Elements of Sonata Form in Ten Movements from Beethoven's "Razumovsky" String Quartets, Op. 59
by
Megan Poppe, BM, MM
A Thesis
In
Music Theory
Submitted to the Graduate Faculty of Texas Tech University in Partial Fulfillment of the Requirements for the Degree of
MASTER OF MUSIC
Approved by
Dr. Matthew Santa Committee Chair
Dr. David Forrest
Dr. Peter Martens
Mark Sheridan Dean of the Graduate School
August, 2016
Copyright 2016, Megan Poppe Texas Tech University, Megan Poppe, August 2016
ACKNOWLEDGMENTS
I would like to thank my family for their support and Dr. Matthew Santa for advising me through this thesis and guiding me to be a better musician. I would also like to thank Dr.
David Forrest and Dr. Peter Martens for serving on my thesis defense committee and Dr.
John Gilbert for inspiring me to be a better violinist.
ii Texas Tech University, Megan Poppe, August 2016
TABLE OF CONTENTS ACKNOWLEDGEMENTS...... ii
ABSTRACT...... iv
LIST OF FIGURES...... v
I. Earlier Analytic Approaches to the Op. 59 Quartets...... 1
A. Survey of the Literature...... 3
B. Elements of Sonata Theory...... 8
II. Type 3 Sonata Movements in Op. 59...... 12
A. Op. 59, No. 1, First Movement...... 12
B. Op. 59, No. 1, Third Movement...... 16
C. Op. 59, No. 2, Second Movement...... 20
D. Op. 59, No. 3, Fourth Movement...... 23
III. Types 3 Movements with a Blurred Boundary Between the Development
and the Recapitulation...... 27
A. Op. 59, No. 1, Fourth Movement...... 27
B. Op. 59, No. 2, First Movement...... 30
C. Op. 59, No. 3, First Movement...... 34
IV. Op. 59, No. 1, Second Movement...... 38
V. Op. 59, No. 2, Fourth Movement...... 54
VI. Op. 59, No. 3, Second Movement...... 59
A. In Conclusion...... 63
BIBLIOGRAPHY...... 66
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ABSTRACT
Ten of the twelve movements from Ludwig van Beethoven’s Op. 59 set of three string quartets are in some type of sonata form. This thesis adds to the study of Beethoven’s
Razumovsky String Quartets by analyzing the ten sonata form movements within the typology proposed by James Hepokoski and Warren Darcy in their 2006 book Elements of
Sonata Theory. Of the literature on sonata forms in the Op. 59 quartets reviewed in this thesis, there is only one article that was written after the typology of Hepokoski and Darcy was published. This thesis aims to add to the existing research by examining the quartets through the newer lens of the Hepokoski/Darcy typology.
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LIST OF FIGURES 1.1 A proto-typical Type 1 sonata form...... 9
1.2 A proto-typical Type 2 sonata form...... 9
1.3 A proto-typical Type 3 sonata form...... 10
1.4 A proto-typical Type 4 sonata form...... 11
2.1 Formal layout of Op. 59/1, I...... 13
2.2 Order of Keys in Op.59/1, I, Development...... 15
2.3 Formal layout of Op. 59/1, III...... 17
2.4 Order of Keys in Op. 59/1, III, Development...... 18
2.5 Formal layout of Op. 59/2, II...... 20
2.6 Order of Keys in Op. 59/2, II, Development...... 21
2.7 Formal layout of Op. 59/3, IV...... 23
2.8 Order of Keys in Op.59/3, IV, Development...... 25
3.1 Formal layout of Op. 59/1, IV...... 27
3.2 Order of Keys in Op. 59/1, IV, Development...... 29
3.3 Formal layout of Op. 59/2, I...... 31
3.4 Order of Keys in Op. 59/2, I, Development...... 33
3.5 Formal layout of Op. 59/3, I...... 34
3.6 Order of Keys in Op. 59/3, I, Development...... 36
4.1 Formal layout of Op. 59/1, II...... 38
4.2 Order of Keys in Op. 59/1, II, Development...... 42
4.3 Lewis Lockwood, Hypothesis 1...... 45
4.4 Lewis Lockwood, Hypothesis 2...... 46
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4.5 Kerman’s interpretation (Lockwood’s Hypothesis 3)...... 47
4.6 Headlam’s interpretation, (Lockwood’s Hypothesis 4)...... 47
4.7 Jonathan Del Mar’s formal hypothesis...... 48
4.8 Barbara Barry’s formal layout...... 48
4.9 Mark Richard’s Formal Layout...... 50
4.10 Beginning of the three parts to the primary theme (P1, P2 and P3)...... 51
5.1 Type 2 vs. Type 4 Sonata Forms and Formal layout of Op. 59/2, IV...... 54
5.2 Order of Keys in Op. 59/2, IV, Development...... 57
6.1 Formal Layout of Op. 59/3, II ...... 59
6.2 Order of Keys in Op. 59/3, II, Development...... 61
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CHAPTER 1
EARLIER ANALYTIC APPROACHES TO THE OP. 59 QUARTETS
Beethoven’s three Opus 59 string quartets contain ten movements that can be structurally defined as in some type of sonata form. This thesis will explore how the sonata form movements of these quartets can be understood within the spectrum of recent scholarship related to musical forms. The sonata form typology proposed by James
Hepokoski and Warren Darcy provides a way to generally categorize a movement in sonata form. The level at which these ten movements fit into the models of Hepokoski/Darcy differs from slight to significant variation from the models. This analysis will examine the
Beethoven’s “Razumovsky” string quartets though the lens of Hepokoski/Darcy’s sonata form typology and respond to the literature published before the creation of this typology.
Seven of the ten sonata form movements in Op. 59 are what Hepokoski/Darcy would categorize as a Type 3 sonata form. Four of these seven Type 3 movements, found in
Chapter Two, fit the best within the model provided by Hepokoski and Darcy. They only break away from the standard expectations in their formal construction slightly. The remaining three Type 3 movements, found in Chapter Three, have blurred boundaries between their development and recapitulation sections, which is a considerably larger break from standard expectations. The three movements that are not Type 3 sonata forms vary the most in their formal construction and in some cases can be understood as a cross between two different sonata form types. The Op. 59 string quartets only contain three of the five types described by Hepokoski/Darcy and these include Type 2, Type, 3 and Type 4.
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The collection of the three string quartets in Opus 59 was written in 1806 during
Beethoven’s middle compositional period and is often referred to as “The Razumovsky
Quartets.” These quartets were dedicated to the Russian Ambassador in Vienna, Count
Andrey Razumovsky, who commissioned them. Beethoven employs newer compositional techniques in these quartets including the use of well-known Russian folk melodies, which he sets as primary themes in the first two quartets.
Beethoven’s second compositional period from ca. 1802-1814, which includes the
Opus 59 quartets, is marked by experimentation in his musical compositions. Beethoven retained many aspects of his earlier compositional voice in his second period, but he began to experiment with his approach to musical forms and to the proportions of those forms. He modified forms in ways that put many of his pieces ahead of their time. For example, some of his movements are extremely long, like those in his Third Symphony in Eb Major, the
“Eroica.” Another example would be the Pathétique Piano Sonata in which Beethoven altered the first movement’s sonata form by bringing back the slow introduction after the exposition to introduce both the development and the recapitulation. Unfortunately,
Beethoven began struggling physically from hearing loss during this period. This affliction took a huge toll on him emotionally. Having to endure this physical disability threatened his musical ability and was something that severely affected his life. Many of the works composed by Beethoven during this second compositional period and later experiment with traditional formal structures. Such experimentation can be found everywhere in his
Razumovsky Quartets, and this thesis will focus on his experiments with sonata form therein.
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Survey of the Literature
There has already been a great deal written on Beethoven’s string quartets, as well as on his middle period in general. All but one of the written works referenced in this thesis were published before James Hepokoski and Warren Darcy’s sonata form typology. The article written after the publication of Elements of Sonata Theory presents models that resemble Hepokoski and Darcy’s typology but the article only refers to one movement from the “Razumovsky” set. This thesis takes the information presented by these authors and applies it the information given by Hepokoski and Darcy. This melding of information as well as new analysis presents a new way of understanding the formal structure of these string quartets. The first comprehensive treatment of the quartets is Joseph Kerman’s The
Beethoven Quartets, which traces the development of Beethoven’s compositional style by using examples from multiple string quartets.1 Kerman’s book contains the most information on the “Razumovsky” set as a whole and provides a wide range of general information that was used in analyzing these pieces. Kerman’s book is divided into three parts. The first part includes the chapters “Beethoven in 1798,” “Technique and Expression” and “Disruption” with examples from Beethoven’s String Quartets, Op. 18, Nos. 1-6. The second part includes the chapters “After the Eroica,” “The ‘Razumovsky’ Quartets” and “The Quartets of 1809-
10” and he uses examples from Beethoven’s String Quartets Op. 59, Nos. 1-3 as well as his
String Quartets Op. 74 and Op. 95. The third part includes the chapters “Voice,” “Contrast,”
“Fugue,” “Dissociation and Integration” and “Beethoven in 1826.” Kerman uses many examples from many of the string quartets composed by Beethoven to show how
Beethoven’s compositional style evolved during his lifetime.
1 Joseph Kerman, The Beethoven Quartets, New York: Alfred A Knopf Inc., 1966.
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Charles Rosen discusses Beethoven in the last part of his book The Classical Style:
Haydn, Mozart, Beethoven.2 Rosen presents a chronological view of Beethoven’s composing style and references movements from the “Razumovsky” set as examples of Beethoven’s evolving composition style. Like Kerman, the information used from Rosen’s book for this thesis was general in nature. Rosen breaks his discussion of Beethoven into two sections.
The first is simply entitled “Beethoven” and it discusses Beethoven’s style after the Classical period using examples from pieces such as the Eroica Symphony and the Hammerklavier.
The second part is entitled “Beethoven’s Later Years and the Conventions of His
Childhood.” In this part, Rosen discusses Beethoven’s style in his later years and relates his style to that of Haydn and Mozart. Rosen discusses Op. 59 No. 1 when referencing the order of movements in a string quartet. Putting the minuet movement before the slow movement in a string quartet “throws expressive weight of a quartet or quintet towards its latter half.”3
This is a compositional technique that Haydn and Mozart used in a great number of their chamber compositions. Rosen also discusses Beethoven’s use of the fugue in the last movement of Op. 59 No. 3 and states, “In the early 1800s, he mastered the technique of the late eighteenth-century concert fugue.”4
Leonard Ratner examines sonata form in Chapter Thirteen of his book Classic Music:
Expression, Form, and Style.5 Ratner presents a wide array of topics in his book but his section on sonata form was referenced most in this thesis. Ratner provides the general expectations of sonata form as well as some history of the sonata form. Ratner discusses
2 Charles Rosen, The Classical Style Haydn, Mozart, Beethoven. New York: W. W. Norton & Company, 1997. 3 Charles Rosen, The Classical Style Haydn, Mozart, Beethoven. New York: W. W. Norton & Company, 1997: 280. 4 Ibid., 502. 5 Leonard G. Ratner, “Sonata Form.” In Classic Music: Expression, Form and Style, 217-247. New York: Schirmer Books, 1980.
4 Texas Tech University, Megan Poppe, August 2016 several topics in this chapter which is broken down into the following sections: “The
Harmonic Plan; The Key-Area Form,” “Distribution of Melodic Material,” “Two-Part Versus
Three-Part Division,” “The Exposition,” “Development, Recapitulation, Coda,” “Historical
Perspectives” and “Analyses.” Ratner references the work of Augustus Frederic Christopher
Kollmann, Heinrich Christoph Koch, Johann Gottlieb Portmann, Georg Simon Lohlein,
Jerome-Joseph de Momigny, Francesco Galeazzi and Anton Reicha throughout the chapter and uses multiple music examples from Haydn, Mozart and Beethoven.
In addition to books on the Razumovsky quartets, on Beethoven’s middle period, and on the music of the classical period in general, there have also been a number of articles and book chapters focusing on movements from the Op. 59 quartets in particular. Webster’s chapter influenced this thesis in a very general way because he outlines some of the compositional techniques used in Beethoven’s “Razumovsky” string quartets. “Traditional
Elements in Beethoven’s Middle-Period String Quartets” by James Webster discusses
Beethoven’s string quartets from his middle compositional period.6 Webster discusses
Beethoven’s change in compositional style, which later characterized his middle-period compositions. These compositions, which include the Razumovsky String Quartets, are known for being “unprecedented in size, power and excessive force”7 due to Beethoven losing his hearing. Webster continues by discussing movements from the Razumovsky
String Quartets and provides musical examples throughout. Webster compares the
Beethoven movements to movements from string quartets by Haydn and Mozart to show
Beethoven’s new compositional style.
6 James Webster, “Traditional Elements in Beethoven’s Middle-Period String Quartets.” In Beethoven, Performers, and Critics, 94-133. Detroit: Wayne State University Press, 1980. 7 Ibid., 94 from Lewis Lockwood, “Eroica Perspectives: Strategy and Design in the First Movement”
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The form of the the scherzo movement of Beethoven’s String Quartet Op. 59, No. 1, has been a subject of particular interest, and there are five articles or book chapters devoted solely to that topic. The two articles that had the greatest impact on this thesis are Lewis
Lockwood’s “Eroica Perspectives: Strategy and Design in the First Movement” and Dave
Headlam’s “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s
Quartet Op. 59, No. 1.” Lockwood’s article has a wide variety of hypotheses on the formal structure of the scherzo movement from Op. 59 while Headlam’s article provides an in depth discussion on the rhythm presented in the primary theme. This thesis considers the rhythm at the beginning of the movement, which Headlam refers to as the “principal rhythm” to be a part of the primary theme and not introductory material. The first to be published, “A
Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59,
No. 1,” written by Dave Headlam, discusses an “extremely characteristic rhythm” in the scherzo movement of Beethoven’s String Quartet Op. 59, No. 1.8 Headlam introduces a
“principal rhythm” and discusses how “a phrase is both a tonal unit and a rhythmic unit.”
Headlam presents a rhythmic reduction of the exposition as well as a table laying out the hypermetrical groupings.
In the second article published on this same movement “A Problem of Form: The
“Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1,” Lewis Lockwood discusses the larger form of the scherzo from Beethoven’s String Quartet Op. 59, No.1.9
Lockwood states that this movement “holds a special place among Beethoven’s ‘scherzo’ or
‘minuet’ movements in cyclic works by virtue of its great length, profusion of material and
8 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138. 9 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.
6 Texas Tech University, Megan Poppe, August 2016 development, and unusual formal structure.”10 Lockwood presents several different hypotheses on where the formal sections begin and end, as well as provides a useful review of the literature on the movement.
The third study is Jonathan Del Mar’s article “A Problem Resolved? The Form of the
Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1”.11 Del Mar discusses
Lockwood’s four “formal hypotheses” and presents a new fifth hypothesis of his own. He presents two tables that show the breakdown of the formal sections of the movement according to Del Mar’s new fifth hypothesis. The article concludes with a supporting statement from Lewis Lockwood concerning Del Mar’s article.
In the fourth study to be published, Barbara R. Barry writes about the form of the scherzo movement from Op. 59, No. 1 in her chapter entitled “Dialectical Structure in
Action: the Scherzo of Beethoven’s F Major Razoumovsky Quartet Reconsidered.”12 Barry discusses the shift from minuet to scherzo movements in music history and how Beethoven dealt with this change. Barry continues by discussing the large design of Op. 59, No.1 and how “each movement is either a sonata design or is strongly infused with sonata characteristics.”13 When discussing the scherzo movement in more detail, Barry notes the key of the movement as well as its use of what she considers to be a double exposition, and provides multiple musical examples detailing the large-scale form of the movement. Barry talks about the themes from the double exposition and how they have significant variants.
Barry also discusses the recapitulation and which themes from the exposition come back.
10 Ibid., 85. 11 Jonathan Del Mar, “A Problem Resolved? The Form of the Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1.” The Beethoven Forum 8 (2000): 165-172. 12 Barbara R. Barry, “Dialectical Structure in Action: the Scherzo of Beethoven’s F Major Razoumovsky Reconsidered.” In The Philosopher’s Stone Essays in the Transformation of Musical Structure, 18-31. New York: Pendragon Press, 2000. 13 Ibid., 18 from Erwin Ratz, Einfuhrung in die musikalische Formlehre (Vienna: Universal, 1973): 181-96
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Finally, Mark Richards discusses the scherzo movement from Beethoven’s String
Quartet Op. 59, No. 1 in his article “Transforming Form: The Process of Becoming in the
Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.”14 Richards’ article is divided into four parts: “The Two Main Approaches to the Scherzo’s Form,” “The ‘Missing Melody’ of the Scherzo,” “Schmalfeldt’s ‘Process of Becoming’ ” and “The Becoming of Form in the
Scherzo.” Richards references Lewis Lockwood’s hypotheses in his article and presents his own views on the formal structure of this movement. He argues that the movement could be a cross between sonata-rondo and sonata forms although neither have fully explain the structure of the movement. Richard’s views are very relevant to this thesis in that this movement is very unique in its formal structure and that one type of formal design does not fully explain its construction.
Elements of Sonata Theory
James Hepokoski and Warren Darcy, in Elements of Sonata Theory, describe five types of sonata form. The first type is described as “those that contain only an exposition, and a recapitulation, with no link or only a minimal link between them.”15 Figure 1.1 illustrates a proto-typical Type 1 sonata form. Since this type of sonata form lacks a proper development section, the movement transitions from the exposition to the recapitulation with no material or very little material in-between them. This lack of inner development material usually results in a movement without repeats.
14 Mark Richards, “Transforming Form: The Process of Becoming in the Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.” Indiana Theory Review Vol. 30, No. 1 (Spring 2012): 75-102. 15 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.
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Rotation 1 Rotation 2
Exposition Recapitulation P TR ’ S /C P TR ’ S /C I V I I *usually without repeats
Figure 1.1. A proto-typical Type 1 sonata form16
Hepokoski and Darcy describe the second type of sonata form as “those ‘binary’ (or
‘binary variant’) structures in which what others have called the ‘recapitulation’ begins not with the onset of the primary theme (P) but substantially after that point, most commonly at or around the secondary theme (S).”17 Figure 1.2 illustrates a proto-typical Type 2 sonata form. Type 2 sonatas are similar to Type 1 sonatas in that they both contain an exposition and recapitulate that same thematic material at the end. While they are similar, Type 2 sonatas differ from Type 1s in that they contain a development section. Type 2 sonatas may or may not contain repeats.
Rotation 1 Rotation 2 (Not-Sonata-Space)
Exposition Development Tonal Resolution Coda (optional) P TR ’ S /C P ! TR ! ’ S /C
I V V? modulatory [Va] || I I
(Episode substitutions (If this section is provided, for P are possible) it typically begins with P)
Figure 1.2. A proto-typical Type 2 sonata form
16 P = primary theme; TR = transition section; S = secondary theme; C = closing theme 17 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.
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Type 3 sonata forms are the most frequently encountered of the five types.
Hepokoski and Darcy describe these as “the standard ‘textbook’ structures, with expositions, developments, and recapitulations that normally begin with P in the tonic.”18 Figure 1.3 illustrates a proto-typical Type 3 sonata form.
Rotation 1 Rotation 2 (Not-Sonata-Space)
Exposition Development Recapitulation Coda (optional) P TR ’ S /C P TR ’ S /C I V modulatory I I I
Figure 1.3. A proto-typical Type 3 sonata form
The fourth type of sonata form discussed by Hepokoski and Darcy encompasses all the different forms of the sonata-rondo. Hepokoski and Darcy state that the rondo theme that begins an exposition usually concludes with an “energy-gaining transition, medial caesura, secondary theme, EEC19, and so on.”20 Figure 1.4 illustrates a proto-typical Type 4 sonata form. The material that occurs in the exposition of these sonatas is usually balanced by a recapitulation that contains similar material. Each sonata differs slightly in what separates each occurrence of the primary A material. “The traditional, seven-part-rondo letter-scheme,
ABACABA, is inadequate to describe sonata-rondo structures. While the letter-format suggests juxtaposed blocks (a usage that does occur in some rondos), the sonata-rondo
18 Ibid., 344. 19 “EEC” is described by Hepokoski/Darcy as the Essential Expositional Closure. This is the perfect authentic cadence at the end of the secondary theme in the exposition. 20 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.
10 Texas Tech University, Megan Poppe, August 2016 proper, the Type 4 sonata, is more strongly in dialogue with the expositional-rhetorical norms that underpin all of the sonata formats.”21
Rotation 1 Rotation 2 Rotation 3 Rotation 4
Exposition Recapitulation
P TR ’ S /C !RT P development or episode !RT P TR ’ S /C !RT P + optional coda I V I Va I I
Figure 1.4. A proto-typical Type 4 sonata form
Hepokoski and Darcy describe Type 5 sonata form as “a defining feature of many concerto movements.”22 The Type 5 sonata form takes elements from ritornello form as well as other elements of “earlier eighteenth-century concerto and aria traditions (dramatized tutti- solo alterations) with aspects of sonata form.”23 This thesis will not discuss Type 5 sonata form movements since it will be focusing on string quartets and not concertos.
21 Ibid., 344. 22 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 430. 23 Ibid., 430
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CHAPTER 2
TYPE 3 MOVEMENTS IN OP. 59
This chapter will discuss Type 3 sonata form movements in Opus 59. There are four clear expressions of Type 3 sonata form in Opus 59 and they are the first and third movements of No. 1, the second movement of No. 2 and last movement of No. 3. These four movements adhere to most of the general expectations of normal Type 3 sonata form with a few minor exceptions.
Op. 59, No. 1, First Movement
String Quartet in F major, Op. 59, No.1, composed in 1806, emphasizes the compositional techniques that embody Beethoven’s middle compositional period. This is the first string quartet Beethoven composed during his second compositional period and it is about forty minutes in length.24 The majority of Beethoven’s string quartets up until this point were considerably shorter. For example, Beethoven’s String Quartet Op. 18 No. 1, written in 1799, is approximately twenty-five minutes in length.25 The Op. 59/1 string quartet shares the same key of F major with both Beethoven’s first quartet (Op. 18, No. 1) as well as his last quartet (Op. 135). It is interesting to note that he chooses the same key for works that are at the beginning, middle and end of his career for this genre.
24 Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 37.39 minutes.; Guarneri Quartet, The Middle String Quartets, Opp. 59, 74, 95 (RCA Victor, 1966-68), 37.43 minutes.; Takacs Quartet, Beethoven: String Quartets Op. 59, Nos. 1, 2, & 3 and Op. 74 (2CDs), (Decca Music Group Limited, 2002) 39.36 minutes. 25 Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 26.10 minutes.; Guarneri Quartet, Beethoven: String Quartets, Grosso Fugue, (RCA Viktor, 1966-68) 26.35 minutes.; Takacs Quartet, Beethoven: The Early Quartets, (Decca Music Group Limited, 2002) 27.16 minutes.
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The first movement of Op. 59/1 is in a Type 3 sonata form although Beethoven contradicts many of the traditional expectations in tonality and instrumentation associated with this form. Figure 1.5 provides an overview of the form.
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 30 60 91 103 254 279 307 338 348 P TR ’ S /C P TR ’ S /C F: I V modulatory I I I
Figure 2.1. Formal layout of Op. 59/1, I
While one expects the first violin to play the primary theme at the beginning of the exposition, this exposition starts with pedal points in the viola and second violin on the pitches A and C accompanying a presentation of the primary theme beginning in the cello, while the first violin sits silently. The first violin doesn’t enter at all until measure 9. And even though this quartet is in F major, it is tonally ambiguous at the beginning. It is not until measure 19 that a decisive tonic chord is established. The pedal points in the viola and second violin on the third and the fifth of the tonic F chord are seldom accompanied by an F in the cello, and never on a downbeat. The use of pedal point can be traced back to Joseph
Haydn. Many of Haydn’s string quartets contain pedal points, but in his music they serve to create tonal stability and are emphasized further through a motor rhythm. The pedal point keeps the sense of the key allowing the melody more tonal freedom. The melody seen here emphasizes the tonic F major in the voice leading, but because the opening pedal points don’t include the tonic pitch, they actually serve to destabilize the key slightly. The imitation
13 Texas Tech University, Megan Poppe, August 2016 between the cello and the first violin in these opening measures foreshadows his later use of the fugue in the first and last movements. The imitation, of course, only hints at the fugue since only two of the four voices participate, and the opening texture is homophonic, not polyphonic.
This foreshadowing of a polyphonic texture is seen again in measure 103 with the beginning of the development section. Beethoven starts the development section with the exact same four measures that began the exposition. It is not until the fifth full measure that
Beethoven starts to change the harmony like one would expect in a traditional development section. It could be argued that this approach is quite conservative. Starting the development with a transposition of the exposition’s opening and establishing a strong tonal center at the beginning of the development before any modulations occur is found frequently in sonata forms of the late classical period. However, it could also be argued that this technique is quite innovative, because this development begins with a repetition of the exposition’s first four bars at pitch. Development sections that begin with the primary theme usually do so with that theme transposed to an off-tonic key. Traditionally, the development section is tonally ambiguous. Themes and motives are started in fragments and in a variety of keys before ending on the dominant a few measures before the return of the recapitulation. This development does live up to these traditional expectations starting in the fifth measure of the development but the first four measures still provide a sense of formal insecurity because they imitate the exposition note for note. Beethoven also employs imitation at the beginning of the development, though the procedure is somewhat altered. After the cello states the first four measures of the primary theme, all four voices participate in imitation by passing a one- measure segment up through the instruments before the first violin again imitates it in
14 Texas Tech University, Megan Poppe, August 2016 measures 111-114. In measures 115-118, the viola imitates the first violin, while in mm.
119-122, the second violin imitates the viola. This example of imitation even more strongly foreshadows the fugato section that occurs later in the development since all four voices make their statements without overlap, like in a traditional fugal exposition. This development moves through multiple key areas as expected. The progression of keys is shown in Figure 1.6.
m. 103 112 120 130 138 140 152 160 219 224 233
keys: F Bb Gm Dm Gm Eb C Db C Gm F
Figure 2.2. Order of Keys in Op.59/1, I, Development
Beethoven plays with the listener’s expectations during the material that leads up to the recapitulation. There is a five-measure dominant pedal in measures 236-240. Normally, the listener would expect the recapitulation to follow this dominant pedal but in this case the second half of the primary theme occurs. This statement of the theme however is still too tonally unstable to serve as the beginning of the recapitulation. In addition, the beginning of the primary theme doesn’t return until measure 254, which is the beginning of the recapitulation. In m. 254, the beginning of the recapitulation is marked because the cello carries the melody as it did in the exposition, but the pedal points in this statement of the primary theme have moved into different voices. It is now seen in the first and second violins, but the pitches of A and C remain the same. Beethoven uses the pedal point in this movement not only to establish a tentative sense of key under the melody but also to tie the
15 Texas Tech University, Megan Poppe, August 2016 movement together. The similar pedal points all lie at the beginning of the three major sections of this movement’s sonata form and provide a bridge between the sections by bringing back a familiar motive and texture. In measure 262 the first violin does imitate the cello’s melody again, but this time the second half of the theme is altered. Beethoven adds chromaticism into the first violin’s line as it continues to climb in register before the transition section between the first and second themes.
The second movement of this string quartet is a Type 2 sonata and thus will be discussed in chapter 3.
Op. 59, No. 1, Third Movement
The third movement of this string quartet is this string quartet’s slow movement, marked Adagio molto e mesto.26 Beethoven has altered the listener’s expectations by placing the slow movement of this string quartet as the third movement and not the second movement as would be expected. This movement is a Type 3 sonata and has minimal variation on the model presented by Hepokoski/Darcy. Figure 1.7 provides an overview of the form.
26 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven. New York and Oxford: Oxford University Press, 1998, 59. Caplin identifies mm. 1-8 as another example of his hybrid antecedent + continuation theme type.
16 Texas Tech University, Megan Poppe, August 2016
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 17 24 37 46 84 92 97 110 126 P TR ’ S /C P TR ’ S /C f: I V modulatory I I I
Figure 2.3. Formal layout of Op. 59/1, III
This movement begins with one lone quarter note in the second violin while the other voices enter in one by one in the first measure. When first listening to the piece, the quarter note presented by the second violin could be heard as the first downbeat of the movement instead of the pickup to the first measure that it is. Rather, the first violin takes the melody starting on the downbeat of the first measure. It is not until measure 3 after a brief pause in the upper three voices that the rhythmic motion is reset and understood in two- measure segments that makeup one larger sixteen-measure theme. The remaining material of the primary theme is rather straightforward both rhythmically and harmonically.
The transition begins at measure 17 and from the start Beethoven layers in the four voices much like the layering seen at the beginning of this movement. The cello begins the bridge with descending eighth notes and is followed in order by the viola, second violin and first violin. Each voice enters two eighth notes or one beat apart setting up another hint of fugal motion in this string quartet. The secondary theme begins in measure 24 with a lyrical melody that forms a sentence, with the basic idea first stated in the cello, and then repeated in the first violin. This melody is accompanied by thirty-second notes in the inner voices. The last note of the secondary theme is harmonized by a cadential 6/4 chord in m. 37. At this point in a sonata movement the listener would expect a perfect authentic cadence that
17 Texas Tech University, Megan Poppe, August 2016 represents the EEC but the sense of a strong cadence is undercut by the strong melodic beginning in measure 37. The melody starting here makes it impossible to hear the cadence in measure 39 as an EEC. Because of this, the EEC is not heard until measure 43, which is after the start of the closing section. The closing section in this movement occurs from measures 37-45.
The development section begins in measure 46 with the secondary theme in the cello.
When the secondary theme is presented in the exposition it is played by the cello and is echoed by the first violin, which then turns into a duet between the two voices. At the beginning of the development section the cello starts the secondary theme again; although this statement is not in the dominant key of C minor but rather in the key of Ab. In this passage, the second violin, rather than the first, now echoes the cello. These two voices do follow the familiar layout and finish their statements in duet like the exposition duet between the cello and the first violin. The development goes on to revisit fragments of the primary theme and the closing material before presenting new material starting in measure 72. This new material is presented in the first violin and is quite lyrical, even marked molto cantabile by the composer. The development section moves through multiple key areas as expected, as shown in Figure 1.8.
m. 46 51 57 60 67 71 80
keys: Ab Db Gm Cm Fm Db Fm
Figure 2.4. Order of Keys in Op. 59/1, III, Development
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The recapitulation of this movement begins in measure 84 with the primary theme presented again by the first violin. This time though, the accompanying texture has changed in the lower three voices with the second violin and viola creating a bubbling effect. The bubbling effect here represents the energy of moving water since the notes are alternating between different pitches. Although all of the pitch classes in the first violin are preserved,
Beethoven introduces quite a bit of octave displacement throughout this statement of the primary theme. The primary theme in the recapitulation is also only eight measures long or half the length of the primary theme stated in the exposition. The transition section of the recapitulation is also cut short and does not have the imitative beginning seen in the exposition. The secondary theme of the recapitulation begins in measure 97 and functions like the secondary theme in the exposition. Again, this section ends with a cadential 6/4 chord, which avoids the ESC27. The closing section begins in measure 110 and ends in measure 113.
The coda of this movement, starting in measure 114, defies one’s expectations of the instrumentation involved. First, the primary theme is stated in its entirety by the second violin. The first violin does not join the second violin in presenting the theme until two measures after the second violin begins. The two violins finish the theme together in octaves for the remaining five and a half measures. The second surprise in this coda is that it becomes a transition into the fourth movement of the string quartet at measure 126. In this measure, the harmonic rhythm of the lower three voices slows down and the first violin plays a rather virtuosic passage of sixty-fourth notes that ends with the trill that starts the fourth movement.
27 “ESC” is described by Hepokoski/Darcy as the Essential Structural Closure. This is the perfect authentic cadence at the end of the secondary theme in the recapitulation that reaffirms the tonic key.
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Op. 59, No. 2, Second Movement
The second movement of Op. 59 No. 2 is the slow movement of this string quartet and is marked Molto Adagio. This movement is another typical Type 3 sonata form movement. The formal construction of this movement only varies slightly from the Type 3 model presented by Hepokoski/Darcy. Figure 1.9 provides an overview of the form.
Rotation 1 Rotation 2
Exposition Development Recapitulation Codetta m. 1 17 27 52 56 89 96 110 131 153 P TR ’ S /C P TR ’ S /C E: I V modulatory I I
Figure 2.5. Formal layout of Op. 59/2, II
The movement begins with all four voices in imitation, with the first violin carrying the primary theme. Each of the lower three voices enters in succession one half note apart.
After the conclusion of the first eight measures, which form a parallel period, the first violin takes on an accompanimental role while the second violin takes the melody. This phrase does not have the viola and the cello entering in succession like the first phrase. The third phrase group, beginning in measure 17, marks the start of a new rhythm in the first violin.
This rhythm plays the same accompanimental role as it did the second phrase (mm. 9-16) while the second violin continues with the melody. This phrase now shows true imitation, with the viola and the cello entering in succession after the second violin and actually beginning with the same three-note motive. The second violin hands the melody to the first
20 Texas Tech University, Megan Poppe, August 2016 violin in measure 21 and the first violin continues with the melody until the end of the primary theme.
The transition begins in measure 17 with the entrance of the second violin. As seen in the primary theme, the viola and cello enter in succession but this time a measure a part.
The beginning of the secondary theme is marked in m. 27 by the entrance of a new melodic idea in the cello that could be heard as a horn 5ths motive. This melodic idea returns in measure 30 with the upper strings playing what the lower strings had in measures 27-28.
This marks the start of the second phrase of this theme. The closing theme begins in measure
52 and emphasizes two triplet rhythms. The first rhythm is seen in the two violins and is the melodic material of this section. This rhythm is a quarter note follow by triplet eighth notes and is legato. The second rhythm, seen in the viola and the cello, is accompanimental and consists of triplet eighth notes followed by and eighth note and an eighth rest.
The development section begins in measure 56 with the return of the primary theme, which sounds like an off-tonic refrain. The development section is relatively short but does fulfill the expectation of weaving through multiple key areas. These key areas include B major, D major, Bb major, F# minor and E major, as shown in Figure 1.10. It also presents fragments of themes from the exposition as well as rhythms from those themes and ends with a dominant pedal that sets up the recapitulation.
m. 56 63 67 73 78
keys: B D Bb F#m E
Figure 2.6. Order of Keys in Op. 59/2, II, Development
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The recapitulation begins in measure 89 and the melody is again seen in the first violin. The accompaniment to the theme in the other voices is change, however. This statement contains more syncopation in the inner voices while the cello plays the accompaniment figure from the second phrase of the exposition that was originally seen in the first violin. This statement of the primary theme in the recapitulation also differs from the statement in the exposition in that it omits the repetition of the primary theme and there is material to the transition.
The transition section begins in measure 96 and again is marked by the entrance of the second violin. Here, the second violin enters a measure earlier than one would expect based on the transition section in the exposition. In the exposition, the end of the primary theme in m. 16 was marked by the lower three voices ending on a quarter note followed by three beats of rest while the first violin plays a dotted figure leading into the beginning of the transition in the next measure. In the recapitulation, the second violin begins the transition in m. 96 as the first violin and viola cadence on a quarter note to end the primary theme, creating an elision. In addition, the accompanying dotted figure is seen in the cello instead of the first violin. However, these two passages do still have much in common, including the fact that the voices enter in succession a measure apart. The secondary theme begins in measure 110 and in this statement, there is no clear-cut echo in the second phrase of this passage as there was in the exposition. The closing section starts in measure 131 and closely resembles the closing section of the exposition. This closing section in comparison with the closing section from the exposition is altered. The opening of the primary theme is inserted
22 Texas Tech University, Megan Poppe, August 2016 into the middle of the closing theme, which can be seen in measures 140-146. A brief codetta starting in measure 153 bring this movement to a close.
Op. 59, No. 3, Fourth Movement
The fourth movement of this string quartet starts with an immediate alteration of the expectation of what one might expect to hear at the beginning of a sonata form finale movement. Even though this movement does start with a fugato, it is still a typical Type 3 movement since there is very little variation from the Hepokoski/Darcy model after that.
Figure 1.11 provides an overview of the form.
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 47 64 78 92 210 256 277 291 305 P TR ’ S /C P TR ’ S /C C: I V modulatory I I
Figure 2.7. Formal layout of Op. 59/3, IV
Beethoven starts this movement with a fugato and the viola presents the initial ten- measure statement of the fugal subject. After the initial statement of the fugue subject, the following statements occur in the second violin followed by the cello and lastly the first violin. As discussed earlier in this chapter, the standard expectation is that the primary theme occurs in the first violin at the beginning of the exposition section of a movement. In this case, Beethoven not only replaced the primary theme with a fugato but he also saves the expected primary voice for the last statement of the fugue subject. The transition section
23 Texas Tech University, Megan Poppe, August 2016 begins in measure 47 with the new pattern of eighth notes in the first violin, and with the change to accompanying quarter note chords in the lower three voices. As expected, the transition starts stably in C major and successfully pivots to a new key for the secondary theme. The secondary theme begins in measure 64 with a light and bouncy melody composed of motives that are passed around rapidly between the first violin, viola and cello while the second violin holds a pedal D. This pedal D is the dominant of the new key of G major. The closing theme starts in measure 81 and begins to pivot into a new key area for the start of the development section. The expected function of the closing section is to confirm the secondary key, which is G major in this movement. The closing section starts solidly in the key of G major and the first phrase (m. 81-85) cadences in the key of G major. It is in the second phrase that the key area starts to wander by ending on a half cadence in Eb major in measure 91. Wandering through keys is usually saved for the development section but in this movement the wandering starts a few measures early.
The development section begins in measure 92 and the fugal subject from the beginning of the exposition is brought back in transposition. The development is very tonally unstable and is saturated with imitation. Fragments of the exposition themes are also scattered within. This development section goes though several key areas as expected, as shown in Figure 1.12. The last few measures of the development fulfill the expectation of a dominant pedal before the recapitulation occurs. This dominant pedal can be seen clearly in all four voices starting in measure 203. Four measures of eighth notes race into a sustained dominant seventh chord in measure 207. Measures 208-209 also contain bare octave Gs and bridge the gap between measure 207 and the start of the recapitulation in measure 210.
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m. 92 100 108 112 136 152 160 168
keys: Eb Fm Db C#m Dm Bb Fm Cm
Figure 2.8. Order of Keys in Op.59/3, IV, Development
The opening fugato returns at the beginning of the recapitulation. The first statement of the fugal subject is again presented in the viola and proceeds in the same order of voicing as in the exposition. Beethoven alters the start of the recapitulation by accompanying it with half notes in the first violin. The accompaniment to the subject in the exposition were previously constant eighth notes for four bars followed by constant quarter notes for six, but in this passage the accompaniment is in half notes, at least until half way through the first three subject and answer entries. These half notes remain in at least one voice until the transition section starting in measure 256. The transition section is very similar to the exposition except that this passage does not modulate as is expected. The second theme starts in measure 277 and is again passed between the first violin, viola and cello. The second violin is again holding a pedal note but this time it is a G, which is the dominant in the key of C major. This movement does not contain a strong PAC at the end of this theme either here or in the exposition. The absence of the PAC here shows a deviation from
Hepokoski/Darcy’s eighteenth-century model since their theory suggests that a PAC will provide the EEC and the ESC at this point in a normative sonata form of the 18th-century.28
28 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century (Oxford and New York: Oxford University Press, 2006)
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The closing theme begins in measure 298 and again, like the exposition, pivots into a new key area. This time, instead of starting the development section, a lengthy coda begins.
The coda, like the beginning of the development, begins with a transposition of the fugal subject from the beginning of the exposition. A dominant pedal occurs in measures
319-324 and is similar to the dominant pedal section seen at the end of the development.
Fragments from the themes seen thus far in the movement are seen extensively in the coda.
The last nineteen measures of this movement outline one large dominant to tonic cadential motion.
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CHAPTER 3
TYPE 3 MOVEMENTS WITH A BLURRED BOUNDARY
BETWEEN THE DEVELOPMENT AND THE RECAPITULATION
The previous chapter examined movements that closely fit the Type 3 model. This chapter will discuss Type 3 sonata form movements in Opus 59 that challenge the Type 3 model. In three movements of Op. 59, Beethoven blurs the boundaries between the development and the recapitulation sections. This blurring is achieved by the absence of the expected dominant pedal at the end of the development section or the substitution of a dominant pedal in an off-tonic key.
Op. 59, No. 1, Fourth Movement
The fourth movement of this string quartet is entitled Theme russe, (“Russian theme”). Beethoven’s use of a Russian folksong in this movement is due to the nationality of its commissioner Count Andrey Razumovsky. Figure 2.1 provides an overview of the form.
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda
m. 1 35 45 73 100 179 206 218 245 267 P TR ’ S /C P TR ’ S /C F: I V modulatory I I
Figure 3.1. Formal layout of Op. 59/1, IV
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This movement most closely resembles another Type 3 sonata form, though like the first movement from this quartet, it defies some conventions associated with the form. The first theme of the exposition is the subject of a fugato, and fugal fragments can be seen throughout the entire movement. This fugato is foreshadowed by the fugue-like elements in the first movement. There are at least four ways in which the fugato that begins this movement fails to meet the expectations one might have if it were a proper fugue: 1) one would expect each of the voices to enter separately; 2) one would expect the second voice to be transposed to the level of the dominant; 3) one would expect all four voices to present the subject or answer before any the onset of an episode; and 4) one would expect the polyphonic texture to persist throughout the movement. These expectations are broken in four ways.
The subject at the beginning of the fugato section is accompanied by first violin and the second voice enters with the subject transposed up an octave rather than to the level of the dominant. In addition, the episode occurs before all four voices have presented the subject and the answer, and the polyphonic texture dissipates by m. 32. Like the first movement, the cello is first to take the primary theme or the fugato’s subject. The subject in this movement is eight measures in length, and could be understood as a modulating period. The first violin is second to take the subject in measure 9 and is followed by the viola in measure 16. Once again, Beethoven is playing with the expectations of the listener. The second violin hints at taking the fugue subject in measure 16 by playing the first two measures with the viola, but in measure 18 it turns to playing an accompaniment in syncopation while the viola continues with the fugue subject. In a traditional fugue, all voices must present the subject before the end of the first section. The fact that Beethoven chose to omit the statement of the subject in
28 Texas Tech University, Megan Poppe, August 2016 the second violin is one more reason to consider the form of this theme a fugato rather than a true fugue.
The second theme of the exposition starts in the second violin line in measure 45. It is interesting to note that the second violin, which was previously left out of the statement of the first theme, is first to play the second theme. This second theme has a slower harmonic rhythm and is more lyrical and tranquil in character. The cello and first violin present the second theme in stretto beginning in measure 53. Like the first theme, the statement of the second theme is only stated in three of the four instruments with the viola being left out this time, though because the last two are presented almost simultaneously, the impression of a fugato is comparatively weaker, with the sense of only two statements of the subject, the second statement in the cello sounding with an echo played by the first violin.
The development section begins in measure 100 with fragments of the first theme starting in the viola and cello lines. These fragments are harmonically less stable which is consistent with traditional development sections. The key areas of this development section are shown in Figure 2.2.
m. 106 114 129 173
keys: Gm Ab Dm Bb
Figure 3.2. Order of Keys in Op. 59/1, IV, Development
The last few measures of the development section clearly contain a pedal, which is expected at the end of the development section before the recapitulation. Here, Beethoven
29 Texas Tech University, Megan Poppe, August 2016 plays with that expectation by placing the expected pedal in the wrong key. A pedal on the dominant of the primary key, C major, is expected but instead the pedal is on the tonic in the key of Bb major. The recapitulation section begins in measure 179 with the statement of the first theme. Beethoven plays with the listener’s expectation at the start of the recapitulation by giving the initial statement of the first theme to the first violin instead of the cello. The transition section begins in measure 206 and is very similar to the transition in the exposition, just two measures longer. The secondary theme begins in measure 218 in the cello instead of the second violin as it was in the exposition. The closing section begins in measure 245 and matches the closing section in the exposition very closely. This movement ends with a coda section beginning in measure 277, which presents fragments of themes and rhythms seen earlier in the movement. This section goes through two major tempo changes. The first tempo change, marked Adagio ma non troppo, occurs in measure 309 with the return of the primary theme in the first violin. Ten measures later the tempo changes again, this time to
Presto, and the movement ends in this fast tempo.
Op. 59, No. 2, First Movement
The line between the development and the recapitulation section in this movement is again blurred like the previous movement discussed in this chapter. The end of the development in this movement does not contain a strong cadence or a dominant pedal before the recapitulation and this masks the beginning of the recapitulation. The first movement of
Op. 59 No. 2 begins with two forte chords: a root-position tonic followed by a dominant in first inversion. These chords are followed by a measure of silence before the primary theme of the exposition begins in measure 3. Figure 2.3 provides an overview of the form.
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Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 3 26 38 58 72 141 161 178 198 210 P TR ’ S /C P TR ’ S /C e: I V modulatory I I I
Figure 3.3. Formal layout of Op. 59/2, I
The melody, in contrast to the opening chords, is marked pianissimo and is in the first violin. The transition section begins in (m. 26) and is preceded by an ascending sixteenth note run in the first violin. The first violin carries the melody of ascending sixteenth note arpeggios and all four voices are marked fortissimo. Sixteenth notes weave between all four voices creating a constant stream of notes and there is not one gap in the entire transition.
The secondary theme of this movement begins in measure 39 after a long medial caesura that occurs in measures 33-38. The secondary theme begins with a change in the harmonic rhythm, which goes to two chords per measure as opposed to six measures of dominant harmony preceding it. The melody is presented in the first violin and the first two measures of this theme are far more melodic than any of the material since the primary theme. The melody is immediately repeated in the second violin starting in measure 43, this time marked piano dolce. This theme could be defined as a sentence structure. The statement in the first violin (m. 39-42) could be understood as the first presentation followed by the second presentation occurring in the second violin (m. 42-46) and finally the
31 Texas Tech University, Megan Poppe, August 2016 continuation beginning in measure 47. The continuation contains a repeated marking of piano dolce and the rhythm slows down slightly containing more eighth notes than sixteenth notes. Both sections contain stark dynamic contrast between piano and forte with sforzandos. The closing section begins in measure 58 with syncopated rhythm in homophonic texture in all four voices. This syncopated rhythm breaks six measures before the end of the exposition (m. 65) with falling arpeggios in the first violin and the viola and sixteenth note accompaniment in the second violin and the cello. The exposition section in this movement does contain the traditional sonata form repeat signs.
The development section begins in measure 72 with material that is the same rhythmically as the first measure of this movement. The development section is clearly emphasizing other key areas at this point, as is shown in Figure 2.2. The development section begins in Eb minor and moves to B minor in measure 78 when the cello has a fragment of the primary theme. The cello restates this fragment of the primary theme three measures later (m. 81) but this time in C minor. The fragment is stated a third time, this time in the first violin, in Ab major in measure 83. There is some tonic and dominant motion that occurs in the following measures before the passage settles in Bb minor in measure 89. In the measures that follow, the passage pivots in measures 93 and 94 to the dominant chord of B minor in measure 95. The development section settles in B minor for a while before moving through C major (m.107-110), A minor (m. 111-123) and Bb major (m. 124-127), as is shown in Figure 2.4. After a short sequence, the expected dominant pedal in E minor arrives in measure 133. The development section functions as one might expect by weaving in and out of different key areas and by emphasizing fragments from different themes seen thus far.
It does, however, confound our expectations right before the return of the recapitulation.
32 Texas Tech University, Megan Poppe, August 2016
m. 72 78 81 83 89 97 107 111 124 133
keys: Ebm Bm Cm Ab Bbm Bm C Am Bb Em
Figure 3.4. Order of Keys in Op. 59/2, I, Development
The end of the development section sneaks directly into the recapitulation: there is no strong cadence or dominant pedal before the start of the recapitulation. The recapitulation simply starts in measure 143 with the return of the two opening chords, and is texturally rewritten in such a way as to undermine any sense of a sectional division. Sixteenth-note lines in the lower two voices now accompany the chords that start the recapitulation. The measure of silence in between the opening chords and the start of the primary theme is also filled in with sixteenth notes. Once the primary theme starts, however, everything seems to be the same as in the exposition. The transition section begins in measure 163 and like the exposition it is marked fortissimo and contains the same arpeggios and rhythmic elements, only transposed to end on the dominant of E minor.
The secondary theme begins in measure 178 and is again in a sentence structure with two presentations. The first violin begins with the first basic idea that is then repeated by the second violin, and then the first violin presents another basic idea in mm. 183-184 and repeats that idea an octave lower in mm. 185-186. The continuation follows starting in measure 187. The closing theme, beginning in measure 200, is and exact return of the textural and rhythmical elements seen in the exposition. There is a repeat sign at the end of
33 Texas Tech University, Megan Poppe, August 2016 this section, which either repeats back to the start of the development section or continues on to the coda starting in measure 216. The coda begins in measure 209 with the two quarter- note chords like the beginning of the movement and the beginning of the development, only this time, transposed to C major. It goes on to bring back familiar fragments from the themes already seen as expected and ends the movement in E minor with a stark dynamic contrast from fortissimo to piano.
Op. 59, No. 3, First Movement
This movement, like the first two in this chapter, has a blurred line between the development and recapitulation section due to the lack of a dominant pedal. The first movement of Op. 59 No. 3 begins with a 29-measure introduction.29 Figure 2.5 provides an overview of the form.
Rotation 1 Rotation 2
Exposition Development Recapitulation m. 43 59 77 91 112 191 207 223 237 P TR ’ S /C P TR ’ S /C C: I V modulatory I I I
Figure 3.5. Formal layout of Op. 59/3, I
This introduction is marked Andante con moto and consists of series of chords that seem devoid of any particular melodic or tonal direction. A clear melody is not heard until
29 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven. New York and Oxford: Oxford University Press, 1998, 40. Caplin identifies mm. 30-40 as another example of a deviation from the norm when considering the presentation portion of a sentence in what he refers to as a tight-knit theme.
34 Texas Tech University, Megan Poppe, August 2016 the start of the exposition in measure 30. The pickup to measure 30 is marked with the new tempo of Allegro vivace but does not yet mark the beginning of the primary theme. Rather, another introduction starts here and is played primarily by the first violin. The primary theme is a sentence and begins in measure 43. The basic idea is stated in measures 43-44 and repeated in measures 45-46. The first violin, second violin and the viola play the driving melody in octaves while the cello plays a tonic pedal beneath them. The presentation is followed by an irregular continuation. The continuation begins with the expected material in measure 48 but then starts over in measure 49 and finishes in measure 52. This continuation is then repeated in measures 53-58 (the final cadence in this repetition is expanded by two bars).
The transition section begins in measure 59 with a perfect authentic cadence. The second violin takes the melody, which is then echoed in the first violin two measures later.
The boundary lines between the primary section and the transition section are blurred because of the relationship between measures 57 and 65. Half step motions in measure 57 in the inner voices embellish a perfect authentic cadence whose final chord arrives in m. 59, while measure 65 presents a similar half step motive to what was seen in measure 57, but here it serves not as accompaniment, but as melody in the first violin: it takes over for the cello, stuck on G, and leads to the music in mm. 66-67 that resolves the phrase with an authentic cadence.
The secondary theme begins in measure 77 with a melody that is very similar to that of the transition section. This melody begins after a solid G major chord on the downbeat of measure 77, which confirms that the transition section has successfully modulated to the dominant key for the start of the secondary theme as expected. The closing section begins in
35 Texas Tech University, Megan Poppe, August 2016 measure 91 after a perfect authentic cadence in G major occurring on the downbeat. The end of the closing section contains first and second endings. The repeat of the exposition is not matched by a repeats of the development and recapitulation, as is often found in earlier sonata forms.
The entrance of the solo first violin in the pick up to measure 112 marks the start of the development section. The start of this section is very similar to the start of the exposition at the beginning of the movement. This development section presents fragments of the themes seen earlier as well as new material that resembles the introduction (m. 154). The development also moves through multiple key areas as expected, as shown in Figure 2.6.
m. 111 127 133 144 148 154 163 175
keys: Eb Em F Dm Cm Db Cm C
Figure 3.6. Order of Keys in Op. 59/3, I, Development
The line between the development and the recapitulation sections is blurred due to the lack of the expected dominant pedal at the end of the development. Here, instead of a stable pedal in the dominant that is preparing the listener for the return of tonic, the first violin plays a passage that is improvisatory in nature. There is very little accompaniment during these measures and thus the start of the recapitulation comes earlier than expected. The recapitulation starts in measure 191. Here all four voices are forte and the melody is presented in octaves by the first and second violins. The viola matches the rhythm presented by the two violins a third lower and the cello plays a tonic pedal point. Again, the primary
36 Texas Tech University, Megan Poppe, August 2016 theme’s phrase organization is a sentence as it was in the exposition. The transition section begins in measure 207, the secondary theme begins in measure 223 and the closing section begins in measure 237. All three of these sections closely resemble those same sections in the exposition and follow the expected key scheme of a Type 3 sonata.
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CHAPTER 4
OP. 59, NO. 1, SECOND MOVEMENT
The second movement of Beethoven’s String Quartet Op. 59, No. 1 is entitled
Allegretto vivace e sempre scherzando. This movement challenges the Type 3 model presented by Hepokoski/Darcy in that it is a scherzo and trio movement with defining qualities of sonata form. This thesis will describe the ways that this movement challenges the Type 3 model, then it will compare how my analysis differs from previous analyses by
Dave Headlam, Lewis Lockwood, Jonathan Del Mar, Barbara Barry and Mark Richards. My interpretation of this movement’s formal layout is given in Figure 3.1 below.30
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 40 68 101 115 155 239 276 304 337 354 404 P1 P2 P3 TR ’ S P1 P2 P3 TR ’ S Bb: I iii I v modulatory bVI, I vi V i I
Figure 4.1. Formal layout of Op. 59/1, II
There are two interpretations concerning where to take the start of the primary theme.31 The first interpretation considers the first four measures of the movement as a short, introductory principal rhythm before the primary theme starts in measure 5 with melodic material. The second interpretation considers the four-measure principal rhythm on a single
30 This formal layout differs from interpretations discussed later on in this chapter 31 Dave Headlam argues for an eight measure first phrase in his article “A Rhythmic Study of the Exposition in the Second Movement on Beethoven’s Quartet Op. 59, No. 1.”
38 Texas Tech University, Megan Poppe, August 2016 pitch as the start of the primary theme. This interpretation considers the principal rhythm to be the first half of the first phrase and the melody starting in measure 5 as the second half of the first phrase. This thesis will honor the second interpretation for the following discussion of the primary theme. The primary theme in the exposition of this movement can be divided into three parts. The first part (P1) spans the first 38 measures of the movement. The principal rhythm, played by the cello, occurs on only one pitch, which is the tonic Bb. This rhythm is very distinctive even though it has no melodic shape.32 The second violin presents the first melodic material from the pick up to measure 5 through measure 8. This melody begins by outlining the tonic triad and ends by suggesting a half cadence approached by a secondary dominant. These first eight measures can be seen as a call and response phrase and are repeated in measures 9 through 16. Although the phrase construction in measures 9 through 16 is similar to that of the first eight, these measures transpose the music of the first eight measures to the key of Ab. This time it is the viola that presents the four-measure rhythm on the pitch Ab and it is the first violin that answers with the melody that begins by outlining an Ab triad. It is not until measure 17 that any of the four voices play together and a full four-voice texture is not seen until measure 19. Measure 17 starts a new phrase with the principal four-measure rhythm extended into six measures. The cello and the viola enter first followed by the entrance of the second violin in measure 18 and the entrance of the first violin in measure 19.
The second part of the primary theme (P2) begins with the pickup to measure 40.
This part begins with a variant on the melody presented in measures 5 through 9, and is presented in the key of d minor. It is more lyrical than P1, with the principal rhythm from
32 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138.
39 Texas Tech University, Megan Poppe, August 2016 the beginning of the movement not returning until the end of the section in measure 62. The third part (P3) of the primary theme begins in measure 68 with the return of the primary tonic
Bb presented by the principal rhythm in the cello. Again, the phrase is presented in a call- and-response format, although this time the second half of the phrase containing the melody is passed between the second violin and the viola. This beginning of this melody is a variant on the melodic material from P1 seen in measures 5 through 8. The second phrase of this part is presented in a call and response format transposed to a different key in a manner similar to the beginning of the movement, although this time the transposition is from Bb major to A major, rather than from Bb major to Ab major. Here, the principal four-measure rhythm is presented in the viola with held tonic chord tones in the two violins. The melody is again passed between two voices but this time it is in the first and second violins. There is a varied repetition of P3 starting in measure 101, which I take to be the beginning of a transition. This statement of P3 is now in a full-texture and the first phrase of this statement arrives on a half cadence in D minor in measure 108. The following six-measure phrase is modulatory and takes the passage to the dominant of F minor.
The secondary theme begins in measure 115 with the first violin presenting it in F minor. This theme starts with the first violin alone for a measure and is marked piano. The other three voices enter in the following measure and the dynamic level quickly increases.
The secondary theme forms a sentence structure. The basic idea is presented in measures
115-118 and repeated in measure 119-122 with the melody in the first violin. These eight measures make up the presentation while the continuation occurs in the following eight measures: a fragment of the basic idea is presented in measures 123-124 and again in measures 125-126 with the cadential idea in measures 127-130.
40 Texas Tech University, Megan Poppe, August 2016
There are two possible places that one could reasonably take to be the start of the development in this movement.33 The first interpretation is based on the sense of a beginning that occurs in measure 155. Here, there is an interval drop of a fifth in the cello from measure 154 to 155 accompanied by the first two measures of the melodic portion of P1.
This is accompanied by a key change to Db major, which is distantly related to the tonic key of Bb major.
The second interpretation takes the start of the development to be in measure 171.
Taking the start of the development in measure 171 is supported by the measure of complete silence (m. 170) that precedes it as well as relative tonal stability and recycling of thematic material in measures 154-170 that might make it sound like a short codetta (or closing) to the exposition (though the stable tonality is of Db major, not the key of the secondary theme).
This codetta delays the start of the development until measure 171. Measure 171 is also marked piano and dolce. Although it is not the bold character that might be expected to mark the beginning of a development, it nevertheless marks a character change. No matter which interpretation is taken regarding the start of the development, it goes through multiple key areas as expected. This thesis considers the start of the development to be in measure 155.
The key areas the development passes through are shown in Figure 3.2. Moving through several key areas over the course of the development is an expected trait but the number of keys in this development and the fast rate of change is striking here.
33 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.
41 Texas Tech University, Megan Poppe, August 2016
m. 155 171 183 185 191 196 201 211 225 229 232 233
keys: Db B Ebm Gb Fm Cm Dm Am Gm Eb Cm Bb
Figure 4.2. Order of Keys in Op. 59/1, II, Development
The end of the development could be taken with the arrival of the fully diminished seventh chord in m. 237, a deceptive resolution that creates an evaded cadence. The root of this diminished chord is the pitch “A.” As the ending of this development section, this spot breaks with the expectation of the listener in three ways. First, there is a full measure of silence between the end of the development and the beginning of the recapitulation of the form. Second, the development ends on a diminished chord rather than the expected dominant of the primary key. Third, the recapitulation starts in a key that is not expected given the way in which the development ended. This new key is Gb Major is not an expected resolution of the A diminished seventh chord. In addition to the wrong resolution,
Beethoven again denies the expectation of the listener by starting the recapitulation in a key other than the expected tonic of Bb major. Not only does this key break with the expectations of the form but also the key used here is distantly related to the tonic key of Bb major. The tonic key does not occur until measure 259, which is twenty measures after the beginning of the recapitulation. Another interpretation to consider is taking the start of the recapitulation in measure 265. 34 This interpretation would take the end of the development as elided to the beginning of the recapitulation, with the first of the three primary thematic
34 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.
42 Texas Tech University, Megan Poppe, August 2016 units (P1) represented only by the principal rhythm, and with P2 starting only twelve measures after the start of the recapitulation (pickup to m. 276).
If the first interpretation to the start of the recapitulation is taken, there are three parts of the primary theme just like in the exposition. As in the exposition, one could hear the primary theme as beginning with the start of the principal rhythm in measure 239 or with the start of the melodic material in measure 243. To stay consistent with the exposition, this thesis will consider the start of the primary theme and thus the first part of the primary theme
(P1) to start in measure 239. This part is in a similar phrase structure to the first part of the primary theme in the exposition. What differs here is the voicing. The principal rhythm starts the phrase, this time in the first violin and accompanied by the second violin and the viola, while the second half of the phrase contains the melodic response to the rhythm. This melodic response is divided between the second violin and the viola. The second and third phrases of this first part are again similar to that of the exposition just with different voicings and a thicker texture. The second part (P2) of the primary theme begins in measure 275 and is in the key of g minor. Other than the different key, this part is the same as part two of the primary theme in the exposition. Part 3 (P3) of the primary theme begins in measure 304 and is in the key of F major. Again like the treatment of the second part, the third part here is the same as the third part of the primary theme in the exposition except for the key and minor voicing changes. Instead of returning to the primary key for the third part of the primary theme, Beethoven changes it to the key of F major or the dominant. Like in the exposition,
P3 has a transition section starting in measure 337.
The secondary theme begins in measure 354 and is in the key of Bb minor. The expectation of key for the secondary theme in the recapitulation is for it to remain in the tonic
43 Texas Tech University, Megan Poppe, August 2016 key. Here Beethoven changes the expectation by putting the secondary theme in the key of the parallel minor. The first phrase of the secondary theme serves as the presentation phrase of a sentence, just as it did in the exposition. The basic idea is stated in measures 354-357 and is restated in measures 358-361. The continuation follows, with fragments of the basic idea occurring in measures 362-363 and again in measures 364-365, followed by the cadential idea in measures 366-369. There is a possible closing section that starts in measure
394. The parallel place in the exposition is measure 155. This gives a ten-measure closing section before the start of the coda.
The movement ends with a coda, but there are two interpretations that can be taken when considering the start of the coda. 35 The first interpretation takes the start of the coda in measure 394, which highlights the return of the primary theme. The second interpretation takes the start of the coda in measure 404 and it is supported by the break in texture. The full four-voice texture gives way to the single cello voice playing piano while the other instruments proceed to join in one by one. I prefer the second interpretation regarding the start of the coda. In either interpretation, the coda emphasizes themes and rhythms seen earlier in the movement.
The rest of this chapter will discuss the literature written on this movement. Dave
Headlam discusses what he refers to as the principal rhythm in his article “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.”36 This principal rhythm is presented in the first four measures of the movement and recurs throughout the movement. Headlam states that the principal rhythm “has a strong influence
35 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96. 36 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138.
44 Texas Tech University, Megan Poppe, August 2016 on both local and higher-level rhythmic organization.”37 He provides examples in his article that show the rhythmic reduction of the exposition and the hypermetrical groupings of the scherzo movement in terms of the works published by Heinrich Schenker, Carl Schachter and
William Rothstein. In addition, Headlam provides an example of voice leading as well as several smaller examples that outline phrases that are built around the principal rhythm and how the principal rhythm affects where the phrases start and end. Headlam’s analysis regarding the principal rhythm of this movement helped to shape my views on where to take the beginning of the primary theme. This thesis takes the principal rhythm as the beginning of the primary theme because it helps to organize the rhythm of the primary theme.
Lewis Lockwood presents four hypotheses in his article “A Problem with Form: The
“Scherzo” of Beethoven’s String Quartet in F Major”38 that display different interpretations when considering where to take the start of the development, recapitulation and the coda of this movement. The first hypothesis is Lockwood’s interpretation. This hypothesis is the closest to the hypothesis of this thesis when regarding the formal structure of the movement.
It differs from this thesis in that Lockwood offers two viable options of where to start the development, the recapitulation and the coda sections.
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 155 or 171 239 or 259 392 or 404
Figure 4.3. Lewis Lockwood, Hypothesis 1
37 Ibid., 114. 38 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.
45 Texas Tech University, Megan Poppe, August 2016
Lockwood’s second hypothesis has the movement’s exposition, recapitulation and coda sections each split into two distinct parts. This interpretation reads measures 1-154 and measures 239-403 as a double exposition and a double recapitulation, respectively. The first exposition contains what was labeled as the first two parts of the primary theme (P1 and P2) in Figure 3.1, while the second exposition contains what was labeled as the third part of the primary theme (P3), the transition section and the secondary theme in that Figure. The recapitulation differs slightly from the exposition since this hypothesis takes the beginning of the recapitulation in measure 259, not in measure 239. Instead of the first recapitulation containing the first two parts of the primary theme (P1 and P2) it contains only half of the first part of the primary theme (P1) and the second part of the primary theme (P2). The second recapitulation contains the third part of the primary theme (P3), the transition section and the secondary theme, the same material presented in the second exposition. The coda in this interpretation is also in two parts, with the first containing the gradual textural increase and the second containing the more melodic portion of the coda. See the layout below for this interpretation. This hypothesis differs significantly with the formal hypothesis presented by this thesis since it takes a double exposition and a double recapitulation. See Figure 3.4 for this interpretation.
Rotation 1 Rotation 2
Exposition 1 Exposition 2 Development Recapitulation 1 Recapitulation 2 Coda 1 Coda 2 m. 1 68 155 259 304 404 420
Figure 4.4. Lewis Lockwood, Hypothesis 2
46 Texas Tech University, Megan Poppe, August 2016
The third and fourth hypotheses in Lockwood’s article, Figures 3.5 and 3.6, respectively, are the interpretations of Joseph Kerman and Dave Headlam. Kerman considers this movement to be a “double scherzo-trio” and refers to the formal section of this movement as Scherzando and Trio sections. Headlam’s interpretation is similar to
Lockwood’s Hypothesis 1 when considering the development section but differs when discussing the recapitulation and the coda.
Rotation 1 Rotation 2
Scherzando I Trio 1; development Scherzando II Trio II: Scherzando III m. 1 115 155 259 354 420
Figure 4.5. Kerman’s interpretation (Lockwood’s Hypothesis 3)
Rotation 1 Rotation 2
Exposition Development Recapitulation Coda m. 1 155 265 420
Figure 4.6. Headlam’s interpretation, (Lockwood’s Hypothesis 4)
Jonathan Del Mar presents a fifth hypothesis after reviewing Lewis Lockwood’s four hypotheses in his article “A Problem Resolved? The Form of the Scherzo of Beethoven’s
String Quartet in F, Op. 59, No. 1.” 39 Del Mar discusses the questions posed by Lockwood and provides his own answers to these questions. Del Mar breaks the exposition and the recapitulation into different parts and uses the terms scherzo and trio in his formal table. See the layout below to see Del Mar’s hypothesis.
39 Jonathan Del Mar, “A Problem Resolved? The Form of the Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1.” The Beethoven Forum 8 (2000): 165-172.
47 Texas Tech University, Megan Poppe, August 2016
Rotation 1 Rotation 2
Scherzo Trio Development Scherzo Trio Final Return Coda m. 1 115 155 239 354 420 446
Figure 4.7. Jonathan Del Mar’s formal hypothesis
Barbara R. Barry writes about the form of the Op. 59, No. 1 scherzo movement in a chapter of her book The Philosopher’s Stone Essays in the Transformation of Musical
Structure.40 In her chapter “Dialectical Structure in Action: the Scherzo of Beethoven’s F
Major Razumovsky Quartet Reconsidered,” Barry discusses the movement’s large-scale form and states that the movement’s style is consistent with the expected characteristics of a scherzo while the movement’s form is consistent with sonata form. Barry shows that the movement has a double exposition in her interpretation of the form, which is a similar interpretation to Lockwood’s second hypothesis. Barry’s interpretation is shown in Figure
3.8.
Rotation 1 Rotation 2
First Exposition Second Exposition Development Recapitulation Coda m. 1 68 155 265 394
Figure 4.8. Barbara Barry’s formal layout
40 Barbara R. Barry, “Dialectical Structure in Action: the Scherzo of Beethoven’s F Major Razoumovsky Reconsidered.” In The Philosopher’s Stone Essays in the Transformation of Musical Structure, 18-31. New York: Pendragon Press, 2000.
48 Texas Tech University, Megan Poppe, August 2016
Mark Richards discusses the scherzo movement from Beethoven’s String Quartet Op.
59, No. 1 in his article “Transforming Form: The Process of Becoming in the Scherzo of
Beethoven’s String Quartet, Op. 59, No. 1.”41 Richards argues that this movement starts in sonata-rondo form and transitions into sonata form by the end of the movement. Richards’ interpretation is similar to the other authors in that this movement is in some type of sonata form but it differs significantly in that he proposes a shift between sonata-rondo and sonata form within the movement. His article contains a very detailed diagram showing his interpretation, given here as Figure 3.9 (in his diagram, “RT” stands for “retransition” and
“IT” stands for “interior theme”). Richards discusses that an interior theme is a term commonly used when referring to parts of a rondo form. The fact that this movement has one is not unexpected since this movement does contain elements of rondo form. Where this movement breaks expectation is in the appearance of a development section after the interior theme. Richards states that the development’s “appearance here is odd as it follows the interior theme rather than substituting for it.”42
41 Mark Richards, “Transforming Form: The Process of Becoming in the Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.” Indiana Theory Review Vol. 30, No. 1 (Spring 2012): 75-102. 42 Ibid., 93.
49 Texas Tech University, Megan Poppe, August 2016
Rotation 1 Rotation 2
Exposition Development P TR ’ S /C ! RT P TR P I RT P P P 1 29 39 62 65 68 87 101 115 148 155 177 193
Rotation 3 Rotation 4
Recapitulation Coda P TR ‘S /C ! RT P TR I RT P P P 239 265 275 298 300 304 323 337 387 394 420 460
Figure 4.9. Mark Richard’s Formal Layout
Richards discusses how the form of the scherzo movement has been debated and that there are two main branches of interpretation when considering the form. The first branch of interpretation is that the movement is in sonata form. Richards references Lewis
Lockwood’s interpretation, given here as Figure 3.3. The second interpretation is that the movement in a hybrid of scherzo-trio and sonata form. Richards also references Jonathan
Del Mar’s interpretation, given here as Figure 3.7.
There are many valid interpretations of this movement’s formal structure. This thesis argues that the exposition, recapitulation and the coda are each one large section instead of two smaller ones (see Figure 3.1). This interpretation is similar to Lockwood’s second hypothesis and differs from the interpretations presented by Del Mar, Barry and Richards.
One main consideration when determining whether or not to read a double exposition and recapitulation is the lack of contrast between the three parts of the primary theme. Although these parts show slight variation, they are fundamentally related in the material that they
50 Texas Tech University, Megan Poppe, August 2016 present, as is shown in Figure 3.10. The Arabic numbers in Figure 3.10 represent the scale degree patterns that are shared by each of the three parts of the primary theme.
P1
P2
P3
Figure 4.10. Beginning of the three parts to the primary theme (P1, P2 and P3)
This thesis also argues that the development starts in measure 155. This is due to the interval drop of a fifth in the cello marking the authentic cadence from measure 154 to 155, which also marks the return of the melodic portion of P1. The return of the primary theme in m. 155 creates a sense of a beginning even though is it in the distantly related key of Db major. Often development sections start with some kind of statement of the primary theme.
Another interpretation to take the start of the development is in measure 171 as discussed
51 Texas Tech University, Megan Poppe, August 2016 earlier. This interpretation does not start with any primary material and is marked piano dolce.
This thesis argues that the recapitulation starts in measure 239 due to the return of the first part of the primary theme. Even though this statement of the primary theme is off-tonic, delaying the start of the recapitulation until measure 265 doesn’t account for a rather large portion of the primary theme in measures 239-264. This thesis also argues that the coda begins in measure 404 due to the significant break in texture and the beginning of new material. Here the cello plays a sixteenth note figure alone and the texture gradually builds with the addition of instruments. These beginning measures of the coda (mm. 404-419) create one large gesture that anticipates the melodic material starting in measure 420. Taking the start of the coda in measure 394 is problematic because the sense of a beginning created by the first two bars of P1 in the second violin is undercut by its developmental treatment: in fact it is only the first two measures of P1 return, and those are immediately echoed in the cello before abandoning the presentation of P1 altogether.
On a larger scale, there is a lack of unvaried repetition that one would expect in a true scherzo and trio movement that points more towards sonata form. It is a common expectation that a minuet and trio or a scherzo and trio movement contains a repeat scheme.
The classic repeat scheme for a minuet and trio movement is made up of internal repeats for the two main sections of the movement as well as a da capo return to the beginning of the movement. Two examples of Beethoven’s middle period compositions that fulfill this expectation are the third movements from the other two string quartets in the Razumovsky set. These quartets are String Quartet Op. 59, No. 2, which contains an Allegretto and
52 Texas Tech University, Megan Poppe, August 2016
Maggiore third movement and String Quartet Op. 59, No. 3, which contains a Minuet and
Trio third movement.
53 Texas Tech University, Megan Poppe, August 2016
CHAPTER 5:
OP. 59, NO. 2, FOURTH MOVEMENT
The fourth movement of Beethoven’s String Quartet Op. 59, No. 2, is a Type 2 sonata form with some significant alterations. Figure 4.1 provides a comparison of Type 2 and
Type 4 sonata forms with the formal layout of this movement.
Rotation 1 Rotation 2 (Not-Sonata-Space)
Exposition Development Tonal Resolution Coda (optional) P TR ’ S /C P ! TR ! ’ S /C
I V V? modulatory [Va] || I I
(Episode substitutions (If this section is provided, for P are possible) it typically begins with P)
Rotation 1 Rotation 2 Rotation 3 Rotation 4
Exposition Recapitulation
P TR ’ S /C !RT P development or episode !RT P TR ’ S /C !RT P + optional coda I V I Va I I
Rotation 1 Rotation 2 incipient Rotation 3
Exposition Development & Tonal Resolution Coda 1 56 70 89 107 146 216 251 275 304 372 384 P TR ’ S !C/RT P ’ S !C/RT P TR2 P e: i v (VI) i (VI) i
Figure 5.1. Type 2 vs. Type 4 Sonata Forms and Formal layout of Op. 59/2, IV
54 Texas Tech University, Megan Poppe, August 2016
The movement is not a simple expression of a Type 2 sonata form because the “A” section or primary theme is stated four times with two back-to-back statements near the end, as one would find in a Type 4 sonata form. In addition, each time the “A” section returns it is in the primary key, whereas the second rotation in a Type 2 sonata form usually begins with an off- tonic statement of P.
There are two main reasons that this movement is more like a Type 2 sonata despite its Type 4 sonata characteristics. The first reason is that the second statement of the secondary theme happens after the second refrain instead of after the third refrain like a traditional Type 4 sonata form. The second reason is that the second statement of the secondary theme occurs after a section that sounds like a development instead of after a refrain in tonic.
The movement is marked presto and begins with a burst of energy from the forte- piano placed on the first beat of the first measure. The first violin presents the primary theme while the other three voices play an accompanimental role. The beginning of the primary theme is presented in a way that masks the tonic key of the movement. The key of this movement is E minor although Beethoven disguises this tonic key at the beginning of the movement. The majority of the primary theme clearly outlines the key of C major. The second violin, viola and cello play the pitches C, E and G at the beginning while the first violin begins the theme in C major. The only harmonic departure from C major in the first seven measures is to an F major pedal 6/4 chord, which plays a significant role in disguising the home key, since the F natural in the pedal 6/4 makes the key signature impossible to hear.
It is not until measure 8 that accidentals reflecting the key of E minor appear with a perfect authentic cadence in the key of E minor on the downbeat of measure 9. However, this sense
55 Texas Tech University, Megan Poppe, August 2016 of E minor does not last for long since the first eight measures are repeated starting in measure 10, bringing back the temporary key of C major. The first eight measures are repeated two more times starting in measures 23 and 36. Each of these repetitions is slightly different but the C major to e minor shift is prominent in all of them. The last of these ends in measure 56, which marks the start of the transition section. The transition section in this movement functions as one would expect by staying in the tonic key of E minor for the first half before transitioning into the dominant key of B minor, in preparation for the secondary theme which follows.
The secondary theme begins in measure 70 and is marked by a dynamic change to piano as well as by its lyrical character. The secondary theme can be interpreted in two eight-bar phrases, forming a parallel period, or four four-bar phrases, forming a parallel double period. The melody in the first eight bars (mm. 70-77) is presented by the first violin and is passed to the viola for the second eight bars (mm. 78-85). The theme has a four- measure cadential extension (mm. 85-89), which leads into the closing section starting in measure 89. The closing section or retransition is composed of a short motive made up of the first three notes of the primary theme. This motive is passed from solo voice to solo voice, then played by pairs of voices, until finally all four voices play it together in measures 103-
105, building to the return of the primary theme that follows in measure 107. This statement of the primary theme essentially repeats the first thirty-one measures of the exposition. The exact repetition smoothly gives way to an altered ending that leads into the development.
The development begins in measure 146 with a motive from the primary theme in a four-measure sequence. This passage is repeated four times and is passed between the first violin and the cello. A statement of the primary theme in Bb major occurs starting in
56 Texas Tech University, Megan Poppe, August 2016 measure 170 and this is the first thematic statement of the movement to truly be in the major mode (all of the C major music in the exposition had always given way to a cadence in a minor key).43 The development does live up to the expectation of passing through multiple keys as is shown in Figure 4.2.
m. 146 154 162 170 178 182 187 194 198 202 204
keys: C A F Bb Dm G Cm E C Am Em
Figure 5.2. Order of Keys in Op. 59/2, IV, Development
This movement breaks the normal expectations of a Type 4 sonata form with the order of the themes. After the development section, one would expect the return of the primary theme followed by the secondary theme. In this movement, the secondary theme returns in measure 216 before the primary theme. This statement of the secondary theme begins like the secondary theme in the exposition although this time in the expected tonic key of E minor, thus suggesting a Type 2 sonata form. The melody is presented in the first violin for the first eight measures (mm. 216-223) before it is passed to the cello for the second eight measures (mm. 224-231). The rest of this theme differs from its presentation in the exposition. The next sixteen measures present the melody in four-measure units instead of eight-measure units, passed from the second violin to the viola to the first violin and back to the viola, with the first and third of the units (those featuring the violins) altered to tonicize F major (the key of the Neapolitan). The section ends with the final four measures from the
43 Joseph Kerman, “The “Razumovsky” Quartets.” In The Beethoven Quartets, 117-154. New York: Alfred A Knopf Inc., 1966.
57 Texas Tech University, Megan Poppe, August 2016 statement in the exposition before the closing or retransition section starts in measure 251.
The closing section here is very similar to the closing in the exposition with the only difference being that it starts in tonic instead of the dominant.
The primary theme returns in measure 275 following the closing or retransition section. The primary theme in the recapitulation is shorter that the primary theme in the exposition. Here, it is only twenty-nine measures instead of fifty-five measures as in the exposition. Again, there is a shift from C major to e minor in these phrases and there is a strong perfect authentic cadence in measure 304, which marks the start of the transition section. The material in the transition section is different that the transition material in the exposition. This is expected to some extent since the transition section in the recapitulation stays in the tonic key rather than modulating to the key of the dominant, but usually in a sonata form at least some of the motivic material from the exposition’s transition reappears in the recapitulation. This section is not truly a recapitulation, however, but as marked in
Figure 4.1, an incipient Rotation 3, since the movement’s tonal resolution has already occurred in the previous rotation when the secondary theme was transposed to the tonic key, and thus this is not a transition between the primary theme and secondary theme as the label might suggest, but merely a transition between two statements of the primary theme.
The final statement of the primary theme begins in measure 372 and is only twelve measures in length. This music is almost the same as measures 36-52 of the primary theme of the exposition, just four measures shorter. This statement leads into the coda starting in measure 384, which ends the movement. This coda is marked piu presto and is based solely on the opening rhythm from the primary theme. The harmony of the coda is simply tonic and dominant chords producing several authentic cadences.
58 Texas Tech University, Megan Poppe, August 2016
CHAPTER 6:
OP. 59, NO. 3, SECOND MOVEMENT
The second movement of Op. 59, No. 3 seems to be a Type 2 sonata with some alteration. The latter half of the movement breaks the expectations of the Type 2 sonata with additional statements of the secondary and primary theme as well as the transition section.
The two-part reprise structure of the initial statement of the primary theme as well as the final return of the primary theme suggests a rondo or Type 4 hybrid. Figure 5.1 provides a formal layout of this movement.
Rotation 1 Rotation 2
Exposition Development & Tonal Resolution Coda? False Recap.? Codetta 1 25 42 50 59 102 110 119 137 181 191 P TR ’ S /C TR ’ S /C ’ S P TR a: i III vi modulatory I bV i
Figure 6.1. Formal Layout of Op. 59/3, II
The movement begins with the statement of the primary theme. The structure of the primary theme is unusual for a Type 2 movement in that it in a binary form. The first phrase can be seen as four measures in length with a two-measure extension. The first violin plays the melody over a pizzicato, dominant pedal played by the cello. The second violin and the viola join the texture in measures 3-4. The cello resolves the dominant “E” pedal to the tonic
“A” for a perfect authentic cadence (mm. 4-5). The cello then provides a little extension, which either repeats back to the beginning for the second statement of the first phrase or
59 Texas Tech University, Megan Poppe, August 2016 moves on to the second phrase starting in measure 7. The second phrase is eight measures in length and contains three repetitions of the portion of the primary theme played by the first violin in measures 1-3. The first repetition tonicizes F major (mm. 7-9), the second repetition tonicizes D minor (mm. 9-12) and the third repetition returns to the tonic key of a minor
(mm. 12-14). The third phrase begins in measure 14, is eight measures in length, and stays in
A minor. It ends in measure 20 with a perfect authentic cadence. Like the repeat at the end of the first phrase, the cello provides a little turn around before repeating back to measure 7 for the second statement of phrases two and three or moving on to the rest of the movement.
There is a short codetta in measures 21-24 before the start of the transition section in measure
25.
The transition section is composed of melodic material similar to the primary theme and modulates to the relative major key of C major for the start of the secondary theme in measure 42. The secondary theme is rather short consisting of only eight measures. It begins with four sixteenth note pickups into measure 42 and is marked piano dolce. The first violin plays the melody in the first four measures of the secondary theme (mm. 42-45) and it is very lively in character. This four-measure melody is repeated by the viola in measures 46-49.
The closing section begins in measure 50 with the melody again played by the first violin.
This closing section is composed simply of tonic and dominant seventh chords alternating over a tonic pedal.
The development begins in measure 59 with the return of melodic material from the transition. The return of the primary theme is expected at the start of the development in a
Type 2 sonata in some off-tonic key, and a hint of it can be found in the arpeggiated melodic
60 Texas Tech University, Megan Poppe, August 2016 figures starting in m. 69. This development starts in the key of F minor and does fulfill the expectation of modulating through multiple keys areas as is shown in Figure 5.2.
m. 59 66 75 81 83 85 91 93
keys: Fm Ebm Bbm Fm Cm Gm Dm Am
Figure 6.2. Order of Keys in Op. 59/3, II, Development
These key areas cycle through the circle of fifths before the expected tonal resolution bringing back the secondary theme in measure 102 in A major. Like the secondary theme in the exposition, this statement of the secondary theme is also eight measures in length. This statement of the secondary theme passes the four-measure melodic portion from the first violin (mm.102-105) to the viola (mm. 106-109), which is consistent with the statement in the exposition. The closing section begins in measure 110 and is presented in the same way as in the exposition.
The secondary theme returns in measure 119, breaking away from the formal expectations created by the music thus far. At this point in the form, a coda section is expected and not the return of the secondary theme for a third time. Not only does this theme return but it is in the key of Eb major, which is the flattened dominant relative to the primary key of A minor. Since this theme returns in the wrong key after the Type 2 form has been completed, it could possibly be seen as the possible start of the coda section, albeit one that challenges the notion of what constitutes a coda with its tonal center a tritone away from the primary tonic of the movement.
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The form then takes another unexpected turn with the return of the primary theme in the primary key at measure 137. The primary theme is stated here not in an abbreviated form as one expect with a coda, but in full, the length as it was in the exposition, only instead of repeats, it is written out. Here, the second time each of the original three phrases is repeated, the melody is an octave higher. The transition section then begins in measure 181. There are two interpretations in which the additional statements of the secondary theme, the primary theme and the transition section can be viewed formally. The first interpretation is that there is a coda starting is measure 119 with the start of the secondary theme in Eb major. This coda extends through the statement of the primary theme and the transition section, which results in one large coda section. The second interpretation is that the start of the coda section remains the same (m. 119) but there is a false recapitulation starting with the return of the primary theme in measure 137 through the transition section. This thesis considers the second interpretation best because the return of the primary theme does not seem to fit in with the material that starts in measure 119. This movement ends with a short codetta starting in measure 191. This codetta begins with the material from the two codettas seen earlier in the movement and highlights triplets in the cello while the other three voices hold notes in the tonic triad.
Joseph Kerman addresses the conflict inherent in the form of this movement directly.
He states that “the heavy da capo of the tune suggests A B A arch form, not the two-part balance that is basic to classic sonata form.”44 Kerman also discusses the possibility of this movement being in sonata form because this movement contains a development like section and a secondary theme. This thesis views this movement as a Type 2 sonata form because it
44 Joseph Kerman, “The “Razumovsky” Quartets.” In The Beethoven Quartets, 117-154. New York: Alfred A Knopf Inc., 1966, 150.
62 Texas Tech University, Megan Poppe, August 2016 does fit well within the Type 2 formal model of sonata form as described by James
Hepokoski and Warren Darcy for 115 measures and completes all of the expectations of that model before presenting musical challenges to that interpretation.
In Conclusion
The typology that James Hepokoski and Warren Darcy describe in their book
“Elements of Sonata Theory” is very useful when considering the formal structure of the ten sonata form movements in the Op. 59 string quartets. Approaching the formal analysis of these movements with this typology gives the analyst an advantage compared to some older approaches because it allows a sonata form movement to be generally categorized into one of five possible types. This thesis discusses how closely each movement fits within the
Hepokoski/Darcy typology. Each of the five types exhibits specific characteristics that are unique to it and these characteristics help determine how a particular movement relates to all other movements with sonata form attributes. Using their typology allowed for the ten sonata-form movements in the Op. 59 string quartets to be categorized in a more rigorous way than was possible before 2006 and allowed these ten movements to be placed in a dialogue between the literal formal structure of the movement and the abstract formal structure of the model. Not all movements follow a strict adherence to any one type of sonata form model when concerning their formal structure. This thesis takes into account what type of sonata from each movement is according to Hepokoski and Darcy and how these ten movements adhere to or break with the expectations set by each type.
Seven of the ten movements in the Op. 59 string quartets are in a Type 3 sonata form.
The most normative of these movements – No.1, movement 1; No. 1, movement 3; No. 2,
63 Texas Tech University, Megan Poppe, August 2016 movement 2 and No. 3, movement 4 – deviate only slightly in their formal construction from the model for a Type 3 sonata form. The remaining three movements – No. 1, movement 4;
No. 2, movement 1 and No. 3, movement 1 – are still Type 3 sonata forms, but all exhibit blurred boundary lines between their development and recapitulation sections.
The second movement from Op. 59, No. 1 has been discussed in several articles due to its unique formal structure. This movement has characteristics that strongly suggest both sonata form and a traditional scherzo and trio movement. The movement does not contain the two-reprise structures that would be seen in a traditional scherzo and trio, nor the larger da capo repeat found in such movements, but it is marked “sempre scherzando” and is 3/8 time, thus matched the character of such movements. On the other hand, it contains themes and sections that give the listener a strong sense of sonata form throughout the movement, as well as secondary thematic material in the first part that returns transposed to tonic before the movement’s end.
The fourth movement of Op. 59, No. 2 exhibits a cross between Type 2 and Type 4 sonata forms. Two defining characteristics in this movement are the placement and the function of the second statement of the secondary theme and the number of primary theme statements. The second statement of the secondary theme occurs after the second statement of the primary theme and occurs after what sounds like a development section. Therefore the second statement of the secondary theme acts like the expected tonal resolution in a Type 2 sonata. On the other hand, there are four statements of the primary theme in tonic, which would be a normal expectation in a Type 4 sonata.
The second movement of Op. 59, No. 3 is a Type 2 sonata form with some significant alterations to the latter half of the form. After the expected tonal resolution, this movement
64 Texas Tech University, Megan Poppe, August 2016 has an additional statement of the secondary theme suggesting a coda as well as additional statements of the primary theme and the transition section suggesting a false recapitulation.
These sections add significant length to the movement and consequently force the listener to reassess the movement’s form after a fairly clear expression of a Type 2 has already been presented.
Op. 59 includes Type 2, Type 3 and Type 4 sonata forms among its twelve movements and although several of the sonata form movements do have some level of deviation from the formal models set forth by Hepokoski and Darcy, they all have structural elements that seem best understood in relation to the Hepokoski/Darcy typology. The research presented here suggests several avenues for future research. The first and most obvious would be to examine the sonata form movements in the rest of the quartets through the lens of the Hepokoski/Darcy typology, a study which might further illuminate to what extend the textbook Type 3 model alone does all of the quartets a disservice, or if in fact more conventional approaches to sonata form are enough to adequately represent the other quartets. Another avenue might be to examine the sonata-form movements of those works closest to the Op. 59 works chronologically through the lens of the Hepokoski/Darcy typology: some of these include the Op. 56 Triple Concerto, the Op. 57 Piano Sonata, the Op.
58 Piano Concerto No. 4, and his 4th Symphony, Op. 60. While beyond the scope of this study, such research might provide a better sense of whether the variety of sonata forms found in the Op. 59 set is an anomaly, or simply a part of his middle period style.
65 Texas Tech University, Megan Poppe, August 2016
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