深入理解ReentrantLock

在Java中通常实现锁有两种方式，一种是synchronized关键字，另一种是Lock。二者其实并没有什么必然联系，但是各有各的特点，在使用中可以进行取舍的使用。首先我们先对比下两者。

实现：#####

首先最大的不同：synchronized是基于JVM层面实现的，而Lock是基于JDK层面实现的。曾经反复的找过synchronized的实现，可惜最终无果。但Lock却是基于JDK实现的，我们可以通过阅读JDK的源码来理解Lock的实现。

使用:#####

对于使用者的直观体验上Lock是比较复杂的，需要lock和realse，如果忘记释放锁就会产生死锁的问题，所以，通常需要在finally中进行锁的释放。但是synchronized的使用十分简单，只需要对自己的方法或者关注的同步对象或类使用synchronized关键字即可。但是对于锁的粒度控制比较粗，同时对于实现一些锁的状态的转移比较困难。例如：

特点：#####

tips	synchronized	Lock
锁获取超时	不支持	支持
获取锁响应中断	不支持	支持

优化：#####

在JDK1.5之后synchronized引入了偏向锁，轻量级锁和重量级锁，从而大大的提高了synchronized的性能，同时对于synchronized的优化也在继续进行。期待有一天能更简单的使用java的锁。

在以前不了解Lock的时候，感觉Lock使用实在是太复杂，但是了解了它的实现之后就被深深吸引了。

Lock的实现主要有ReentrantLock、ReadLock和WriteLock，后两者接触的不多，所以简单分析一下ReentrantLock的实现和运行机制。

ReentrantLock类在java.util.concurrent.locks包中，它的上一级的包java.util.concurrent主要是常用的并发控制类.

下面是ReentrantLock的UML图，从图中可以看出，ReentrantLock实现Lock接口，在ReentrantLock中引用了AbstractQueuedSynchronizer的子类，所有的同步操作都是依靠AbstractQueuedSynchronizer（队列同步器）实现。

研究一个类，需要从一个类的静态域，静态类，静态方法和成员变量开始。

 private static final long serialVersionUID = 7373984872572414699L;
    /** Synchronizer providing all implementation mechanics */
    private final Sync sync;

    /**
     * Base of synchronization control for this lock. Subclassed
     * into fair and nonfair versions below. Uses AQS state to
     * represent the number of holds on the lock.
     */
    abstract static class Sync extends AbstractQueuedSynchronizer {
        private static final long serialVersionUID = -5179523762034025860L;

        /**
         * Performs {@link Lock#lock}. The main reason for subclassing
         * is to allow fast path for nonfair version.
         */
        abstract void lock();

        /**
         * Performs non-fair tryLock.  tryAcquire is
         * implemented in subclasses, but both need nonfair
         * try for trylock method.
         */
        final boolean nonfairTryAcquire(int acquires) {
            final Thread current = Thread.currentThread();
            int c = getState();
            if (c == 0) {
                if (compareAndSetState(0, acquires)) {
                    setExclusiveOwnerThread(current);
                    return true;
                }
            }
            else if (current == getExclusiveOwnerThread()) {
                int nextc = c + acquires;
                if (nextc < 0) // overflow
                    throw new Error("Maximum lock count exceeded");
                setState(nextc);
                return true;
            }
            return false;
        }

        protected final boolean tryRelease(int releases) {
            int c = getState() - releases;
            if (Thread.currentThread() != getExclusiveOwnerThread())
                throw new IllegalMonitorStateException();
            boolean free = false;
            if (c == 0) {
                free = true;
                setExclusiveOwnerThread(null);
            }
            setState(c);
            return free;
        }

        protected final boolean isHeldExclusively() {
            // While we must in general read state before owner,
            // we don't need to do so to check if current thread is owner
            return getExclusiveOwnerThread() == Thread.currentThread();
        }

        final ConditionObject newCondition() {
            return new ConditionObject();
        }

        // Methods relayed from outer class

        final Thread getOwner() {
            return getState() == 0 ? null : getExclusiveOwnerThread();
        }

        final int getHoldCount() {
            return isHeldExclusively() ? getState() : 0;
        }

        final boolean isLocked() {
            return getState() != 0;
        }

        /**
         * Reconstitutes this lock instance from a stream.
         * @param s the stream
         */
        private void readObject(java.io.ObjectInputStream s)
            throws java.io.IOException, ClassNotFoundException {
            s.defaultReadObject();
            setState(0); // reset to unlocked state
        }
    }

从上面的代码可以看出来首先ReentrantLock是可序列化的，其次是ReentrantLock里有一个对AbstractQueuedSynchronizer的引用。

看完了成员变量和静态域，我们需要了解下构造方法：

/**
     * Creates an instance of {@code ReentrantLock}.
     * This is equivalent to using {@code ReentrantLock(false)}.
     */
    public ReentrantLock() {
        sync = new NonfairSync();
    }

    /**
     * Creates an instance of {@code ReentrantLock} with the
     * given fairness policy.
     *
     * @param fair {@code true} if this lock should use a fair ordering policy
     */
    public ReentrantLock(boolean fair) {
        sync = fair ? new FairSync() : new NonfairSync();
    }

从上面代码可以看出，ReentrantLock支持两种锁模式，公平锁和非公平锁。默认的实现是非公平的。公平和非公平锁的实现如下：

 /**
     * Sync object for non-fair locks
     */
    static final class NonfairSync extends Sync {
        private static final long serialVersionUID = 7316153563782823691L;

        /**
         * Performs lock.  Try immediate barge, backing up to normal
         * acquire on failure.
         */
        final void lock() {
            if (compareAndSetState(0, 1))
                setExclusiveOwnerThread(Thread.currentThread());
            else
                acquire(1);
        }

        protected final boolean tryAcquire(int acquires) {
            return nonfairTryAcquire(acquires);
        }
    }

    /**
     * Sync object for fair locks
     */
    static final class FairSync extends Sync {
        private static final long serialVersionUID = -3000897897090466540L;

        final void lock() {
            acquire(1);
        }

        /**
         * Fair version of tryAcquire.  Don't grant access unless
         * recursive call or no waiters or is first.
         */
        protected final boolean tryAcquire(int acquires) {
            final Thread current = Thread.currentThread();
            int c = getState();
            if (c == 0) {
                if (!hasQueuedPredecessors() &&
                    compareAndSetState(0, acquires)) {
                    setExclusiveOwnerThread(current);
                    return true;
                }
            }
            else if (current == getExclusiveOwnerThread()) {
                int nextc = c + acquires;
                if (nextc < 0)
                    throw new Error("Maximum lock count exceeded");
                setState(nextc);
                return true;
            }
            return false;
        }
    }

AbstractQueuedSynchronizer 是一个抽象类，所以在使用这个同步器的时候，需要通过自己实现预期的逻辑，Sync、FairSync和NonfairSync都是ReentrantLock为了实现自己的需求而实现的内部类，之所以做成内部类，我认为是只在ReentrantLock使用上述几个类，在外部没有使用到。

我们着重关注默认的非公平锁的实现：

在ReentrantLock调用lock()的时候，调用的是下面的代码：

 /**
     * Acquires the lock.
     *
     * <p>Acquires the lock if it is not held by another thread and returns
     * immediately, setting the lock hold count to one.
     *
     * <p>If the current thread already holds the lock then the hold
     * count is incremented by one and the method returns immediately.
     *
     * <p>If the lock is held by another thread then the
     * current thread becomes disabled for thread scheduling
     * purposes and lies dormant until the lock has been acquired,
     * at which time the lock hold count is set to one.
     */
    public void lock() {
        sync.lock();
    }

sync的实现是NonfairSync，所以调用的是NonfairSync的lock方法：

/**
     * Sync object for non-fair locks
     * tips：调用Lock的时候，尝试获取锁，这里采用的CAS去尝试获取锁，如果获取锁成功
     *       那么，当前线程获取到锁，如果失败，调用acquire处理。
     *
     */
    static final class NonfairSync extends Sync {
        private static final long serialVersionUID = 7316153563782823691L;

        /**
         * Performs lock.  Try immediate barge, backing up to normal
         * acquire on failure.
         */
        final void lock() {

            if (compareAndSetState(0, 1))
                setExclusiveOwnerThread(Thread.currentThread());
            else
                acquire(1);
        }

        protected final boolean tryAcquire(int acquires) {
            return nonfairTryAcquire(acquires);
        }
    }

接下来看看compareAndSetState方法是怎么进行锁的获取操作的：

/**
     * Atomically sets synchronization state to the given updated
     * value if the current state value equals the expected value.
     * This operation has memory semantics of a <tt>volatile</tt> read
     * and write.
     *
     * @param expect the expected value
     * @param update the new value
     * @return true if successful. False return indicates that the actual
     *         value was not equal to the expected value.
     *
     * tips： 1.compareAndSetState的实现主要是通过Unsafe类实现的。
     *       2.之所以命名为Unsafe，是因为这个类对于JVM来说是不安全的，我们平时也是使用不了这个类的。
     *       3.Unsafe类内封装了一些可以直接操作指定内存位置的接口，是不是感觉和C有点像了？
     *       4.Unsafe类封装了CAS操作，来达到乐观的锁的争抢的效果
     */
    protected final boolean compareAndSetState(int expect, int update) {
        // See below for intrinsics setup to support this
        return unsafe.compareAndSwapInt(this, stateOffset, expect, update);
    }

主要的说明都在方法的注释中，接下来简单的看一下 compareAndSwapInt的实现：

/**
     * Atomically update Java variable to <tt>x</tt> if it is currently
     * holding <tt>expected</tt>.
     * @return <tt>true</tt> if successful
     */
    public final native boolean compareAndSwapInt(Object o, long offset,
                                                  int expected,
                                                  int x);

一个native方法，沮丧.....但是从注释看意思是，以CAS的方式将制定字段设置为指定的值。同时我们也明白了这个方法可能是用java实现不了，只能依赖JVm底层的C代码实现。下面看看操作的stateOffset：

    private static final Unsafe unsafe = Unsafe.getUnsafe();
    private static final long stateOffset;
    private static final long headOffset;
    private static final long tailOffset;
    private static final long waitStatusOffset;
    private static final long nextOffset;

    static {
        try {
            //这个方法很有意思，主要的意思是获取AbstractQueuedSynchronizer的state成员的偏移量
            //通过这个偏移量来更新state成员，另外state是volatile的来保证可见性。
            stateOffset = unsafe.objectFieldOffset
                (AbstractQueuedSynchronizer.class.getDeclaredField("state"));
            headOffset = unsafe.objectFieldOffset
                (AbstractQueuedSynchronizer.class.getDeclaredField("head"));
            tailOffset = unsafe.objectFieldOffset
                (AbstractQueuedSynchronizer.class.getDeclaredField("tail"));
            waitStatusOffset = unsafe.objectFieldOffset
                (Node.class.getDeclaredField("waitStatus"));
            nextOffset = unsafe.objectFieldOffset
                (Node.class.getDeclaredField("next"));

        } catch (Exception ex) { throw new Error(ex); }
    }

stateOffset 是AbstractQueuedSynchronizer内部定义的一个状态量，AbstractQueuedSynchronizer是线程的竞态条件，所以只要某一个线程CAS改变状态成功，同时在没有释放的情况下，其他线程必然失败（对于Unsafe类还不是很熟悉，后面还需要系统的学习）。

对于竞争成功的线程会调用 setExclusiveOwnerThread方法：

/**
     * The current owner of exclusive mode synchronization.
     */
    private transient Thread exclusiveOwnerThread;

    /**
     * Sets the thread that currently owns exclusive access. A
     * <tt>null</tt> argument indicates that no thread owns access.
     * This method does not otherwise impose any synchronization or
     * <tt>volatile</tt> field accesses.
     */
    protected final void setExclusiveOwnerThread(Thread t) {
        exclusiveOwnerThread = t;
    }

这个实现是比较简单的，只是获取当前线程的引用，令AbstractOwnableSynchronizer中的exclusiveOwnerThread引用到当前线程。竞争失败的线程，会调用acquire方法，这个方法也是ReentrantLock设计的精华之处：

/**
     * Acquires in exclusive mode, ignoring interrupts.  Implemented
     * by invoking at least once {@link #tryAcquire},
     * returning on success.  Otherwise the thread is queued, possibly
     * repeatedly blocking and unblocking, invoking {@link
     * #tryAcquire} until success.  This method can be used
     * to implement method {@link Lock#lock}.
     *
     * @param arg the acquire argument.  This value is conveyed to
     *        {@link #tryAcquire} but is otherwise uninterpreted and
     *        can represent anything you like.
     * tips:此处主要是处理没有获取到锁的线程
     * 	 tryAcquire：重新进行一次锁获取和进行锁重入的处理。
     *      addWaiter：将线程添加到等待队列中。
     * 	 acquireQueued：自旋获取锁。
     *      selfInterrupt：中断线程。
     *      三个条件的关系为and,如果 acquireQueued返回true，那么线程被中断selfInterrupt会中断线程
     */
    public final void acquire(int arg) {
        if (!tryAcquire(arg) &&
            acquireQueued(addWaiter(Node.EXCLUSIVE), arg))
            selfInterrupt();
    }

AbstractQueuedSynchronizer为抽象方法，调用tryAcquire时，调用的为NonfairSync的tryAcquire。

 protected final boolean tryAcquire(int acquires) {
            return nonfairTryAcquire(acquires);
        }

       /**
         * Performs non-fair tryLock.  tryAcquire is
         * implemented in subclasses, but both need nonfair
         * try for trylock method.
         */
        final boolean nonfairTryAcquire(int acquires) {
            final Thread current = Thread.currentThread();
            int c = getState();
            if (c == 0) {
                if (compareAndSetState(0, acquires)) {
                    setExclusiveOwnerThread(current);
                    return true;
                }
            }
            else if (current == getExclusiveOwnerThread()) {
                int nextc = c + acquires;
                if (nextc < 0) // overflow
                    throw new Error("Maximum lock count exceeded");
                setState(nextc);
                return true;
            }
            return false;
        }

nonfairTryAcquire方法主要是做重入锁的实现，synchronized本身支持锁的重入，而ReentrantLock则是通过此处实现。在锁状态为0时，重新尝试获取锁。如果已经被占用，那么做一次是否当前线程为占用锁的线程的判断，如果是一样的那么进行计数，当然在锁的relase过程中会进行递减，保证锁的正常释放。

如果没有重新获取到锁或者锁的占用线程和当前线程是一个线程，方法返回false。那么把线程添加到等待队列中，调用addWaiter：

   /**
     * Creates and enqueues node for current thread and given mode.
     *
     * @param mode Node.EXCLUSIVE for exclusive, Node.SHARED for shared
     * @return the new node
     */
    private Node addWaiter(Node mode) {
        Node node = new Node(Thread.currentThread(), mode);
        // Try the fast path of enq; backup to full enq on failure
        Node pred = tail;
        if (pred != null) {
            node.prev = pred;
            if (compareAndSetTail(pred, node)) {
                pred.next = node;
                return node;
            }
        }
        enq(node);
        return node;
    }

/**
     * Inserts node into queue, initializing if necessary. See picture above.
     * @param node the node to insert
     * @return node's predecessor
     */
    private Node enq(final Node node) {
        for (;;) {
            Node t = tail;
            if (t == null) { // Must initialize
                if (compareAndSetHead(new Node()))
                    tail = head;
            } else {
                node.prev = t;
                if (compareAndSetTail(t, node)) {
                    t.next = node;
                    return t;
                }
            }
        }
    }

这里主要是用当前线程构建一个Node的等待队列双向链表，这里addWaiter中和enq中的部分逻辑是重复的，个人感觉可能是如果能一次成功就避免了enq中的死循环。因为tail节点是volatile的同时node也是不会发生竞争的所以node.prev = pred;是安全的。但是tail的next是不断竞争的，所以利用compareAndSetTail保证操作的串行化。接下来调用acquireQueued方法：

/**
     * Acquires in exclusive uninterruptible mode for thread already in
     * queue. Used by condition wait methods as well as acquire.
     *
     * @param node the node
     * @param arg the acquire argument
     * @return {@code true} if interrupted while waiting
     */
    final boolean acquireQueued(final Node node, int arg) {
        boolean failed = true;
        try {
            boolean interrupted = false;
            for (;;) {
                final Node p = node.predecessor();
                if (p == head && tryAcquire(arg)) {
                    setHead(node);
                    p.next = null; // help GC
                    failed = false;
                    return interrupted;
                }
                if (shouldParkAfterFailedAcquire(p, node) &&
                    parkAndCheckInterrupt())
                    interrupted = true;
            }
        } finally {
            if (failed)
                cancelAcquire(node);
        }
    }

此处是做Node节点线程的自旋过程，自旋过程主要检查当前节点是不是head节点的next节点，如果是，则尝试获取锁，如果获取成功，那么释放当前节点，同时返回。至此一个非公平锁的锁获取过程结束。

如果这里一直不断的循环检查，其实是很耗费性能的，JDK的实现肯定不会这么“弱智”，所以有了shouldParkAfterFailedAcquire和parkAndCheckInterrupt，这两个方法就实现了线程的等待从而避免无限的轮询：

 /**
     * Checks and updates status for a node that failed to acquire.
     * Returns true if thread should block. This is the main signal
     * control in all acquire loops.  Requires that pred == node.prev
     *
     * @param pred node's predecessor holding status
     * @param node the node
     * @return {@code true} if thread should block
     */
    private static boolean shouldParkAfterFailedAcquire(Node pred, Node node) {
        int ws = pred.waitStatus;
        if (ws == Node.SIGNAL)
            /*
             * This node has already set status asking a release
             * to signal it, so it can safely park.
             */
            return true;
        if (ws > 0) {
            /*
             * Predecessor was cancelled. Skip over predecessors and
             * indicate retry.
             */
            do {
                node.prev = pred = pred.prev;
            } while (pred.waitStatus > 0);
            pred.next = node;
        } else {
            /*
             * waitStatus must be 0 or PROPAGATE.  Indicate that we
             * need a signal, but don't park yet.  Caller will need to
             * retry to make sure it cannot acquire before parking.
             */
            compareAndSetWaitStatus(pred, ws, Node.SIGNAL);
        }
        return false;
    }

首先，检查一下当前Node的前置节点pred是否是SIGNAL，如果是SIGNAL，那么证明前置Node的线程已经Park了，如果waitStatus>0,那么当前节点已经Concel或者中断。那么不断调整当前节点的前置节点，将已经Concel的和已经中断的线程移除队列。如果waitStatus<0,那么设置waitStatus为SIGNAL，因为调用shouldParkAfterFailedAcquire的方法为死循环调用，所以终将返回true。接下来看parkAndCheckInterrupt方法，当shouldParkAfterFailedAcquire返回True的时候执行parkAndCheckInterrupt方法：

private final boolean parkAndCheckInterrupt() {
        LockSupport.park(this);
        return Thread.interrupted();
    }

此方法比较简单，其实就是使当前的线程park，即暂停了线程的轮询。当Unlock时会做后续节点的Unpark唤醒线程继续争抢锁。

接下来看一下锁的释放过程，锁释放主要是通过unlock方法实现：

 /**
     * Attempts to release this lock.
     *
     * <p>If the current thread is the holder of this lock then the hold
     * count is decremented.  If the hold count is now zero then the lock
     * is released.  If the current thread is not the holder of this
     * lock then {@link IllegalMonitorStateException} is thrown.
     *
     * @throws IllegalMonitorStateException if the current thread does not
     *         hold this lock
     */
    public void unlock() {
        sync.release(1);
    }

主要是调用AbstractQueuedSynchronizer同步器的release方法：

    /**
     * Releases in exclusive mode.  Implemented by unblocking one or
     * more threads if {@link #tryRelease} returns true.
     * This method can be used to implement method {@link Lock#unlock}.
     *
     * @param arg the release argument.  This value is conveyed to
     *        {@link #tryRelease} but is otherwise uninterpreted and
     *        can represent anything you like.
     * @return the value returned from {@link #tryRelease}
     */
    public final boolean release(int arg) {
        if (tryRelease(arg)) {
            Node h = head;
            if (h != null && h.waitStatus != 0)
                unparkSuccessor(h);
            return true;
        }
        return false;
    }

tryRelease方法为ReentrantLock中的Sync的tryRelease方法：

        protected final boolean tryRelease(int releases) {
            int c = getState() - releases;
            if (Thread.currentThread() != getExclusiveOwnerThread())
                throw new IllegalMonitorStateException();
            boolean free = false;
            if (c == 0) {
                free = true;
                setExclusiveOwnerThread(null);
            }
            setState(c);
            return free;
        }

tryRelease方法主要是做了一个释放锁的过程，将同步状态state -1，直到减到0为止，这主要是兼容重入锁设计的，同时setExclusiveOwnerThread(null)清除当前占用的线程。这些head节点后的线程和新进的线程就可以开始争抢。这里需要注意的是对于同步队列中的线程来说在setState(c)，且c为0的时候，同步队列中的线程是没有竞争锁的，因为线程被park了还没有唤醒。但是此时对于新进入的线程是有机会获取到锁的。

下面代码是进行线程的唤醒：

 Node h = head;
            if (h != null && h.waitStatus != 0)
                unparkSuccessor(h);
            return true;

因为在setState(c)释放了锁之后，是没有线程竞争的，所以head是当前的head节点，先检查当前的Node是否合法，如果合法则unpark it。开始锁的获取。就回到了上面的for循环执行获取锁逻辑：

至此锁的释放就结束了，可以看到ReentrantLock是一个不断的循环的状态模型，里面有很多东西值得我们学习和思考。

ReentrantLock具有公平和非公平两种模式，也各有优缺点：

公平锁是严格的以FIFO的方式进行锁的竞争，但是非公平锁是无序的锁竞争，刚释放锁的线程很大程度上能比较快的获取到锁，队列中的线程只能等待，所以非公平锁可能会有“饥饿”的问题。但是重复的锁获取能减小线程之间的切换，而公平锁则是严格的线程切换，这样对操作系统的影响是比较大的，所以非公平锁的吞吐量是大于公平锁的，这也是为什么JDK将非公平锁作为默认的实现。

最后：#####

关于并发和Lock还有很多的点还是比较模糊，我也会继续学习，继续总结，如果文章中有什么问题，还请各位看客及时指出，共同学习。