TABLE of CONTENTS Chapters I

UNIVERSITY OF CINCINNATI

Date:______

I, ______, hereby submit this work as part of the requirements for the degree of: in:

It is entitled:

This work and its defense approved by:

Chair: ______

A Pedagogical Approach to Franz Liszt’s Second Ballade

A graduate document proposal submitted to the

Division of Graduate Studies at the University of Cincinnati

In partial fulfillment of the requirements for the degree of

DOCTOR OF MUSICAL ARTS

in the Keyboard Studies Division of the College-Conservatory of Music

July 25, 2005

by Jaejin Lee 2337 Meadow Springs Circle Columbus, OH 43235 [email protected]

M.M. Michigan State University, 1997 B.M. Seoul National University, 1995

Advisor Professor Robert Zierolf ______

Readers Professor Michelle Conda ______

Professor Eugene Pridonoff ______

ABSTRACT

Franz Liszt’s second ballade was composed in 1853 and published by Kistner in

Leipzig. It was dedicated to Count Charles de Linange, who was the half-brother of

Queen Victoria. It was written in B-minor, the same tonality as his piano sonata. The sonata and the ballade were composed and published in the same year. Liszt’s B-minor sonata has drawn an enormous amount of scholarly attention and has become standard repertoire. Yet, the B-minor ballade has been somewhat neglected. Most pianists are familiar with the four ballades by Chopin, but few know that Liszt wrote two.

This document is intended to guide students, teachers, and performers toward preparation and performance of Liszt’s second ballade. Therefore, I have decided to write

this document from the viewpoint of a pianist who is learning this piece by him- or

herself. With that idea, pertinent questions needed to be answered such as: What

background information do I need to know? What is the overall structure of the work?

What details do I need to pay attention to in order to understand Liszt’s intentions? How

should I overcome technical difficulties in certain passages? Each chapter is designed to

answer these questions, respectively.

In chapter I, the historical background of the composer and overview of the genre aids in understanding the origin of the work. In chapter II, a formal analysis provides the performer with an overall picture of the work through the realization of the whole structure. A stylistic analysis assists in understanding the composer’s unique use of melodic, harmonic, and rhythmic elements, thus giving details on the foreground level.

There are also more elements to consider such as phrasing, articulation, dynamics, pedaling, and fingering, which are all included in the interpretative analysis, given in chapter III. In the last chapter, three representative technically difficult passages are cited to provide practical, step-by-step solutions using various practice techniques and Gyorgy

Sandor’s methodology to identify and apply basic physical motions.

TABLE OF CONTENTS Chapters I. Introduction...... 1 1. Historical Overview of Ballade as a Genre. . . . . 2 2. Chopin’s Influence on Liszt...... 4 3. Liszt’s Second Ballade...... 5 4. Liszt and Technique...... 7

II. Formal Analysis...... 9 1. Adaptation of Sonata Design ...... 10 2. Deviation from Sonata Design...... 16

III. An Interpretative Analysis...... 19 1. Exposition Allegro moderato Allegretto 2. Development...... 26 Allegro deciso Tertiary Theme— A piacere Variations of the Primary Theme Variations of the Secondary Theme 3. Recapitulation ...... 39 Allegro moderato Grandioso Andantino

IV. A Practical Guide to Technical Challenges...... 48 1. Gyorgy Sandor’s Basic Technical Patterns 2. Large Leaps in mm. 69-85...... 52 3. “Liszt Octaves” in mm. 199-215...... 56 4. Scale Passages in mm. 292-97...... 61

V. Conclusion...... 64

SELECTED BIBLIOGRAPHY...... 67

LIST OF EXAMPLES

Example 1, mm. 1-6...... 10 Example 2, mm. 24-26...... 11 Example 3, mm. 135-38...... 12 Example 4, mm. 21-23...... 22 Example 5, reductions of themes...... 25 Example 6, mm. 70-73...... 27 Example 7, mm. 82-83...... 28 Example 8, mm. 86-95...... 28 Example 9, mm. 96-98...... 30 Example 10, Sonata in B minor, mm. 357-62...... 31 Example 11, mm. 225-33...... 32-33 Example 12, mm. 143-46...... 33 Example 13. mm 162-67...... 36 Example 14, mm. 181-84...... 37 Example 15, mm. 207-09...... 38 Example 16, mm. 254-57...... 39 Example 17, mm. 261-63...... 40 Example 18, mm. 269-72...... 41 Example 19, mm. 275-80...... 42 Example 20, mm. 284-87...... 43 Example 21, mm. 292-93...... 44 Example 22, mm. 301a-04a...... 45 Example 23, mm. 301b-05b...... 46 Example 24, mm. 305-16...... 47 Example 25, mm. 72- 78...... 53 Example 26, stop-prepare on m. 72...... 54 Example 27, simplified version of mm. 73-77...... 55 Example 28, chord combination for wide leaps at mm. 76-77. . . . 55 Example 29, from Liszt Exercises ...... 57-58 Example 30, mm. 199-202...... 58 Example 31, practice procedure for mm. 199-206...... 59 Example 32, practice suggestion for mm. 213-14...... 60-61 Example 33, groups backward practice for mm. 292-97. . . . . 62-63 Example 34, isolated practice for leaps in mm. 292-97...... 63 iii

LIST OF TABLES

Table 1, analysis of exposition...... 14 . Table 2, analysis of development...... 15 Table 3, analysis of recapitulation...... 17

I. INTRODUCTION

Franz Liszt’s second ballade was composed in 1853 and published by Kistner in

Leipzig. It was dedicated to Count Charles de Linange, who was the half-brother of

This document is intended to guide students, teachers, and performers toward

preparation and performance of Liszt’s second ballade. Therefore, I have decided to write

this document from the viewpoint of a pianist who is learning this piece by him- or

herself. With that idea, pertinent questions needed to be answered such as: What

background information do I need to know? What is the overall structure of the work?

What details do I need to pay attention to in order to understand Liszt’s intentions? How

should I overcome technical difficulties in certain passages? Each chapter is designed to

answer these questions, respectively.

In chapter I, the historical background of the composer and overview of the

genre aids in understanding the origin of the work. In chapter II, a formal analysis 2

provides the performer with an overall picture of the work through the realization of the

whole structure. A stylistic analysis assists in understanding the composer’s unique use of

melodic, harmonic, and rhythmic elements, thus giving details on the foreground level.

There are also more elements to consider such as phrasing, articulation, dynamics,

pedaling, and fingering, which are all included in the interpretative analysis given in

chapter III. In the last chapter, three representative technically difficult passages are cited

to provide practical, step-by-step solutions using various practice techniques and Gyorgy

Sandor’s methodology to identify and apply basic physical motions.

1. Historical Overview of the Ballade as a Genre

The Ballade as a genre title for piano solo was introduced by Chopin, but ballad or ballade in general has a long history and refers to a variety of historical sub-genres.

The Latin origin of the term “ballare” means “to dance,” so the work originally referred to dance-songs such as the carole. By the fourteenth century it had lost that connotation in English and became a distinctive song type with a narrative core. In the late Middle

Ages epic and heroic songs served as entertainment. The folk and popular ballad referred to a relatively concise work that combined a narrative, dramatic dialogue, and lyrical 3

passages.1 This folk ballad developed into a type of art song in the eighteenth and

nineteenth centuries, and gained popularity all over Europe. Most often cast in a solo

song with piano accompaniment, it was a narrative of legendary or historical events in

strophic form. Its subjects were largely serious, even tragic, frequently with supernatural

elements. In terms of form, it was told in simple popular verse, usually in a large number

of short strophes.2

Chopin’s idea of adopting this popular genre title to solo piano works is comparable to that of Mendelssohn’s Songs without Words. It was also a result of

Chopin’s search for a new genre. As Romanticism was beginning to blossom in music, composers expanded their boundaries by taking freedom from the limitations of conventional formal patterns and harmonic rules, as did Chopin. In the 1830s Chopin was beginning to grow out of the musical style of his early works, which resembled the

“brilliant style” of Hummel and Weber, and looking for a new medium.3 His re-creative

approach to the genre resulted in a series of character pieces titled scherzo, ballade, and

1 James Porter. “Ballad,” The New Grove Dictionary of Music and Musicians ed. S. Sadie and J. Tyrrell (London: Macmillan, 2001), ii, 541.

2 Rufus Hallmark. “Ballade 2” The Harvard Dictionary of Music ed. D. M. Randel (Cambridge: The Belknap Press of Harvard University Press, 2003), 72-73.

3 Jim Samson. Chopin: The Four Ballades (Cambridge: Cambridge University Press, 1992), 1-7.

fantasy. Scherzo and fantasy were reinterpretations of existing genres, and ballade was

his subtle adoption of program music. Chopin wrote four ballades from 1831 to 1843.

The first one is in G minor, Op. 23; the second is in F major, Op. 38; the third is in A-flat

major, Op. 47; and the last is in F minor, Op. 52. They are four individual, large-scale,

virtuosic compositions.

2. Chopin’s Influence on Liszt’s Two Ballades

Liszt wrote his ballades in homage to Chopin. Alan Walker writes, “Unconscious imitation is the sincerest form of flattery.”4 Liszt began his first ballade in 1845, by which time Chopin’s ballades were all published and known to him. Chopin and Liszt lived close to each other in Paris for a short period between 1836 and ’37. Liszt became a persuasive supporter of Chopin’s music by programming his etudes and mazurkas regularly. His biography of the Polish master, titled Life of Chopin, published in 1852,

was an almost unprecedented tribute from one major composer to another. After Chopin’s

death in 1849, Liszt published a group of compositions with titles identical to Chopin’s,

including Polonaise, Berceuse, Mazurka, and Ballade. Chopin’s influence on Liszt is

obvious through his compositions in these genres. Liszt identified so closely with

4 Alan Walker, Franz Liszt: The Weimar Years, 1848-1861 (New York: Alfred A. Knopf, 1996), 146. 5

Chopin’s musical style that he incorporated some of its characteristics into his own works.

Within Liszt’s first ballade, Günther Wagner has identified elements from four different works by Chopin: the first Ballade Op. 23, Grande Valse Brillante Op. 18, the “Funeral

March” from the Sonata in B-flat minor Op. 35, and the A-major Polonaise Op. 40, No. 1.

Furthermore, Liszt’s use of four-square, periodic phrasing—rather atypical for him—is a readily acknowledged feature of Chopin’s ballades.5 Wagner concluded that Liszt’s first

Ballade should be taken as his tribute to the Chopin he knew in the 1830s.

3. Liszt’s Second Ballade

On the other hand, Wagner considered Liszt’s second ballade, written toward the end of this period of reflection on Chopin, as Liszt’s own contribution to the genre and a work that strikes out in a direction very different from Chopin’s.6 James Parakilas considered the second ballade as one of Liszt’s largest, most powerful piano works, fully narrative or programmatic.7 Maurice Hinson described this piece as “[w]ritten in the

5 Günther Wagner, Die Klavierballade um die Mitte des 19. Yahrhunderts (Munich/ Salzburg: Musikverlag Emil Katzbichler, 1976), 49-54, cited in Dolores Pesce, “Expressive Resonance in Liszt’s Piano Music” in R. Larry Todd, ed., Nineteenth- Century Piano Music (New York: Schirmer Books, 1990): 393.

6 Wagner, ibid., 49-57, cited in James Parakilas, Ballads Without Words: Chopin and the Tradition of the Instrumental Ballade (Portland: Amadeus Press, 1992), 96.

7 James Parakilas, ibid., 101. 6

grand manner, dramatic, with many passages of great beauty, needing imaginative and

rhetoric treatment. It requires a technique that can handle broken and interlocking octaves

and pedaling that can sustain chords while the accompaniment moves over the

keyboard.”8

Romantic composers were fond of program music. Liszt’s works are predominantly programmatic or dependent on ideas and concepts outside music. Despite the literary origin of the genre, Liszt did not make any direct connection to literary sources in this ballade. However, some pianists relate it to the myth of Hero and Leander without citing specific evidence that Liszt had that intention. Claudio Arrau, who considered this piece “one of Liszt’s masterworks,”9 attributed this interpretation to an oral tradition.10 In Encyclopedia Britannica, Hero and Leander is described as follows:

Lovers celebrated in Greek legend. Hero, virgin priestess of Aphrodite, was seen by Leander of Abydos during a festival, and the two fell in love. He swam the Hellespont nightly to be with her, guided by a light from her tower. One stormy night the lamp was extinguished, and Leander was drowned. When Hero

8 Maurice Hinson, Guide to the Pianist's Repertoire, 3rd ed. (Bloomington: Indiana University Press, 2000), 453-54.

9 Joseph Horowitz, Conversation with Arrau, 2nd ed. (New York: Limelight Editions, 1992; reprint, New York: Knopf, 1982), 146.

10 Horowitz, ibid., 143.

saw his body on the shore, she threw herself from the tower into the sea.11

It is impossible to prove whether Liszt had this story in mind while composing this work.

However, actual listening allows the audience to agree with Arrau to a certain degree.

4. Liszt and Technique

In addition to his contribution to nineteenth-century piano repertoire, Liszt had an immense influence on then current performance practices. His concerts in every corner of Europe between 1838 and 1847 established him as a virtuoso pianist, and he premiered today’s modern concept of the solo recital. He was the first to appear by himself for a whole concert, which was played extensively from memory. He always insisted on the piano being turned at a right angle to the stage with the lid reflecting the sound to the auditorium. Liszt also invented the concept of the masterclass.

Liszt’s contribution to the historical development of piano technique is also enormous. Ben Arnold writes that “Liszt’s uniqueness as a composer lies in his virtuoso interpretation of the Romantic character piece.”12 Inspired by virtuoso violinist of the

11 "Hero and Leander." Britannica Concise Encyclopedia from Encyclopædia Britannica Premium Service. [Accessed May 16, 2005].

12 Ben Arnold, Liszt Companion (Westport, CT: Greenwood, 2002), 171.

8 time, Nicolo Paganini, Liszt developed a totally new style of playing and writing for the piano, and exploited the capabilities of the instrument. Derek Watson described Liszt’s favorite devices in his writing as follows:

Use of interlocking hands was a favorite device and famously exploited in the technique known as ‘Liszt octaves’: double octaves played with alternating hands. . . . The possibilities of octave playing are extended to their farthest limits. A technical device such as a trill or tremolo acquires considerable expressive power with varied application of speed, dynamics and fingering. The simple concept of the broken chord or arpeggio is approached in a free assortment of ways—upward, downwards, quickly, slowly, with accelerando, rallentando, rubato, and in a range of dynamics. Common features are rapid note reiteration; extended passages of fast, wide leaps; color effects dependent on the pedal; new scale patterns; endless variations in laying out cantilena and accompaniment; crossing of hands; new techniques in sequences of tenths—and, above all, the perfection of a legato line.13

Examples of those devices are abundant in the second ballade. Often more than one device is combined within a passage. Needless to say, his virtuosic piano writing demands an advanced level of technique.

13 Derek Watson, Liszt, The Master Musicians Series, ed. Stanley Sadie (Oxford: Oxford University Press, 2000), 177.

II. FORMAL ANALYSIS

Many scholars believe that Liszt adapted sonata design in his second ballade.

Some features of sonata form, which Michael Griffel identified in Chopin’s ballades, are also present in Liszt’s second ballade.14 However, it deviates from the conventional form,

as did many works in the Romantic era. In the nineteenth century, composers

experimented with sonata form by rearranging the various parts of the design and

imaginative use of the tonal system as they reordered and combined various melodies,

key areas, tempos, and moods. The relationship of the parts of sonata form to each other

and to the whole underwent constant change. This chapter will be devoted to

investigating how Liszt adapted the sonata principle to the ballade to fit his modes of

expression and compositional purposes.

14 Michael Griffel writes in his article "The Sonata Design in Chopin's Ballades," Current Musicology 36 (1983) 127: each of Chopin’s ballades possesses these features which constitute sonata form: the presentation of a first theme in the tonic key and of a second theme in a contrasting key during the exposition; the connection of these contrasting themes through a transitional mechanism involving modulation; the presence of a developmental section in which such compositional operations as modulation, fragmentation, and recombination of thematic fragments occur; a build-up of tension during the development section with a climactic peak leading directly into the recapitulation; a recapitulation of at least one of the main themes form the exposition section; and a special closing section for the movement as a whole, which one can safely call a coda.

1. Adaptation of Sonata Design

There are three important themes contrasting in tempo, key area, register, mood,

rhythmic features, and texture. The primary theme, Allegro moderato, is a slow- moving

melody in a gloomy mood set up by the monotonous repetition of ascending and

descending chromatic scale patterns in the bass (Example 1, mm. 1-6).

[Example 1, mm. 1-6]

It is in 6/4 and stays in the low register of the keyboard with a remarkably static

B-minor harmony. The secondary theme, Allegretto, is a lyrical melody in chordal texture 11

(Example 2, mm. 24-26).

[Example 2, mm. 24-26]

With a change to 4/4, it remains in the high register of the keyboard and has frequent authentic cadences in F-sharp major. There is only a short transition between the two themes and it elevates the register using the first four notes of the primary theme in sequence. The secondary theme seems to be spun out somewhat naturally from that sequence. Therefore, not much conflict is created between the two themes.

The third theme appears close to the middle of the piece, marked a piacere and

cantando (Example 3. mm. 135-38). The a piacere melody is extremely romantic and

lyrical. In its first appearance this short, eight-measure melody is in D major and is

followed by the secondary theme in the same key without transition.

The exact same procedure takes place in its second appearance, at mm. 225-53,

where both the a piacere melody and ensuing secondary theme appear in B major. 12

Because of its brevity and tonal relationship with the ensuing secondary theme, the

tertiary theme almost functions as an introduction to the secondary theme. In its third

appearance, however, it takes on more life of its own.

[Example 3, mm. 135-38]

The unique relationship between these three themes brought forward different opinions for naming them. Parakilas supposed that the first two are not separate themes, but theme and co-theme, constituting “thematic complex,” this being Marta Grabócz’s term.15 Kentner and Grabócz labeled the tertiary theme as “second theme” in the same

vein. Furthermore, Parakilas writes that the theme and co-theme engage in a fixed

progression, and that the progression has no continuation so it breaks off and starts again.

For him the third theme is a new part of the thematic progression already established. In

fact, this unique relationship of two themes resulted in a highly sectional arrangement of

15 Parakilas, ibid., 103. He also described the second ballade as “fully narrative, programmatic, in nature.” His analysis of the work, called “episodic form,” consists of five episodes.

13 the work.

Tonally, the primary theme has a dual-key relationship with others. In the exposition the primary theme is in the tonic key of B minor. The secondary theme is in the dominant key. The a piacere theme is in the relative major, D, which being the most common choice for any secondary theme in minor tonality in conventional sonata form.

Thus, the primary theme established a tonic-dominant relationship with the secondary theme, and a relative minor-major relationship with the tertiary theme (Table 1, analysis of exposition).

Liszt extensively manipulated several motives from these themes later in the piece, much the way Beethoven did, especially through a tetrachord that forms the first four notes of the primary theme (F-sharp–G—A—B) and a characteristic syncopated rhythm of appoggiaturas in the secondary theme. At the same time he also used the theme as a whole with variations. The primary, secondary, and tertiary themes appear seven, five, and three times throughout the work, respectively. He reiterated these themes in different keys, accompaniment patterns, textures, and moods. For example, each statement of the primary theme tends to increase complexity in texture and grows louder in dynamic. This incremental repetition of the primary theme is Chopin’s influence and also similar to the stanzaic repetition with change in folk ballades. The thematic development and variation 14

technique will be discussed in detail in Chapter III.

[Table 1, analysis of exposition]

Parakilas 1ST Episode 2nd Episode Episodic form Legend of Hero First night Second night

and Leander –Leander nothing happens stormy swam the Hellespont to visit

Hero every night Hero’s theme Hero’s theme

Tempo Allegro Allegretto Tempo I Allegretto Indication moderato

Meter 6/4 4/4 6/4 4/4 Theme 1P0 1S0 1P1 1S1

Measure 1 24 36 59

Key B minor F

In conventional sonata form the exposition usually concludes with a repeat sign.

In this work, however, the exact repetition of the exposition is fully written out from m.

36, surprisingly transposed one half-step lower, to B-flat minor. Parakilas considered it as

“the strangest event in the work.”16 Dolores Pesce considered it a result of Liszt’s search

16 Parakilas, ibid., 102.

for an alternative to the traditional literal repeat of the section. She claimed this unusual

tonal shift might actually bear on the overall pitch design. She writes that “Liszt may

have designed the second ballade to bring B-flat (=A-sharp, the leading tone of B) in and

out of focus, acting within a nexus that includes the lowered seventh degree, A-

natural.”17

[Table 2, analysis of development]

3rd Episode 4th Episode

Third night Fourth night Terrific storm begins but Leander still manages to reach The biggest storm. Leander drowns. the other side. Determination of Love Final Love Funera Leander to swim to theme struggle theme l bells Hero Allegro A Allegre- Appass- deciso piacere tto ionato

4/4 1T 1P2 2S0 1S2 1P3 2T 2S1 1S 3

70 113 135 143 162 207 225 234

D major F< D —E= D—G G<—C B—C B-E=- minor major major minor major F < major

17 Dolores Pesce, “Expressive Resonance in Liszt’s Piano Music,” in R. Larry Todd, ed., Nineteenth-Century Piano Music (New York: Schirmer Books, 1990), 409.

A closer examination satisfies her assertion to a certain degree. A major chord is emphasized at the beginning of the Allegro deciso section. In fact, the other axis of the

“nexus,” in Pesce’s terms, appears from the very beginning of the work. The melody of the primary theme starts on the dominant and ascends following the natural minor scale of B minor (F-sharp—G —A—B) instead of using the harmonic minor in which A-sharp would be used. It results in the use of the minor dominant of B minor at the cadence, which allows for a greater sense of continuation rather than ending.

2. Deviation from Sonata Form

One of unique deviations from sonata principle in this ballade is at the recapitulation proper.18 In conventional sonata form, all themes return in the tonic key

whether it is major or minor. In this B-minor ballade, they reiterate in parallel major keys

as if it were the tonic key. This reminds the practice of using Picardy thirds in the

Baroque period. Liszt expanded it to the whole recapitulation instead of just a final chord

(Table 3, Analysis of Recapitulation).

18 There is disagreement about where recapitulation begins. Kentner considers it as the return of the a piacere melody where it returns to B major right after the climax. On the other hand, Wagner and others believe it begins at m. 254, where the initial tempo, Allegro moderato, returns. This document follows the latter.

Secondly, themes are merged to transform into totally different characters. At m.

254 the primary theme returns in its initial tempo and tonality. But the gloomy and

serious theme is transformed into a cantabile melody having the lyrical nature of the

second theme for a moment. Parakilas described this passage as though “the feeling of

strain that has previously characterized this theme is marvelously alleviated.”19

Furthermore, the harmonic ambiguity of the opening with the use of chromatic accompaniment is lifted by straightforward harmonic progressions including authentic cadences.

[Table 3, analysis of recapitulation]

5th Episode

Transfiguration Hero gave up the struggle Hero disembodied and says farewell to Leander

Allegro Grandioso Andantino moderato

6/4 C 6/4 4/4 1P5 2S2 1P6 1S 4

254 269 284 305

B major

19 Parakilas, ibid., 106. 18

These features of the recapitulation proper seem to be Liszt’s clever resolution to the structural dilemma, which was caused by the extensive use of thematic variation instead of development technique in the middle section. The incremental repetition at the development proper does not need to reiterate themes literally. Thus he modified the themes up to the stage of “transfiguration.” Wagner rightly described it as the

“reconciliation” of themes rather than simple “recapitulation.” Also, B major is the structural goal of the entire work.

In conclusion, Liszt adopted many features of the sonata design in his second ballade through the tonal relationship between themes and a three-part scheme including repetition of the exposition. But through the “developing” themes with incremental repetition with changes, and by “reconciliating” them by combining elements and transforming characters he updated the sonata design to best suit his Romantic ideal.

III. AN INTERPRETIVE ANALYSIS AND A PEDAGOGICAL APPROACH

Pianists realize a composer’s notation into sound. But in order to do this there are basically two steps: to understand the composer’s intentions by studying the score, and to actualize it physically. This chapter is devoted to the first step. Sometimes, pianists might intuitively feel musical meanings of the piece. Most of time they need to interpret the written music by investigating details. Though interpretation is considered subjective, there are certainly universal features that give clues to the composer’s intentions. In this chapter, most attention is paid to the finest details of the piece: melody, harmony, rhythm, articulation, dynamics, phrasing, pedaling, and fingering.

1. Exposition

Allegro moderato: 6/4

The piece opens with a two-measure accompaniment by introduction of a chromatic scale pattern. The chromatic accompaniment pattern starts with an anacrusis and remains tonal by use of tonic and the dominant at the end. The alteration at mm. 9 and 10 implies harmonic change. The use of chromaticism in the low register and static harmony in the beginning instantly set up a gloomy mood. Harmonic fillers in the middle voice added every third and sixth beat give a sense of the pulse. 20

The melody, marked marcato, is based on the B natural-minor scale and consists

of a six-measure antecedent phrase and two four-measure consequent phrases. The

antecedent phrase is simply ascending from the dominant to tonic and descending back to

the dominant. The first consequent phrase is short and incomplete as it ascends from the

supertonic to the dominant. The second consequent phrase ascends from the supertonic

and stretches to the tonic. These elements together create a unique atmosphere in the

beginning. According to Arrau’s interpretation, the exposition represents the first night

that Hero swam across the Hellespont. Thus, chromatic accompaniment depicts waves of

water. Parakilas has described the opening as follows:

The practically unchanging bass, the melody with no leading tone, and the monotonous filler between bass and melody together create a remarkably static harmony, slow to move away from the tonic and never sounding the dominant.20

There are a few points for modern pianists to note. First, it is unusual that there is no dynamic indication at the very beginning. A crescendo appears at m. 15 and leads to a short transitional passage rinforzando molto. Second, only one pedal marking is indicated in the first measure. It could mean one of two things: Liszt may have been asking for a long pedal to create massive sonorities, or he definitively wanted some pedaling but

20 Parakilas, ibid., 101.

neglected to mark the changes. In fact, there is a source that helps to presume Liszt’s

intentions. August Göllerich, who was a pupil of and secretary for Liszt, described his

playing and interpretation of the opening of this ballade:

Liszt played the beginning himself and said, “Not too fast”; at that, he played the passage in the left hand very broadly and thunderously with a lot of sound and pedal, not as a “brilliant” run as it is usually done.21

His instruction to play “broadly and thunderously” indicates that Liszt did want to create

massive sonorities from the very beginning. However, a modern pianist also must adjust

accordingly, considering its placement within the larger scope of the piece. Benewetz

wrote about the pedaling of Liszt’s works as follows:

Liszt used syncopated or legato pedaling, a technique then considered advanced but now universally used and taught. . . . Liszt’s writing generally calls for a rich, full use of pedal, especially when it is needed as a support for long pedal points. In his piano transcriptions of works for voice and as well for other instruments, a liberal or almost constant use of pedal is an absolute necessity. Liszt advised his students to pedal all long melody notes, particularly those in a high register, even when they are not supported by underlying harmonic material.22

His remark implies rich pedaling in the beginning regardless of the underlying

21 Wilhelm, Jerger, ed. The Piano Master Classes of Franz Liszt, 1884-1886: Diary Notes of August Göllerich, trans. Richard Louis Zimdars (Bloomington: Indiana University Press, 1996), 39.

22 Joseph Banowetz, The Pianist's Guide to Pedaling (Bloomington: Indiana University Press, 1992), 206.

chromaticism. Careful pedaling should create a blurring effect by using half pedal to

sound the melodic line over the chromatic scale. Performers should feel the rhythmic

pulse in two beats per measure.

The short transition in mm. 17 to 23 leads the primary theme in the low register

into the Allegro theme in a high register. In Lento assai the ascending four-note motive in

the primary melody is placed in the bass, and it needs to be clearly heard (Example 4,

mm. 21-23).

[Example 4, mm. 21-23]

To prepare the ensuing secondary theme, four changes take place in this transition: The meter changes to 4/4 at m. 19, the dynamic is clearly marked piano for the first time in the piece, and the repetition of the motive one octave higher brings it to the register of the secondary theme and una corda. In terms of tempo relationship, a dotted- half note of the Allegro moderato equals approximately a quarter note in the Lento. The 23

ascending motion seems to depict Hero arriving on the shore and finally getting to

Leander.

Allegretto: 4/4

This secondary theme, or co-theme in Parakilas’s term, is marked dolce. It is in

F-sharp major with a dominant pedal point. The three-measure melody follows the outline of triads with frequent changes of direction in contrast to the step-wise primary theme without many changes of melodic direction. Another voice in the tenor has the countermelody in a similar manner. The syncopated rhythm of the dominant pedal point,

C-sharp, creates uneasiness to the otherwise peaceful melody. This syncopated rhythmic motive is developed in the transitional passage in the developmental section. With the new meter, 4/4, una corda, and piano that carry over from the Lento assai section, the sonority of open-spaced parallel chords at high register evokes dreamy, improvisatory, and wondering feelings. Arrau named it the “Hero’s theme.”23

After the first statement, the secondary theme is repeated an octave lower and then spins out freely through repetition and sequence up to the authentic cadence at mm.

32-34. In m. 35 tre corda implies that the left pedal should be held throughout the whole

23 Horowitz, ibid., 143.

Allegretto section. Derek Watson wrote that “His [Liszt’s] ‘una corda’ marking is always

noteworthy as he carefully reserved it for particular effect.”24 It is notable that the una corda marking is only for the secondary theme in the exposition and the coda. Liszt did not mark it for any other themes or their variations and transformations in the ballade, except the coda. This implies a special dreamy, misty sound that he might have wanted to create. Parakilas wrote,

The Allegretto phrase, with its double and triple appoggiaturas, is in the same sentimental vein as the main theme of Liszt’s first ballade. This phrase (mm. 24-34) finally brings a cadence; in fact it is nothing but a single, long cadence. Contrasting in every way with the original melody, it is the resolution of that melody.25

His comment about the secondary theme being co-theme and resolution of the primary theme is made more convincing by further examination of phrase rhythm.26 If we reduce the primary theme’s durations by a factor of 3:1 from 6/4 to 4/4 as shown in Example 5-a

24 Derek Watson, Liszt, The Master Musicians Series, ed. Stanley Sadie (Oxford: Oxford University Press, 2000), 169.

25 Parakilas, ibid., 102.

26 Rothstein used this term to embrace phrase structure and hypermeter. Hypermeter refers to the combination of measures on a metrical basis including both the recurrence of equal-sized measure groups and a definite pattern of alternation between strong and weak measures. Phrase structure refers to the coherence of musical passages on the basis of their total musical content—melodic, harmonic, and rhythmic. William Rothstein (Phrase Rhythm in Tonal Music, New York: Schirmer Books, 1989), 12-13.

and b, there are similarities in phrase structure between the primary and secondary

themes.

[Example 5-a, reduction of the primary theme]

[Example 5-b, reduction of the secondary theme]

The phrase rhythm of the primary theme and transition (3+2+3) is similar to the 26

secondary theme with cadence (3+2+3).27 Through this similarity of phrase structure by closeness of the two themes having only short transitional passages in between and the absence of cadence at the end of the primary theme, the two themes establish a unique relationship.

Diminuendo molto and smorzando lead to the authentic cadence in F major at

mm. 32-34. It concludes pianissimo with long rests. By the chromatic motion from F-

sharp to F, the whole exposition is repeated a half-step lower from m. 36. Only two minor

differences can be found. The two anacrusis notes are added to the melody at m. 47, and

the first chord in Allegretto is arpeggiated at m. 59. The final F-major chord leads to the

next section through the common tone “A”.

2. Development

Allegro deciso: 4/4

The beginning of the development presents a totally new sound in a bright march rhythm in the initial key. Göllerich reported that Liszt had played this section “very rapidly.”28 Marked marcato, this rhythmically distinctive section is actually just a

27 The numbers refer to phrase lengths expressed in numbers of measures.

28 Jerger, ibid., 39. 27

transition (Example 6, mm. 70-73). The emphasized notes, A, function as dominant pedal

tones.

[Example 6, mm. 70-73]

In mm. 71-75, straightforward tonic-dominant chord progressions are colored by chromatic appoggiaturas to B-flat in the bass. Fast running ascending scale passages are inserted in between march. The intervals of the first four notes of the scale (F-sharp–

G—A—B) coincide with that of the primary theme (C-sharp—D—E—F). In mm. 76-81 the sequence of the march theme is based on diminished-seventh chords.

This section also challenges the performer in many ways: quick repeated chords and rapid changes of register and tone color while maintaining a steady pulse. The pedaling needs to be cleared after the first beat for dramatic effect of the rests and for clear multi-level texture. These challenges and solutions are discussed in the next chapter.

In m. 82 the arpeggio passage in F-sharp minor is marked rinforzando molto

(Example 7, mm. 82-83). These passages need to be played fluidly following the natural 28

contours of the melody, yet powerful with accents on the highest D. Large-spanning

chords for the left hand need to be shaped every two measures, emphasizing syncopated

accents while being played very rhythmically. When a chord is arpeggiated, pedaling

should include the bottom note carefully.

[Example 7, mm. 82-83]

Another transitional passage in mm. 86-95 features repeated dominant pedal tones in a very low register (Example 8, mm. 86-95).

[Example 8, mm. 86-95]

The complex layer of the voice for the right hand is supported by the counter-melody in

the bass. Indications of marcato, rinfz, and accents in the bass imply a rather strong

stormy transition.

The pianist’s challenge is to bring out the syncopated rhythm over the steady dominant pedal tones by the left hand. In order to bring out bass notes at a powerful dynamic level, it is important to have a proper alignment of the hands: the fifth finger should be kept in a straight line with forearm while the upper arm is supporting them. The repeated notes should not be played by only one finger, rather, in alternation of 3—2—1 or 2—1. The dominant pedal tone in triplets gradually slows down to quarter notes and finally reaches the cadence in mm. 94-95. The appoggiatura is resolved to the ascending minor second in the upper voice. This ten-measure transition somewhat is similar to the secondary theme in its use of syncopated rhythm and cadential pattern.

The third part of the transition, which leads to the returning primary theme in F- sharp major, starts at m. 96 (Example 9, mm.96-98). It presents the antecedent phrase

(2+2+1+1+3) agitato and piano and the consequent phrase (2+2+1+1+2) tempestuoso.

The marking in tempo at the beginning implies that agitation is not from increasing the tempo. Rather, it should come naturally from the way it is written; syncopated rhythm of the secondary theme is accompanied by a broken-octave chromatic pattern. Liszt 30

carefully added crescendos and decrescendos according to the contour of the melody. He

also gradually increased dynamics by switching voices at the consequent phrase, which is

very idiomatic piano writing considering register.

[Example 9, mm. 96-98]

Arrau said about the whole transition, “The third night [m. 70], a terrific storm begins. These [from m. 96] of course are big waves; they must not sound like an exercise in broken octaves.”29 Not to sound like an exercise, shaping the melodic line while

observing his marks while keeping a steady tempo is important in playing this transition.

Also, the performer should keep the chromatic pattern quite soft at the beginning.

Tertiary Theme—A piacere

This theme, in mm. 135-42, has the most lyrical but most uncertain quality. A

29 Horowitz, ibid., 143.

beautiful cantando melody is played over the ascending broken chords by the left hand as

in Example 3. Liszt often used this basically homophonic texture for lyrical passages,

including the famous one in his B-minor sonata (Example 10).

[Example 10, Sonata in B minor, mm. 357-62]

Rising fifths, syncopated rhythms, and triplets add beautiful turns to otherwise simple lines. Parakilas described the theme as follows:

This melody, the most tentative, the most incomplete in the ballade, takes a course typical of the work; it breaks off after four measures and starts in again, chromatically transposed (in this case, a half-tone higher).30

The use of Neapolitan harmony recalls the opening of Chopin’s G-minor ballade and

Liszt’s imitation of it. Rubato is implied by use of the term a piacere. The chords to be

30 Parakilas, ibid., 106. 32 held by ties create a rich sonority that Liszt likely would have wanted. Thus this theme can be played in a most Chopinesque way by using rubato and extensive pedaling. The harmonic rhythm is fast because it is only eight measures long. The harmonic change of the bass should be clearly expressed.

Through the comforting authentic cadence at mm. 142-43, this tertiary theme leads to an Allegretto, a variation of the secondary theme. Both themes share the D-major tonality. Liszt used the exact same procedure at mm. 225-53, transposed to B minor.

Marked appassionato, the second appearance of the tertiary theme at m. 225 is more enthusiastic (Example 11, mm. 225-32). The melody in single tone is now enhanced by doubling in octaves. The original piano dynamic is now mezzoforte, which was carried over from the transition. Liszt even added accents over the syncopated rhythm and a fermata. In mm. 230-33 the delicatamente cadenza smooths the way to the ensuing secondary theme.

[Example 11, mm. 225-32]

Variations of the Secondary Theme: Allegretto

In mm. 143-58 the secondary theme returns in D major (Example 12, mm. 143-

46). It keeps an overall eighth-note rhythm against the triplet-eighth-note accompaniment.

The tonic pedal in the bass and regular phrase structure (4+4) give more stability. The second statement is in G major. It is important to note the C-natural in m. 146; it converts that tonic D into a new dominant. After the cadence, which features a turn derived from the tertiary theme, the secondary theme repeats in a new key, G major.

[Example 12, mm. 143-46]

Long tonic pedal tones coincide with phrase marks and provide a rich sonority. It 34

is known that Liszt was introduced to Steinway’s middle, “sostenuto” pedal in 1833.31

Therefore, considering that this ballade was written twenty years after he knew of the

pedal’s existence, it is possible that he planned this passage with use of it in mind.

Modern pianists are encouraged to make use of this valuable source. The top notes of

parallel chords by the right hand need to be clearly voiced in a singing dolce tone.

The second variation of the secondary theme is in B major without the Allegretto marking. Over dominant pedal tones, it is less settled than ever, dreamily drifting through

E-flat major and F-sharp major. The melody is written with alternation between left and right hands. It is notable that placido and legato are indicated in addition to dolce, which

Liszt wrote for previous statements. Placed after the climax and the tertiary theme appassionato, he must have wanted this secondary theme to be especially calm and tranquil. This demands that a performer have careful control of the tones despite the busy hand-alternating movements. Whole-note values of the pedal tone justify the use of longer pedal.

Arrau interpreted this section after the climax as “The love [tertiary] theme that

also represents the Hero’s anxiety, or sadness—subconsciously she probably senses that

31 Watson, ibid.,170.

Leander is dead. Later, there are funeral bells.”32 The broken octave in the bass depicts funeral bells.

Variations of the Primary Theme

In the development there are three variations of the primary theme set in different keys: F-sharp minor, G-sharp minor, and C-sharp minor. The meter of the beginning, 6/4, is now all in 4/4, but they literally keep the same melody and harmony. Through the alteration of the accompaniment pattern and texture, each variation increases intensity toward the climax.

The first variation, in mm. 113-34, has the most complex texture of the three. The melody is in F-sharp minor marked fortissimo. The accompaniment has three different types: arpeggio pattern, chromatic broken octave pattern, and repeated chords that come from a rhythmic motive of the march theme. It is most important to bring out the melody even through the frequent shift of different elements between hands and large leaps.

Following the dolce Allegretto section, the second variation, in G-sharp minor, is present in mm. 162-80 (Example 13, mm. 162-67). Using the same chromatic accompaniment pattern in the bass, this is closer to the initial statement.

32 Horowitz, ibid., 145. 36

[Example 13, mm. 162-67]

Because of the meter change, from 6/4 to 4/4, the chromatic scale in the bass starts on scale degree three instead of one, as in the beginning. The harmonic filler, which provide syncopated rhythms in the beginning, is treated as broken chords. This variation, marked mezzoforte, is connected to the third, which is marked forte and tempestuoso. The four-

measure transition between them is marked poco a poco animato and agitato, which

implies an increasing tempo at the third variation. To maximize the increasing intensity

toward the climax, it is important to keep the second variation in a static and subtle mood,

recalling the beginning.

Example 14 shows that the third variation of the primary theme is again

tempestuoso from m. 181. The melody, in C minor, is in full chords and spans an octave,

which was more power than arpeggiated chords. The chromatic scale in the bass is 37

expanded to broken octaves in a shorter span of notes with even more dramatic rests.

[Example 14, mm. 181-84]

The transition in mm. 195-206 presents a four-note chromatic motive in interlocking octaves. The climax, at mm. 207-15, is a point of maximum tension

(Example 15, mm. 207-09). It strongly recalls the transitional passage at the beginning of the development section—an alternation of repeated chords in triplets and chromatic scales in interlocking octaves. Fortississimo dynamics, chords moving in tritones, and chromatic “Liszt octaves”33 intensify to the greatest extreme.

33 They refer to double octaves played with alternating hands. Derek Watson, Liszt, The Master Musicians Series, ed. Stanley Sadie (Oxford: Oxford University Press, 2000), 176.

[Example 15, mm. 207-09]

Arrau described this climax as Hero’s final struggle through the biggest storm on the fourth night and descending chromatic octaves in mm. 213-14 as he drowns.34 The

“Liszt octaves” here seem to create turbulence or depict a swirl in this section.

For the performer, it is the most demanding part in the work. A texture that is actively involved in frequent leaps along with maximum dynamic levels requires the most advanced technique. The practical guide for “Liszt octave” will be in chapter IV. It is important to have a clear dynamic plan for effective crescendos from the second repetition of the primary theme, in m. 162, toward the climax. The effect of turmoil or swirl can be achieved by holding the damper pedal through the chromatic octaves in this climax. The dramatic rests on the third beat should be observed by lifting the pedal.

34 Horowitz, ibid., 144. 39

3. Recapitulation

Allegro moderato: 6/4

The recapitulation in m. 254 is the crux of the work. Previously, two main themes retained their original characters in the course of increasing intensity. The gloomy and serious primary theme was illustrated by use of minor tonality and chromaticism. As it proceeds, the musical intensity is built up through increasing use of thicker texture and fuller harmony. The dreamy secondary theme returns in a soft dynamic level and

Allegretto tempo, as it was in the initial statement. But here in mm. 254-68 the primary theme absorbs a rocking eighth-note figuration and the lyrical quality of the secondary theme is transformed into a cantabile melody (Example 16, mm. 254-57).

[Example 16, mm. 254-57]

Not only is it in the major key for the first time in the piece, it also resolves the

incompleteness and ambiguity of the primary theme in many ways. For example, 40 irregular phrase lengths of the beginning (6+4+4+7) are now balanced by 4+4 phrasing with authentic cadences, and the static and ambiguous harmony of the chromaticism is now beautifully harmonized in B major. The transformation is so dramatic that it is hardly noticeable that the melody starts with the very same note in the initial tempo marking and meter as the beginning.

The second statement enhances the same melodic line in octaves accompanied by ascending arpeggio patterns spanning over three octaves (Example 17, mm. 261-63). In the autograph score this second statement of the theme stands alone. Liszt added the first statement in front of it just before the score was printed. Parakilas wrote “[T]he expansion makes a great difference. Not only is the moment underscored, but the theme in this periodic form now stands complete in itself for the first time.”35

[Example 17, mm. 261-63]

For performers the priority is to bring out this beautiful melody in the middle

35 Parakilas, ibid., 107.

voice. When it shifts to the left hand it is important to keep voicing through large leaps.

Also, careful pedaling is required to hold bass notes.

For the succeeding section, mm. 269-81, the a piacere melody returns poco piu

mosso as seen in example 18.

[Example 18, mm. 269-72]

The meter is changed to 4/4. The first ascending melodic line recalls the primary theme,

which blends into the thematic idea of the a piacere theme. Pesce wrote, “this

coalescence of expressive types was an essential feature of the Ballade’s design.”36

Structurally, this is a transition that transforms the primary theme from a cantabile version to grandioso. In the beginning it is still in a beautifully singing melody, marked

36 Dolores Pesce, ibid., 409. 42

piano with just a little faster tempo. The crescendo e accelerando, at m. 276, indicates a rhythmic and dynamic crescendo toward the ensuing fortissimo section (Example 19, mm.

275-80). Along with an accelerating tempo, large leaps by the left hand in fast harmonic rhythm make this section difficult. To learn the harmonic changes efficiently, the fast- moving arpeggiated chords should first be practiced as blocked chords in one-octave ranges, paying attention to common tones. Then, play those blocked chords moving in designated registers. Note that the bass line is ascending by half-step.

[Example 19, mm. 275-80]

Grandioso: 6/4

The last two statements of the primary theme are the ultimate climax. At m. 284

the theme is presented in full chords alternating with running sixteenth-note figurations

(Example 20, mm. 284-87). Full three-or four-note fortissimo chords with widely spaced bass notes create an extravagant and heroic return of the main theme. This is again the same texture as the beginning of the Allegro deciso section, the first variation of the primary theme and the climax. The rising and falling sixteenth notes consist of diatonic scales instead of the massive chromaticism earlier. The numbers of sixteenth notes increase towards the end.

[Example 20, mm. 284-87]

Regardless of the change, it is important to keep the last note of the passage on the fourth 44 beat of each measure. In m. 240 it is more effective not to put much force at the beginning of the tremolo passage even though it read più rinforzando. It should shape the left-hand octave by starting rather calmly and making a dramatic crescendo to the ensuing fortississimo section.

The last statement of the primary theme is also marked grandioso, with the greatest dynamic in the work as seen in the Example 21. Liszt offers two versions of accompaniment pattern. One is echoing ascending octaves in similar pattern with the rhythmic motive of the allegro deciso section. The other is an ascending scale passage that most performers prefer these days.

[Example 21, mm. 292-93]

In the latter the ascending pattern fits comfortably in the B-major scale, but each begins on a different scale degree. While the right hand firmly plays the first chord and the 45 smooth ascending scales, the left hand plays a scale in unison then takes over the melody.

The scales need to sound like a sweeping motion rather than metrically conforming to the beat. These powerful reprises of the primary theme seem to be very properly called an

“apotheosis,” as Parakilas did. The use of major tonality transformed the serious nature of the primary theme into a divine status. Ascending scales seem to depict the elevation literally.

Andantino

Liszt wrote three different versions of the coda, the passage after the final transformation of the theme. The first version brings back the secondary theme in an exciting dotted rhythm (Example 22, mm. 301a-04a). Through the triplets and interlocking double-octave passagework, it leads to a triumphant conclusion.

[Example 22, mm. 301a-04a]

In the second version of the ending, Liszt went even further in the same direction

(Example 23, mm. 301b-05b). He specified a new meter and a tempo that is precisely the same as the coda of Chopin’s first ballade. He extended this version with another triumphant climax that recapitulates the climax heard in the development.

[Example 23, mm. 301b-05b]

The final version is much shorter. The Allegretto theme finally arrives in B major in m. 305 (Example 24, mm. 305-16). It retains the original lyrical quality, but in slower tempo, Andantino. The long journey of the ballade finally comes to the end with a serene chordal cadence pianissimo. Parakilas wrote that this ending was satisfactory on the following counts;

First the co-theme was displaced just before (m. 284), when the A piacere melody was followed by the Grandioso transformation of the theme; the restoration of the co-theme is now all that is needed to complete the final episode and resolve the work. It is also satisfying that the co-theme is restored in its 47

original form, with its original accompaniment. After a long process of engagement between the theme and co-theme—an engagement in which each accommodated to the rhythm of the other—the Ballade ends by restoring their original rhythmic distinctness. The independence remains: the theme still breaks off, to be completed by the co-theme; but now the completion is made in the same key, the tonic major. Still incomplete without each other, theme and co- theme end, in effect, at peace with themselves.37

[Example 24, mm. 305-16]

Whether labeled theme and co-theme or primary and secondary theme, their unique relationship is one of the characteristics of the work. Liszt’s remarkable treatment of themes through transformation and variation technique allows the ballade real dramatic effect to the level of transfiguration.

37 Parakilas, ibid., 108. 48

III. A PRACTICAL GUIDE TO TECHNICAL CHALLENGES

This chapter will be mainly concerned with the technical issues that performers would have with this ballade. Three representative passages have been extracted to show that technical problems cannot be solved solely with endless repetition. The question is

“how effective” and “how musical” must one become to overcome those difficulties. I will take three steps to answer those questions: first is to analyze the passage with focus on specific difficulties from the viewpoint of a performer; second is to find how those passages should be played, that is, what kind of technique or physical movements should be used; third is to devise practice procedures to achieve musical goals. To be more practical and comprehensive, I will use the methodology and symbols that Gyorgy

Sandor used in his book titled On Piano Playing.

1. Gyorgy Sandor’s Basic Technical Pattern

A renowned Hungarian pianist, Gyorgy Sandor (b. 1912) defined technique as

“the sum total of organized motions executed by the performer. These motions produce sounds that recreate the moods of the composer in the performer’s own interpretation.”38

38 Gyorgy Sandor, On Piano Playing (New York: Schirmer Books, 19981), ix.

He divided piano technique into five basic motion patterns (free fall, five-fingers, rotation,

staccato, and thrust) and provided methods of execution.

The free fall motion consists of three stages. The first is lifting the upper arm,

forearm, and hand and fingers successively; next is dropping all these four body parts at

the same time using the force of gravity; the third is landing and slight rebound of the

hand and wrist while the fingertips remain on the key. The muscles do not participate

during the downward motion of the arm. Its fall and acceleration are caused exclusively

by the force of gravity.39 On the other hand, the thrust is executed purely by active muscles, and neither the force of gravity or weight are employed. The fingers are placed on the surface of the keys and push down with a sudden instantaneous contraction of some of the strongest body and arm muscles. This action generates maximum speed in the fingertips. Dynamic level depends on the abruptness of the attack.40

The five-fingers are extensions and a continuation of the forearm muscles and tendons that move them. Each of the fingers has a characteristic position in which it functions at its best. The thumb generally requires a lower wrist position than the other fingers, and the wrist and arm gradually rise with progress toward the fifth finger. Scales

39 Ibid., 37-51.

40 Ibid., 108-14 50

and arpeggios constitute a large part of piano playing. Sandor insisted that the thumb

should not be placed under the palm of the hand since it is forced into the unnatural and

tight position and practically causes immobilization. It is much better to allow the elbow

to swing out and the thumb to reach its note in an unrestricted way than to restrain it by

forcing it under the palm. To play scales and arpeggio passages evenly and fluently in a

fast tempo, we throw the fingers instead of placing them.41

The rotation refers to the rotary motion of the forearm in zig-zagging notes.

Rotation is very helpful in adding power and speed to the fingers. When playing in sequence, the elbow should shift continuously, the wrist must be inactive and avoid any twisting motion, and the fingers must be active but must never reach out to the next note.42

Staccato technique involves an active and coordinated arm, wrist, hand, and finger motion in which all the components participate simultaneously. Essentially, staccato motion is a throwing motion. The staccato motion differs from free fall in that the pianist actively throws the arm with the help of the shoulder and chest muscles. The

41 Ibid., 52-78.

42 Ibid., 79-92.

throw is minimal, but it is active. Especially the upper arm is actively engaged at all times.

The force of gravity also contributes to the downward motion, but the main source of

energy is one’s own muscles. One spends as little time as possible on the surface of the

keys and lifts the entire arm simultaneously. The motion of octave technique is

considered the same as the staccato. The volume of the sound is regulated by the joints:

soft joints are used for soft sounds, and resistant and resilient joints are used for louder

sounds. Any fixation of the joints in forte playing should always be instantaneous and not

prolonged.43

These fundamental motions can be applied individually or in combination.

Sandor also defined four distinct touch forms—legato, staccato, portato, and tenuto. In legato the notes are connected with an upward arm motion and by letting the dampers fall slowly. On the other hand, the dampers fall freely in tenuto. This will create a slight disconnection between the notes that is characteristic to tenuto. When tenuto is called for, a horizontal arm notion with a clear upward articulation of the fingers is used, and the almost imperceptible separation of the notes is accomplished by the free fall of the damper. The portato indicates a vertical wrist motion on each note and gentle finger activity. This subtle down-up motion of the wrist slows the action of the dampers to the

43 Ibid., 93-107. 52 point where the notes are barely separated gradually, not suddenly.

Sandor clearly explained the concept of the five basic motion patterns and their method of execution. It also helps to understand the four touch forms and how they can be produced. My first agenda is to translate the notational patterns in the score of Liszt’s second ballade into their corresponding motion patterns. Markings on the examples are the symbols that Sandor used in his book.44

A free fall B five-fingers, scales and arpeggios C rotation D staccato E thrust ↓ low wrist ↑ high wrist legato . . . . . portato – – – – – – tenuto

. . . or ▼▼▼ staccato > or ^ marcato sf sforzato

2. Large Leaps in mm. 69-85

This is one of Liszt’s favorite textures mentioned earlier, i. e., juxtaposition of

44 Ibid., 141. 53 motives in different registers (Example 25, mm. 72-81).

[Example 25, mm. 72-81]

The first is octaves in the extreme of the keyboard, marcato. The symbol is marked at the beginning of every two measures in accordance with two-measure phrasing.

Those marcato chords should not be played as free fall because it will cause imprecision.

They should be played in a thrust motion. Therefore, they need to be prepared directly on the surface of keys and played with a sudden and quick contraction of the muscles. At the fourth beat, though, triplet repeated notes are added as anacrusis to the next downbeat.

Those repeated notes are played staccato and very close to the keys utilizing the rebound 54

effects. Direction to the downbeat can be clear if the first note of the triplet is played

lightly and with a crescendo using a throwing motion to the downbeat. The ascending scale should be played by a quick drop-and-up wrist motion.

Pianists’ difficulty is large leaps in fast tempos. I suggest practicing those leaps using “stop—prepare” technique; after playing one chord the hand should be shifted to the next position using the entire upper arm as quickly as possible. Stop when all involved fingers are on the surface of the keys, being ready to play the next notes. Repeat this procedure starting with the smallest unit, two leaping chords at a time, until the fingers are ready as quickly as is necessary for Allegro (Example 26, stop-prepare on m.

72).

[Example 26, stop-prepare on m. 72]

The next step is to apply this “stop-prepare” technique with a simplified version

of the passage (Example 27). When shifting into a new position is quick enough, one can 55 play more rhythmically without “stop.”

[Example 27, simplified version of mm. 74-77]

Another tip for successful leaps is to shift hand position through common or close tones. For example, there is a move from a C-sharp diminished-seventh chord to a

F-sharp diminished-seventh chord in mm. 76-77. Instead of thinking of leaps of fourths in the outer voices (Example 28-a), find closely moving notes-C sharp to C-natural and E to

E-flat (Example 28-b).

[Example 28, chord combination for wide leaps at mm. 76-77]

It is also important to pay attention to the change of the designated fingerings on 56

those close tones. A different combination of chords can be implemented (Example 28-c

to h). The practice technique mentioned above can be also applied to mm. 119-28.

3. “Liszt Octaves” in mm. 199-215

One of the Liszt’s favorite devices is the so-called “Liszt octaves,” double

octaves played by alternating hands. Through a survey on historical piano technique,

Gerig Reginald concluded that the means for specific technical development is “to find

balance between pure drill and the solving of technical problems through intelligent

practice of the serious piano literature itself.”45

Liszt’s Exercises46 contains “pure drills” for many skills including Liszt’s octaves.

Many exercises specifically for the interlocking technique are included in books 3, 7, and

8: diatonic and chromatic scales alternating the hands, combining one, two, three, and

45 Reginald Gerig, “On Liszt's Piano Technique” in New Light on Liszt and His Music: Essays in Honor of Alan Walker's 65th Birthday. Franz Liszt Studies Series, no. 5. Edited by Michael Saffle and James Deaville (Stuyvesant, New York: Pendragon Press, 1993), 267. ? 46 They were written between 1869 and 1879 and published in 12 volumes after his death. Konrad Wolff assumed that these exercises might stem from Liszt’s daily routine on which he spent for 4 or 5 hours for triplets, sextuplets, octaves, tremolos, repeated tones, cadences, etc. in his early period, written down for the benefit of his students later. “Liszt’s Approach to Piano Technique,” Journal of the American Liszt Society, 4 (1978): 45.

57 four notes; scales with alternating hands in double thirds, sixths, and first inversion chords, scales in octaves with alternating hands.

[Example 29, from Liszt Exercises]

29-a, Diantonic scale using one finger

29-b, Chromatic scale using two-three-four fingers

29-c, Interlocking diantonic sixth

29-d, Interlocking chromatic octaves

As shown in Examples 29-a to d, those will be wonderful preparatory exercises for Liszt’s octave technique, which plays an important role in creating an intensity of the climax in this ballade.

The chromatically descending “Liszt octaves” dominate at the transitional passage in mm. 199-206 (Example 30, mm. 199-202).

[Example 30, mm. 199-202]

The accents alter what would otherwise be all staccato motions into a low wrist position every four notes. In terms of practice procedure, I suggest learning the chord progressions first as in example 31-a. The next step is to practice down-wrist movement and staccato motion by playing in unison, thumbs only as in example 31-b and with octaves as in example 31-c. Examples 31-d and 31-e show how to practice alternating technique focusing on even distribution of weight between hands.

[Example 31, practice procedure for mm. 199-206]

In playing interlocking chromatic scales, seen as in mm. 213-14, spatial allocation of the hands is important. One hand should play the black keys while staying close to the fallboard with a relatively high wrist, while the other should play close to the edge of the white keys with a relatively low wrist. Hands must switch their position between B—C and E—F. In a fast tempo, these switches need to be instantaneous.

Therefore, it is worth noting where the switch happens using “stop-prepare” practice technique (Example 32-a). Example 32-b shows blocking two notes. Different groupings of scales are also helpful (Example 32-c, d, e). In these specific measures, shaping the melodic contour is crucial, crescendo through ascending and decrescendo through descending.

[Example 32, practice suggestion for mm. 213-14]

Octave patterns prevail throughout mm. 199-215 and can be played in basically a staccato motion. When one basic motion dominates for an extended period of time, it is important to avoid prolongation of any fixed position. Thus the search for spots for relaxation is crucial. As mentioned above, the use of down-writst motion at the accents will be felpful in mm. 199-206. From m. 207 hands should be relaxed in the natural position between register changes. The same practice procedure, used for mm. 69-85, including “stop-prepare” techniques, can also be applied to this part.

4. Scale Passages in mm. 292-97

The main goal of this passage is to present the melody over fluidly swift 62

ascending scales regardless of irregular grouping. The B-major scale comfortably fits our

hands; short thumbs on white keys and longer fingers on black keys. What makes this

passage much harder than it looks is the irregular number of notes in each beat, with

various beginning and final notes. The melody also alternates between hands.

Along with the most common practice techniques, such as practicing hands

separately or melody and accompaniment separately, one of the effective practice

techniques for this passage is “groups backward.”47 First on the local level, for example within one measure here, play the last two beats until an even sound can be produced comfortably (Example 33-a). Then add a beat from the back one by one (Example 33-b, c, d).

[Example 33, groups backward practice for mm. 292-97]

47 I have learned this practice technique at the workshop entitled “From Mystery to Mastery: Guiding Students for the Beginning Stages to the Artistic Performance Using Creative Practice Techniques” by Ingrid Jacobson Clarfield in 2000 at College- Conservatory of Music, University of Cincinnati. Ms. Clarfield is the Professor of Piano at Westminster Choir College of Rider University. 63

This “groups backward” technique can be expanded by adding measures one by one from the back within the section. It is also an excellent tool for secure memorization if applied to the whole work by adding one section at a time from the last one. To practice the leap, which is another challenge in this passage, only every fifth and sixth beat to the next downbeat can be played as in Example 34-a and b. The focus is to bring out the melody here. The musical goal in this passage is to sound fluidly, never metrical, in this final stage of the transfiguration.

[Example 34, isolated practice for leaps in mm. 292-97]

V. CONCLUSION

Liszt’s second ballade is a large-scale character piece in distinctive formal structure. Using many deviant features, it is obvious that he adapted the sonata principle consisting of contrasting thematic ideas and tonal relationships between themes and three-part schemes, though it can be divided into more parts including the repetition of the exposition.

Three themes are individually unique and at the same time closely related. The primary theme is a step-wise melody in the low register in minor tonality featuring a chromatic accompaniment pattern, while the secondary theme is chordal in high registers in a dominant tonality featuring syncopated rhythms. However, these two themes have similar irregular phrase structures and “fixed progressions,” thus sounding more continuous than conflicting. Appearing in the middle of the development, the tertiary theme is lyrical and tentative with beautiful melodic turns and leaps. It shares the same tonality with the ensuing secondary theme and functions as the introduction to it. The primary theme has a tonic-dominant key relationship with the secondary theme and relative minor—major relationship with the tertiary theme.

In addition to developing a fragment of the four-note motive and syncopated 65

rhythm, Liszt used variation technique extensively in the development section. The

variation technique can be characterized as incremental repetition with changes in a

manner similar to Chopin’s. Furthermore, Liszt used thematic transformation in the

recapitulation. Not only is the theme transformed into totally different characters, but also

different thematic ideas are joined together. Especially, Allegro moderato from m. 254 is

the true crux of the work because it resolves the incomplete and uncertain nature of the

primary theme by use of relative major tonality with beautifully harmonized

accompaniment and regular phrase structures consisting of two periods with cadence. The

last return of the primary theme is rather heroic and a real climax of the work. Wagner

describes the distinct reconciliation of the themes as “transfiguration.”

Liszt’s music generally calls for extensive pedaling. He requested syncopated pedal at the beginning even over the chromaticism and una corda for the secondary theme. The syncopated bass notes in two variations of the secondary theme imply the possible use of the middle pedal. Performers should plan overall dynamics within this end-directed structure and tempo relationships between themes carefully established.

Technical difficulties including “Liszt’s octaves” in the ballade can be overcome by devising effective practice procedures. One should also seek musical solutions to the technical challenges. Derek Watson wrote, “Innovation, with Liszt, is always the servant 66

of expression. Technique is refinement. Even the most advanced technique remains the

servant of expression in Liszt’s aesthetic ideal.”48

48 Derek Watson, Liszt, The Master Musicians series, ed. Stanley Sadie (Oxford: Oxford University Press, 2000), 177.

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