that allows users to spell words without using a physical keyboard, but instead by recording and interpreting brain signals under different stimulus presentation paradigms. Conventional non-adaptive paradigms treat each word selection independently, leading to a lengthy learning process. To improve the sampling efficiency, we cast the problem as a sequence of best-arm identification tasks in multi-armed bandits. Leveraging pre-trained large language models (LLMs), we utilize the prior knowledge learned from previous tasks to inform and facilitate subsequent tasks. To do so in a coherent way, we propose a sequential top-two Thompson sampling (STTS) algorithm under the fixed-confidence setting and the fixed-budget setting. We study the theoretical property of the proposed algorithm, and demonstrate its substantial empirical improvement through both synthetic data analysis as well as a P300 BCI speller simulator example.

Xiaowu Dai, Lexin Li

Ordinary differential equation (ODE) is an important tool to study the dynamics of a system of biological and physical processes. A central question in ODE modeling is to infer the significance of individual regulatory effect of one signal variable on another. However, building confidence band for ODE with unknown regulatory relations is challenging, and it remains largely an open question. In this article, we construct post-regularization confidence band for individual regulatory function in ODE with unknown functionals and noisy data observations. Our proposal is the first of its kind, and is built on two novel ingredients. The first is a new localized kernel learning approach that combines reproducing kernel learning with local Taylor approximation, and the second is a new de-biasing method that tackles infinite-dimensional functionals and additional measurement errors. We show that the constructed confidence band has the desired asymptotic coverage probability, and the recovered regulatory network approaches the truth with probability tending to one. We establish the theoretical properties when the number of variables in the system can be either smaller or larger than the number of sampling time points, and we study the regime-switching phenomenon. We demonstrate the efficacy of the proposed method through both simulations and illustrations with two data applications.

Chengchun Shi, Yunzhe Zhou, Lexin Li

In this article, we propose a new hypothesis testing method for directed acyclic graph (DAG). While there is a rich class of DAG estimation methods, there is a relative paucity of DAG inference solutions. Moreover, the existing methods often impose some specific model structures such as linear models or additive models, and assume independent data observations. Our proposed test instead allows the associations among the random variables to be nonlinear and the data to be time-dependent. We build the test based on some highly flexible neural networks learners. We establish the asymptotic guarantees of the test, while allowing either the number of subjects or the number of time points for each subject to diverge to infinity. We demonstrate the efficacy of the test through simulations and a brain connectivity network analysis.

Chanwoo Lee, Lexin Li, Hao Helen Zhang et al.

Learning of matrix-valued data has recently surged in a range of scientific and business applications. Trace regression is a widely used method to model effects of matrix predictors and has shown great success in matrix learning. However, nearly all existing trace regression solutions rely on two assumptions: (i) a known functional form of the conditional mean, and (ii) a global low-rank structure in the entire range of the regression function, both of which may be violated in practice. In this article, we relax these assumptions by developing a general framework for nonparametric trace regression models via structured sign series representations of high dimensional functions. The new model embraces both linear and nonlinear trace effects, and enjoys rank invariance to order-preserving transformations of the response. In the context of matrix completion, our framework leads to a substantially richer model based on what we coin as the "sign rank" of a matrix. We show that the sign series can be statistically characterized by weighted classification tasks. Based on this connection, we propose a learning reduction approach to learn the regression model via a series of classifiers, and develop a parallelable computation algorithm to implement sign series aggregations. We establish the excess risk bounds, estimation error rates, and sample complexities. Our proposal provides a broad nonparametric paradigm to many important matrix learning problems, including matrix regression, matrix completion, multi-task learning, and compressed sensing. We demonstrate the advantages of our method through simulations and two applications, one on brain connectivity study and the other on high-rank image completion.

Xiaowu Dai, Lexin Li

Multimodal imaging has transformed neuroscience research. While it presents unprecedented opportunities, it also imposes serious challenges. Particularly, it is difficult to combine the merits of the interpretability attributed to a simple association model with the flexibility achieved by a highly adaptive nonlinear model. In this article, we propose an orthogonalized kernel debiased machine learning approach, which is built upon the Neyman orthogonality and a form of decomposition orthogonality, for multimodal data analysis. We target the setting that naturally arises in almost all multimodal studies, where there is a primary modality of interest, plus additional auxiliary modalities. We establish the root-$N$-consistency and asymptotic normality of the estimated primary parameter, the semi-parametric estimation efficiency, and the asymptotic validity of the confidence band of the predicted primary modality effect. Our proposal enjoys, to a good extent, both model interpretability and model flexibility. It is also considerably different from the existing statistical methods for multimodal data integration, as well as the orthogonality-based methods for high-dimensional inferences. We demonstrate the efficacy of our method through both simulations and an application to a multimodal neuroimaging study of Alzheimer's disease.

Daiwei Zhang, Lexin Li, Chandra Sripada et al.

Delineating the associations between images and a vector of covariates is of central interest in medical imaging studies. To tackle this problem of image response regression, we propose a novel nonparametric approach in the framework of spatially varying coefficient models, where the spatially varying functions are estimated through deep neural networks. Compared to existing solutions, the proposed method explicitly accounts for spatial smoothness and subject heterogeneity, has straightforward interpretations, and is highly flexible and accurate in capturing complex association patterns. A key idea in our approach is to treat the image voxels as the effective samples, which not only alleviates the limited sample size issue that haunts the majority of medical imaging studies, but also leads to more robust and reproducible results. Focusing on a broad family of piecewise smooth functions, we establish the estimation and selection consistency, and derive the asymptotic error bounds. We demonstrate the efficacy of the method through intensive simulations, and further illustrate its advantages with analyses of two functional magnetic resonance imaging datasets.

Jie Zhou, Will Wei Sun, Jingfei Zhang et al.

In modern data science, dynamic tensor data is prevailing in numerous applications. An important task is to characterize the relationship between such dynamic tensor and external covariates. However, the tensor data is often only partially observed, rendering many existing methods inapplicable. In this article, we develop a regression model with partially observed dynamic tensor as the response and external covariates as the predictor. We introduce the low-rank, sparsity and fusion structures on the regression coefficient tensor, and consider a loss function projected over the observed entries. We develop an efficient non-convex alternating updating algorithm, and derive the finite-sample error bound of the actual estimator from each step of our optimization algorithm. Unobserved entries in tensor response have imposed serious challenges. As a result, our proposal differs considerably in terms of estimation algorithm, regularity conditions, as well as theoretical properties, compared to the existing tensor completion or tensor response regression solutions. We illustrate the efficacy of our proposed method using simulations, and two real applications, a neuroimaging dementia study and a digital advertising study.

Qingyang Wu, He Li, Lexin Li et al.

With the widespread success of deep neural networks in science and technology, it is becoming increasingly important to quantify the uncertainty of the predictions produced by deep learning. In this paper, we introduce a new method that attaches an explicit uncertainty statement to the probabilities of classification using deep neural networks. Precisely, we view that the classification probabilities are sampled from an unknown distribution, and we propose to learn this distribution through the Dirichlet mixture that is flexible enough for approximating any continuous distribution on the simplex. We then construct credible intervals from the learned distribution to assess the uncertainty of the classification probabilities. Our approach is easy to implement, computationally efficient, and can be coupled with any deep neural network architecture. Our method leverages the crucial observation that, in many classification applications such as medical diagnosis, more than one class labels are available for each observational unit. We demonstrate the usefulness of our approach through simulations and a real data example.

Miaoyan Wang, Lexin Li

We consider the problem of decomposing a higher-order tensor with binary entries. Such data problems arise frequently in applications such as neuroimaging, recommendation system, topic modeling, and sensor network localization. We propose a multilinear Bernoulli model, develop a rank-constrained likelihood-based estimation method, and obtain the theoretical accuracy guarantees. In contrast to continuous-valued problems, the binary tensor problem exhibits an interesting phase transition phenomenon according to the signal-to-noise ratio. The error bound for the parameter tensor estimation is established, and we show that the obtained rate is minimax optimal under the considered model. Furthermore, we develop an alternating optimization algorithm with convergence guarantees. The efficacy of our approach is demonstrated through both simulations and analyses of multiple data sets on the tasks of tensor completion and clustering.

Will Wei Sun, Lexin Li

Dynamic tensor data are becoming prevalent in numerous applications. Existing tensor clustering methods either fail to account for the dynamic nature of the data, or are inapplicable to a general-order tensor. Also there is often a gap between statistical guarantee and computational efficiency for existing tensor clustering solutions. In this article, we aim to bridge this gap by proposing a new dynamic tensor clustering method, which takes into account both sparsity and fusion structures, and enjoys strong statistical guarantees as well as high computational efficiency. Our proposal is based upon a new structured tensor factorization that encourages both sparsity and smoothness in parameters along the specified tensor modes. Computationally, we develop a highly efficient optimization algorithm that benefits from substantial dimension reduction. In theory, we first establish a non-asymptotic error bound for the estimator from the structured tensor factorization. Built upon this error bound, we then derive the rate of convergence of the estimated cluster centers, and show that the estimated clusters recover the true cluster structures with a high probability. Moreover, our proposed method can be naturally extended to co-clustering of multiple modes of the tensor data. The efficacy of our approach is illustrated via simulations and a brain dynamic functional connectivity analysis from an Autism spectrum disorder study.

Will Wei Sun, Lexin Li

Motivated by applications in neuroimaging analysis, we propose a new regression model, Sparse TensOr REsponse regression (STORE), with a tensor response and a vector predictor. STORE embeds two key sparse structures: element-wise sparsity and low-rankness. It can handle both a non-symmetric and a symmetric tensor response, and thus is applicable to both structural and functional neuroimaging data. We formulate the parameter estimation as a non-convex optimization problem, and develop an efficient alternating updating algorithm. We establish a non-asymptotic estimation error bound for the actual estimator obtained from the proposed algorithm. This error bound reveals an interesting interaction between the computational efficiency and the statistical rate of convergence. When the distribution of the error tensor is Gaussian, we further obtain a fast estimation error rate which allows the tensor dimension to grow exponentially with the sample size. We illustrate the efficacy of our model through intensive simulations and an analysis of the Autism spectrum disorder neuroimaging data.