30 September 2023 — 1804 words — approx 10 minutes

Today we will look at what capacity hints are in Go and how they work for slices and maps. We will see that when creating slices the Go runtime always allocates the requested capacity. However when creating maps the Go runtime uses lazy allocation for small hints, and allocates more capacity than hinted for large hints. Hopefully by the end of this page you will have a much better understanding of how both slices and maps work internally and how their memory is allocated and resized by the Go runtime.

What is capacity?

In Go, slices have a length and a capacity. The length of a slice is the number of elements in the slice, while its capacity is the maximum number of elements that could be stored in the slice before having to resize it.

Why do slices need to be resized? Well, remember that a slice is a contiguous block of memory. Once a slice has reached it’s capacity there may not be any free memory at the end of the slice for more elements, as the adjacent memory may have been allocated to other variables. This means the Go runtime must allocate a larger block of contiguous memory somewhere else, copy all the data from the old block of memory to the new block of memory, and then update the slice to point to the new block of memory instead.

For example, the following code creates a slice of 8 ints. Here both the length and the capacity are the same:

a := make([]int, 8)
fmt.Println(a)              // prints [0 0 0 0 0 0 0 0]
fmt.Println(len(a), cap(a)) // prints 8 8

However to store more than 8 ints in this slice would require resizing it. The built-in append function does just that:

a = append(a, 1)
fmt.Println(a) // prints [0 0 0 0 0 0 0 0 1]
fmt.Println(len(a), cap(a)) // prints 9 16

Here append has doubled the capacity of from 8 ints to 16 ints by allocating a new, larger block of contiguous memory, copying all the data from the old block of memory to the new block of memory, and then updating the slice header to point to the new block of memory.

Unlike slices, maps do not have a capacity as such, although they do use contiguous blocks of memory to store data much like slices. These are known as buckets. However, also unlike slices, while we can use the cap function to get the capacity of a slice we cannot use the same function to get the capacity of a map:

m := make(map[string]string)
fmt.Println(len(m), cap(m))

And attempting to do so will throw a compile-time error:

// invalid argument: m (variable of type map[string]string) for cap

While getting the capacity of a map is not permitted by the compiler, getting the number of key/value pairs in the map using the len function is allowed just fine:

m := make(map[string]string)
m["foo"] = "bar"
fmt.Println(len(m)) // prints 1

An explanation for this comes from a comment from Russ Cox where he explains that unlike slices, the capacity of a map is an estimate, not a guarantee of being able to store capacity key/value pairs without resizing. We will see for ourselves why this is the case later on.

What are capacity hints?

Capacity hints are optional arguments that can be passed to the built-in make function to specify the capacity of a slice (the amount of elements that can be stored in the slice before it needs to be resized) or an approximation of the number of key/value pairs that will be stored in the map. For example:

// create a slice with capacity for 64 ints
a := make([]int, 0, 64)
// create a map with capacity for approximately 64 key/value pairs
m := make(map[int]int, 64)

However capacity hints actually work very differently for slices and maps.

How do capacity hints work for slices?

When creating a slice, the Go runtime always allocates the requested capacity in the hint, ignoring the length completely. We will see that no matter what size we use as a capacity hint, make allocates capacity × sizeof(int) bytes of memory:

make([]int, 0)      // 0 bytes
make([]int, 0, 64)  // 512 bytes
make([]int, 0, 128) // 1024 bytes
make([]int, 0, 512) // 4096 bytes

To understand why make always allocates capacity × sizeof(int) bytes let’s take a look at an example. Any example will work, but to keep it simple let’s create a slice of 0 ints, but ask for capacity to store up to 64 ints before the slice needs to be resized:

b := make([]int, 0, 64)
fmt.Println(b)              // prints []
fmt.Println(len(b), cap(b)) // prints 0 64

Let’s now disasemble the compiled code to see how it works.

When we create the slice we pass two arguments to make. These arguments are the length of the slice (0) and its capacity (64). Here we can see that the ebx register is xored with itself (0) for the length of the slice and 0x40 (64) is moved to the ecx register for the capacity of the slice. With the arguments set in their respective registers, the program then uses the call instruction to call the runtime.makeslice function:

main.go:8    0x49cbe6    488d0553750000      lea rax, ptr [rip+0x7553]
main.go:8    0x49cbed    31db                xor ebx, ebx
main.go:8    0x49cbef    b940000000          mov ecx, 0x40
main.go:8    0x49cbf4    e8c710fbff          call $runtime.makeslice

Let’s look at the code for the runtime.makeslice function. It’s actually very simple. It works out how many bytes are needed to be allocated for the contiguous block of memory (in this case 512 bytes as there are 64 ints of 8 bytes each), it then checks that the length is positive and less than the capacity, and then it simply allocates the 512 bytes from the memory allocator:

func makeslice(et *_type, len, cap int) unsafe.Pointer {
mem, overflow := math.MulUintptr(et.Size_, uintptr(cap))
if overflow || mem > maxAlloc || len < 0 || len > cap {
// NOTE: Produce a 'len out of range' error instead of a
// 'cap out of range' error when someone does make([]T, bignumber).
// 'cap out of range' is true too, but since the cap is only being
// supplied implicitly, saying len is clearer.
// See golang.org/issue/4085.
mem, overflow := math.MulUintptr(et.Size_, uintptr(len))
if overflow || mem > maxAlloc || len < 0 {
panicmakeslicelen()
}
panicmakeslicecap()
}

return mallocgc(mem, et, true)
}

This is how we know the Go runtime always allocates the requested capacity in the hint.

How do capacity hints work for maps?

Unlike slices, maps do not have a capacity as such. Although they also use contiguous blocks of memory (known as buckets) to store data, the number of key/value pairs that can be stored in a map before it must be resized is not its capacity. Instead, maps are resized when the average bucket reaches 80% utilization. This is known as the load factor.

Also unlike slices, the capacity hint for a map is an approximation of the number of key/value pairs that will be stored in the map, however it does not strictly specify how many buckets or bytes of memory will be allocated. Rather, the Go runtime uses lazy allocation of a single bucket for small hints, and allocates more capacity than hinted at initialization time for large hints to keep the load factor below 6.5 (80% utilization).

The following table shows how many buckets are allocated for increasing capacity hints:

Capacity | Buckets  | K/V pairs
1        |        1 |        8
2        |        1 |        8
4        |        1 |        8
8        |        1 |        8
16       |        4 |       32
32       |        8 |       64
64       |       16 |      128
128      |       32 |      256
256      |       64 |      512
512      |      128 |     1024
1024     |      256 |     2048
2048     |      512 |     4096
4096     |     1024 |     8192

In Go, an individual bucket can store up to 8 key/value pairs. This number is fixed. Let’s see how it works for both small and large capacity hints.

Small hints

The Go runtime uses lazy allocation of a single bucket for small hints. To see how this works let’s first create a map without a capacity:

make(map[string]string)

When we disassemble this code we can see that it calls the runtime.makemap_small function:

main.go:8    0x49cbd4    e86717f7ff      call $runtime.makemap_small
main.go:8    0x49cbd9    4889442418      mov qword ptr [rsp+0x18], rax

The code for the makemap_small function is even simpler than makeslice. It allocates a new hmap struct, which contains all the metadata for a map, initializes the hash seed, and then returns. However it never allocates any memory for the buckets which means h.buckets is nil. But if memory isn’t allocated for the buckets when the map is created, then when it is allocated?

// makemap_small implements Go map creation for make(map[k]v) and
// make(map[k]v, hint) when hint is known to be at most bucketCnt
// at compile time and the map needs to be allocated on the heap.
func makemap_small() *hmap {
h := new(hmap)
h.hash0 = fastrand()
return h
}

To answer this question let’s add a key/value pair to the map:

m["foo"] = "bar"

If we disassemble this code a second time we can see it calls a function mapassign_faststr immediately after makemap_small:

main.go:8    0x49cbd8    e86317f7ff      call $runtime.makemap_small
main.go:8    0x49cbdd    4889442420      mov qword ptr [rsp+0x20], rax
main.go:9    0x49cbe2    4889c3          mov rbx, rax
main.go:9    0x49cbe5    488d0d4f8a0100  lea rcx, ptr [rip+0x18a4f]
main.go:9    0x49cbec    bf03000000      mov edi, 0x3
main.go:9    0x49cbf1    488d05a8a30000  lea rax, ptr [rip+0xa3a8]
main.go:9    0x49cbf8    e82354f7ff      call $runtime.mapassign_faststr

The code for mapassign_faststr is much larger than what is shown here, but we can see that when h.buckets is nil it allocates a single bucket:

func mapassign_faststr(t *maptype, h *hmap, s string) unsafe.Pointer {
if h == nil {
panic(plainError("assignment to entry in nil map"))
}
...
if h.buckets == nil {
h.buckets = newobject(t.Bucket) // newarray(t.bucket, 1)
}
...
}

This is what we mean by lazy allocation of a single bucket for small hints. But how small is a small hint? The answer is any capacity hint up to and including bucketCnt, which in Go has a fixed value of 8.

Large hints

When using a capacity hint larger than bucketCnt, the Go runtime allocates more capacity than hinted at initialization time instead of using lazy allocation as with small hints. To see how this works let’s create a map with a capacity hint of 16 this time:

m := make(map[string]string, 16)
m["foo"] = "bar"

If we disassemble this code we can see that it calls a different function runtime.makemap (remember that for small hints the compiler calls runtime.makemap_small instead):

main.go:8    0x49cbd8    488d05c1a30000  lea rax, ptr [rip+0xa3c1]
main.go:8    0x49cbdf    bb10000000      mov ebx, 0x10
main.go:8    0x49cbe4    31c9            xor ecx, ecx
main.go:8    0x49cbe6    e8b517f7ff      call $runtime.makemap

The code for makemap is quite a lot larger than runtime.makemap_small:

// makemap implements Go map creation for make(map[k]v, hint).
// If the compiler has determined that the map or the first bucket
// can be created on the stack, h and/or bucket may be non-nil.
// If h != nil, the map can be created directly in h.
// If h.buckets != nil, bucket pointed to can be used as the first bucket.
func makemap(t *maptype, hint int, h *hmap) *hmap {
mem, overflow := math.MulUintptr(uintptr(hint), t.Bucket.Size_)
if overflow || mem > maxAlloc {
hint = 0
}

// initialize Hmap
if h == nil {
h = new(hmap)
}
h.hash0 = fastrand()

// Find the size parameter B which will hold the requested # of elements.
// For hint < 0 overLoadFactor returns false since hint < bucketCnt.
B := uint8(0)
for overLoadFactor(hint, B) {
B++
}
h.B = B

// allocate initial hash table
// if B == 0, the buckets field is allocated lazily later (in mapassign)
// If hint is large zeroing this memory could take a while.
if h.B != 0 {
var nextOverflow *bmap
h.buckets, nextOverflow = makeBucketArray(t, h.B, nil)
if nextOverflow != nil {
h.extra = new(mapextra)
h.extra.nextOverflow = nextOverflow
}
}

return h
}

Let’s disect it one line at a time.

First it calculates how many bytes may need to be allocated to store hint buckets (remember that hint is 16). How many bytes is this?

mem, overflow := math.MulUintptr(uintptr(hint), t.Bucket.Size_)

Well, each individual bucket in a map is represented as a bmap struct:

// A bucket for a Go map.
type bmap struct {
// tophash generally contains the top byte of the hash value
// for each key in this bucket. If tophash[0] < minTopHash,
// tophash[0] is a bucket evacuation state instead.
tophash [bucketCnt]uint8
// Followed by bucketCnt keys and then bucketCnt elems.
// NOTE: packing all the keys together and then all the elems together makes the
// code a bit more complicated than alternating key/elem/key/elem/... but it allows
// us to eliminate padding which would be needed for, e.g., map[int64]int8.
// Followed by an overflow pointer.
}

And for a map[string]string each bmap is 272 bytes:

1. 8 bytes for tophash (an array of bucketCnt 1 byte unsigned ints).
2. 16 bytes for each key and each value (the size of a string header). There are 8 key/value pairs per bucket, so 256 bytes to store all keys and all values as ((16 × 8) × 2) = 256.
3. 8 bytes for the overflow pointer.

This adds up to a total size of 272 bytes per bucket. If the hint is 16, we can multiply 272 by 16 and get a total of 4,352 bytes. However, it has not actually allocated any memory for the buckets yet. Instead, it first works out the minimum number of buckets actually needed to be within the load factor of 6.5 (80% utilization):

// Find the size parameter B which will hold the requested # of elements.
// For hint < 0 overLoadFactor returns false since hint < bucketCnt.
B := uint8(0)
for overLoadFactor(hint, B) {
B++
}
h.B = B

For a hint of 16, B is 2. Note that B is not the number of buckets, but log2 the number of buckets. The reason for this is that makeBucketArray allocates 1<<b buckets. If B is 2, then it will allocate 4 buckets for a total memory allocation of 1,088 bytes (272 × 4). Having worked out how many buckets are needed to be within the load factor, it then allocates the bucket array:

// allocate initial hash table
// if B == 0, the buckets field is allocated lazily later (in mapassign)
// If hint is large zeroing this memory could take a while.
if h.B != 0 {
var nextOverflow *bmap
h.buckets, nextOverflow = makeBucketArray(t, h.B, nil)
...
}

There are no overflow buckets so the if condition is false and h is returned:

if nextOverflow != nil {
h.extra = new(mapextra)
h.extra.nextOverflow = nextOverflow
}

And that is the end of makemap.

Now if we quickly return to the table from earlier we can see that for a capacity hint of 16 we have 4 buckets which can store up to a theoretical maximum of 32 key/value pairs:

Capacity | Buckets  | K/V pairs
1        |        1 |        8
2        |        1 |        8
4        |        1 |        8
8        |        1 |        8
16       |        4 |       32

However, in practice the map will be resized before reaching 100% utilization.

You should be able to repeat this process for different capacity hints and get the same number of buckets as in the table.

Summary

Capacity hints are optional arguments that can be passed to the built-in make function to specify the capacity of a slice, or an approximation of the number of key/value pairs that will be stored in the map. However, capacity hints actually work very differently depending on whether you are creating a slice or a map. When creating slices the Go runtime always allocates the requested capacity. However, when creating maps the Go runtime uses lazy allocation of a single bucket for small hints, and allocates more capacity than hinted for large hints to keep the average number of key/value pairs per bucket below the load factor and avoid resizing the map unncessarily.