浅析HashMap，何时树化？常见面试题解析

首先来看下HashMap的类描述

/**
 * Hash table based implementation of the <tt>Map</tt> interface.  This
 * implementation provides all of the optional map operations, and permits
 * <tt>null</tt> values and the <tt>null</tt> key.  (The <tt>HashMap</tt>
 * class is roughly equivalent to <tt>Hashtable</tt>, except that it is
 * unsynchronized and permits nulls.)  This class makes no guarantees as to
 * the order of the map; in particular, it does not guarantee that the order
 * will remain constant over time.
 *
 * <p>This implementation provides constant-time performance for the basic
 * operations (<tt>get</tt> and <tt>put</tt>), assuming the hash function
 * disperses the elements properly among the buckets.  Iteration over
 * collection views requires time proportional to the "capacity" of the
 * <tt>HashMap</tt> instance (the number of buckets) plus its size (the number
 * of key-value mappings).  Thus, it's very important not to set the initial
 * capacity too high (or the load factor too low) if iteration performance is
 * important.
 *
 * <p>An instance of <tt>HashMap</tt> has two parameters that affect its
 * performance: <i>initial capacity</i> and <i>load factor</i>.  The
 * <i>capacity</i> is the number of buckets in the hash table, and the initial
 * capacity is simply the capacity at the time the hash table is created.  The
 * <i>load factor</i> is a measure of how full the hash table is allowed to
 * get before its capacity is automatically increased.  When the number of
 * entries in the hash table exceeds the product of the load factor and the
 * current capacity, the hash table is <i>rehashed</i> (that is, internal data
 * structures are rebuilt) so that the hash table has approximately twice the
 * number of buckets.
 *
 * <p>As a general rule, the default load factor (.75) offers a good
 * tradeoff between time and space costs.  Higher values decrease the
 * space overhead but increase the lookup cost (reflected in most of
 * the operations of the <tt>HashMap</tt> class, including
 * <tt>get</tt> and <tt>put</tt>).  The expected number of entries in
 * the map and its load factor should be taken into account when
 * setting its initial capacity, so as to minimize the number of
 * rehash operations.  If the initial capacity is greater than the
 * maximum number of entries divided by the load factor, no rehash
 * operations will ever occur.
 *
 * <p>If many mappings are to be stored in a <tt>HashMap</tt>
 * instance, creating it with a sufficiently large capacity will allow
 * the mappings to be stored more efficiently than letting it perform
 * automatic rehashing as needed to grow the table.  Note that using
 * many keys with the same {@code hashCode()} is a sure way to slow
 * down performance of any hash table. To ameliorate impact, when keys
 * are {@link Comparable}, this class may use comparison order among
 * keys to help break ties.
 *
 * <p><strong>Note that this implementation is not synchronized.</strong>
 * If multiple threads access a hash map concurrently, and at least one of
 * the threads modifies the map structurally, it <i>must</i> be
 * synchronized externally.  (A structural modification is any operation
 * that adds or deletes one or more mappings; merely changing the value
 * associated with a key that an instance already contains is not a
 * structural modification.)  This is typically accomplished by
 * synchronizing on some object that naturally encapsulates the map.
 *
 * If no such object exists, the map should be "wrapped" using the
 * {@link Collections#synchronizedMap Collections.synchronizedMap}
 * method.  This is best done at creation time, to prevent accidental
 * unsynchronized access to the map:<pre>
 *   Map m = Collections.synchronizedMap(new HashMap(...));</pre>
 *
 * <p>The iterators returned by all of this class's "collection view methods"
 * are <i>fail-fast</i>: if the map is structurally modified at any time after
 * the iterator is created, in any way except through the iterator's own
 * <tt>remove</tt> method, the iterator will throw a
 * {@link ConcurrentModificationException}.  Thus, in the face of concurrent
 * modification, the iterator fails quickly and cleanly, rather than risking
 * arbitrary, non-deterministic behavior at an undetermined time in the
 * future.
 *
 * <p>Note that the fail-fast behavior of an iterator cannot be guaranteed
 * as it is, generally speaking, impossible to make any hard guarantees in the
 * presence of unsynchronized concurrent modification.  Fail-fast iterators
 * throw <tt>ConcurrentModificationException</tt> on a best-effort basis.
 * Therefore, it would be wrong to write a program that depended on this
 * exception for its correctness: <i>the fail-fast behavior of iterators
 * should be used only to detect bugs.</i>

总体来说，HashMap具有以下特性

• key & value 可以为空
• 多线程不安全
• 大小为2的幂，就近取
• 负载因子 0.75 是权衡时间&空间的较好值 泊松分布
• 初始容量默认 16 
• 负载因子 & 初始容量 ——> 高效的查询和存储 均匀分布  数组扩容受其影响

*
     * Implementation notes.
     *
     * This map usually acts as a binned (bucketed) hash table, but
     * when bins get too large, they are transformed into bins of
     * TreeNodes, each structured similarly to those in
     * java.util.TreeMap. Most methods try to use normal bins, but
     * relay to TreeNode methods when applicable (simply by checking
     * instanceof a node).  Bins of TreeNodes may be traversed and
     * used like any others, but additionally support faster lookup
     * when overpopulated. However, since the vast majority of bins in
     * normal use are not overpopulated, checking for existence of
     * tree bins may be delayed in the course of table methods.
     *
     * Tree bins (i.e., bins whose elements are all TreeNodes) are
     * ordered primarily by hashCode, but in the case of ties, if two
     * elements are of the same "class C implements Comparable<C>",
     * type then their compareTo method is used for ordering. (We
     * conservatively check generic types via reflection to validate
     * this -- see method comparableClassFor).  The added complexity
     * of tree bins is worthwhile in providing worst-case O(log n)
     * operations when keys either have distinct hashes or are
     * orderable, Thus, performance degrades gracefully under
     * accidental or malicious usages in which hashCode() methods
     * return values that are poorly distributed, as well as those in
     * which many keys share a hashCode, so long as they are also
     * Comparable. (If neither of these apply, we may waste about a
     * factor of two in time and space compared to taking no
     * precautions. But the only known cases stem from poor user
     * programming practices that are already so slow that this makes
     * little difference.)
     *
     * Because TreeNodes are about twice the size of regular nodes, we
     * use them only when bins contain enough nodes to warrant use
     * (see TREEIFY_THRESHOLD). And when they become too small (due to
     * removal or resizing) they are converted back to plain bins.  In
     * usages with well-distributed user hashCodes, tree bins are
     * rarely used.  Ideally, under random hashCodes, the frequency of
     * nodes in bins follows a Poisson distribution
     * (http://en.wikipedia.org/wiki/Poisson_distribution) with a
     * parameter of about 0.5 on average for the default resizing
     * threshold of 0.75, although with a large variance because of
     * resizing granularity. Ignoring variance, the expected
     * occurrences of list size k are (exp(-0.5) * pow(0.5, k) /
     * factorial(k)). The first values are:
     *
     * 0:    0.60653066
     * 1:    0.30326533
     * 2:    0.07581633
     * 3:    0.01263606
     * 4:    0.00157952
     * 5:    0.00015795
     * 6:    0.00001316
     * 7:    0.00000094
     * 8:    0.00000006
     * more: less than 1 in ten million
     *
     * The root of a tree bin is normally its first node.  However,
     * sometimes (currently only upon Iterator.remove), the root might
     * be elsewhere, but can be recovered following parent links
     * (method TreeNode.root()).
     *
     * All applicable internal methods accept a hash code as an
     * argument (as normally supplied from a public method), allowing
     * them to call each other without recomputing user hashCodes.
     * Most internal methods also accept a "tab" argument, that is
     * normally the current table, but may be a new or old one when
     * resizing or converting.
     *
     * When bin lists are treeified, split, or untreeified, we keep
     * them in the same relative access/traversal order (i.e., field
     * Node.next) to better preserve locality, and to slightly
     * simplify handling of splits and traversals that invoke
     * iterator.remove. When using comparators on insertion, to keep a
     * total ordering (or as close as is required here) across
     * rebalancings, we compare classes and identityHashCodes as
     * tie-breakers.
     *
     * The use and transitions among plain vs tree modes is
     * complicated by the existence of subclass LinkedHashMap. See
     * below for hook methods defined to be invoked upon insertion,
     * removal and access that allow LinkedHashMap internals to
     * otherwise remain independent of these mechanics. (This also
     * requires that a map instance be passed to some utility methods
     * that may create new nodes.)
     *
     * The concurrent-programming-like SSA-based coding style helps
     * avoid aliasing errors amid all of the twisty pointer operations.
     */

    /**
     * The default initial capacity - MUST be a power of two.
     */
    static final int DEFAULT_INITIAL_CAPACITY = 1 << 4; // aka 16

HashMap常见面试题：

• HashMap的底层数据结构？

• HashMap的存取原理？

• Java7和Java8的区别？ （1.7 resize的时候，单链表的头插入方式，同一位置上新元素总会被放在链表的头部位置，在旧数组中同一条Entry链上的元素，通过重新计算索引位置后，有可能被放到了新数组的不同位置上。可能出现有环链表！而1.8采用尾插法避免此问题！）

• 为啥会线程不安全？(多线程情况最容易出现的就是：无法保证刚刚put的值，get的时候还是原值，所以线程安全还是无法保证。)

• 有什么线程安全的类代替么?

• 默认初始化大小是多少？为啥是这么多？为啥大小都是2的幂？（均匀分布 & 存取高效）

• HashMap的扩容方式？负载因子是多少？为什么是这么多？

• HashMap的主要参数都有哪些？

• HashMap是怎么处理hash碰撞的？

• hash的计算规则？

• 快速失败 & 安全失败？

底层数据结构：

 1.8 数组和链表 当链表的长度大于8时 ——> 红黑树 提升查询效率

当链表的长度超过了默认阈值8的时就树形化

在treeifyBin(Node<K,V>[] tab, int hash)方法里面还要判断下 table 的 length 是否大于64，小于64是直接resize原数组长度的 2 倍。

看下Node

    /**
     * Basic hash bin node, used for most entries.  (See below for
     * TreeNode subclass, and in LinkedHashMap for its Entry subclass.)
     */
    static class Node<K,V> implements Map.Entry<K,V> {
        final int hash;
        final K key;
        V value;
        Node<K,V> next;

        Node(int hash, K key, V value, Node<K,V> next) {
            this.hash = hash;
            this.key = key;
            this.value = value;
            this.next = next;
        }

        public final K getKey()        { return key; }
        public final V getValue()      { return value; }
        public final String toString() { return key + "=" + value; }

        public final int hashCode() {
            return Objects.hashCode(key) ^ Objects.hashCode(value);
        }

        public final V setValue(V newValue) {
            V oldValue = value;
            value = newValue;
            return oldValue;
        }

        public final boolean equals(Object o) {
            if (o == this)
                return true;
            if (o instanceof Map.Entry) {
                Map.Entry<?,?> e = (Map.Entry<?,?>)o;
                if (Objects.equals(key, e.getKey()) &&
                    Objects.equals(value, e.getValue()))
                    return true;
            }
            return false;
        }
    }

扩容

当元素个数达 负载因子乘上初始容量时 2倍扩容 将原有的数据重新hash存储到新的数组

线程安全可替代的类

SynchronizedMap、HashTable、ConcurrentHashMap（并发更高分段锁1.7，而1.8利用CAS和Synchronized来保证并发，内部虽然定义了segment，但仅仅是为了保证序列化时的兼容性！）

/**
 * Stripped-down version of helper class used in previous version,
 * declared for the sake of serialization compatibility.
 */
static class Segment<K,V> extends ReentrantLock implements Serializable {
    final float loadFactor;
    Segment(float lf) { this.loadFactor = lf; }
}

hash碰撞处理

    /**
     * Computes key.hashCode() and spreads (XORs) higher bits of hash
     * to lower.  Because the table uses power-of-two masking, sets of
     * hashes that vary only in bits above the current mask will
     * always collide. (Among known examples are sets of Float keys
     * holding consecutive whole numbers in small tables.)  So we
     * apply a transform that spreads the impact of higher bits
     * downward. There is a tradeoff between speed, utility, and
     * quality of bit-spreading. Because many common sets of hashes
     * are already reasonably distributed (so don't benefit from
     * spreading), and because we use trees to handle large sets of
     * collisions in bins, we just XOR some shifted bits in the
     * cheapest possible way to reduce systematic lossage, as well as
     * to incorporate impact of the highest bits that would otherwise
     * never be used in index calculations because of table bounds.
     */

static final int hash(Object key) {
    int h;
    return (key == null) ? 0 : (h = key.hashCode()) ^ (h >>> 16);
}

 

快速失败&安全失败？

    /**
     * An optimized version of AbstractList.Itr
     */
    private class Itr implements Iterator<E> {
        int cursor;       // index of next element to return
        int lastRet = -1; // index of last element returned; -1 if no such
        int expectedModCount = modCount;

        public boolean hasNext() {
            return cursor != size;
        }

        @SuppressWarnings("unchecked")
        public E next() {
            checkForComodification();
            int i = cursor;
            if (i >= size)
                throw new NoSuchElementException();
            Object[] elementData = ArrayList.this.elementData;
            if (i >= elementData.length)
                throw new ConcurrentModificationException();
            cursor = i + 1;
            return (E) elementData[lastRet = i];
        }

        public void remove() {
            if (lastRet < 0)
                throw new IllegalStateException();
            checkForComodification();

            try {
                ArrayList.this.remove(lastRet);
                cursor = lastRet;
                lastRet = -1;
                expectedModCount = modCount;
            } catch (IndexOutOfBoundsException ex) {
                throw new ConcurrentModificationException();
            }
        }

        @Override
        @SuppressWarnings("unchecked")
        public void forEachRemaining(Consumer<? super E> consumer) {
            Objects.requireNonNull(consumer);
            final int size = ArrayList.this.size;
            int i = cursor;
            if (i >= size) {
                return;
            }
            final Object[] elementData = ArrayList.this.elementData;
            if (i >= elementData.length) {
                throw new ConcurrentModificationException();
            }
            while (i != size && modCount == expectedModCount) {
                consumer.accept((E) elementData[i++]);
            }
            // update once at end of iteration to reduce heap write traffic
            cursor = i;
            lastRet = i - 1;
            checkForComodification();
        }

        final void checkForComodification() {
            if (modCount != expectedModCount)
                throw new ConcurrentModificationException();
        }
    }

当通过remove移除HashMap中的一个元素时，会修改modCount值，其他修改HashMap集合的方法也会修改modCount值。该值在创建迭代器的时候，会赋值给expectedModCount，在迭代器工作的时候，会判定检查modCount值是否修改了。如果该值被修改了，则抛出ConcurrentModificationException异常。

//直接从hashtable增删数据就会报错。
//hashtable，hashmap等非并发集合，如果在迭代过程中增减了数据，会快速失败 (一检测到修改，马上抛异常)  修改为期望的值不会抛异常
//java.util.ConcurrentModificationException

Iterator的安全失败是基于对底层集合做拷贝，因此，它不受源集合上修改的影响。

采用安全失败机制的集合容器，在遍历时不是直接在集合内容上访问的，而是先复制原有集合内容，在拷贝的集合上进行遍历。

原理：由于迭代时是对原集合的拷贝进行遍历，所以在遍历过程中对原集合所作的修改并不能被迭代器检测到，所以不会触发Concurrent Modification Exception。

缺点：基于拷贝内容的优点是避免了Concurrent Modification Exception，但同样地，迭代器并不能访问到修改后的内容，即：迭代器遍历的是开始遍历那一刻拿到的集合拷贝，在遍历期间原集合发生的修改迭代器是不知道的。

场景：java.util.concurrent包下的容器都是安全失败，可以在多线程下并发使用，并发修改。

java.util包下面的所有的集合类都是快速失败的，而java.util.concurrent包下面的所有的类都是安全失败的。
快速失败的迭代器会抛出ConcurrentModificationException异常，而安全失败的迭代器永远不会抛出这样的异常。

集合遍历是使用Iterator, Iterator是工作在一个独立的线程中，且有一个互斥锁。Iterator 被创建之后会建立一个指向原来对象的单链索引表，当原来的对象数量发生变化时，这个索引表的内容不会同步改变，所以当索引指针往后移动的时候就找不到要迭代的对象，所以按照 fail-fast原则 Iterator 会马上抛出java.util.ConcurrentModificationException 异常。 Iterator 在工作的时候是不允许被迭代的对象被改变的。

HashMap的线程不安全主要体现在下面两个方面：

1.在JDK1.7中，当并发执行扩容操作时会造成环形链和数据丢失的情况。
2.在JDK1.8中，在并发执行put操作时会发生数据覆盖的情况、死循环。