A Structural-Aesthetic Study of the Variation Movements of Beethoven's Late Period Judith Ofcarcik

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2013 A Structural-Aesthetic Study of the Variation Movements of Beethoven's Late Period Judith Ofcarcik

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COLLEGE OF MUSIC

A STRUCTURAL-AESTHETIC STUDY OF THE VARIATION

MOVEMENTS OF BEETHOVEN’S LATE PERIOD

JUDITH OFCARCIK

A Dissertation submitted to the College of Music in partial fulfillment of the requirements for the Doctor of Philosophy

Degree Awarded Spring Semester, 2013 Judith Ofcarcik defended this dissertation on February 21, 2013. The members of the supervisory committee were:

James Mathes Professor Directing Dissertation

Alfred Mele University Representative

Michael Buchler Committee Member

Joseph Kraus Committee Member

Matthew Shaftel Committee member

The Graduate School has verified and approved the above-named committee members, and certifies that the dissertation has been approved in accordance with university requirements.

I would like to dedicate this dissertation to my grandparents, Wallis and Judy Bromley, in thanks for their monumental love and support.

iii ACKNOWLEDGEMENTS

I would like to thank my advisor, Prof. James Mathes, for his infinite patience throughout this process. He has approached every draft, whether the first or fourteenth, with the same keen attention to detail and intellectual probity, while never failing in his kindness and good humor. I would also like to thank the members of my committee for their thoughtful input, which has strengthened this document immeasurably. Prof.

Michael Buchler encouraged me to think critically and creatively about approaches to variation analysis, in no small part through his seminar on “methodological hybridity.”

In multiple independent studies, Prof. Joseph Kraus guided me through a short but conceptually-dense reading list, including Schenker’s Free Composition, taking the time to unpack the more obtuse passages to ensure I always left his office with a thorough understanding of the week’s assignment. The Schenkerian sketches in this dissertation, especially the sketch of the theme of the Op. 109 finale, owe much to his expertise. Prof.

Matthew Shaftel has worked patiently with me throughout my years at FSU, particularly on my writing, and has also provided a model of how to successfully

“juggle” the many demands of academic life. Inspiration and support for this project has extended beyond my committee as well, as I have been lucky to pursue this degree in an atmosphere of intellectual excitement and collegiality, surrounded by faculty and students that have challenged my thinking and contributed greatly to my education, in the broadest sense.

iv Peter Loewen, formerly of Eastern Illinois University, and Marilyn Keiser, from

Indiana University, have provided constant encouragement and kind words over the years, and I could not have made it through to this point without them. Conversations with Roman Ivanovitch, also of Indiana University, have continually shaped and sharpened my thinking. This dissertation was instigated in part by a summer of intensive reading and discussion, primarily focused on Classical variations, which

Roman made time for even though I was no longer “officially” an IU student. These conversations laid the groundwork for a deeper study of variations, but even more importantly, they awakened in me an awareness of the joys of intellectual discovery, for which I will always be grateful.

Frank Samarotto took time from his busy schedule at the Society for Music

Theory national conference in New Orleans to discuss his theory of temporal plasticity, which deepened my understanding of that concept and led to insights about the late variation movements, particularly the finale of Op. 109. Erica Wessling drew on her thorough knowledge of both the German language and musical scholarship to provide a translation of Schenker’s Erläuterungsausgaben of Op. 109.

The unflagging support of my friends, especially Emily Gertsch, Laura Dallman

Rorick, Isabella Woo Strawn, and Jessamy Carruthers has been invaluable, and the brightest spot in my life. I would also like to thank my church, Faith Presbyterian in

Tallahassee, and particularly the chancel choir and music director, Peter Pursino, for their kind words and patience as my life has become increasingly dissertation-centric.

v TABLE OF CONTENTS

List of Tables ...... vii

List of Figures ...... viii

List of Musical Examples ...... ix

Abstract ...... xii

1. INTRODUCTION ...... 1 1.1 Purpose and Scope ...... 5 1.2 Aesthetics and Expressive Analysis ...... 7 1.3 Stylistic Features of Beethoven’s Late Period ...... 10 1.4 Conclusions ...... 17

2. OP. 127: THE AESTHETICS OF EXCESS ...... 19 2.1 Excess and Plasticity ...... 21 2.2 Expressive Narrativity: Sublime and Transcendence ...... 42 2.3 Conclusions ...... 53

3. OP. 125: THE AESTHETICS OF RUPTURE ...... 54 3.1 Adorno’s Concepts of Durchbruch and Rückung ...... 58 3.2 The Two Themes and their Expressive Trajectory ...... 61 3.3 Approaching the End ...... 68 3.4 Conclusions ...... 83

4. OP. 109: THE AESTHETICS OF ENDING ...... 86 4.1 Counterpoint and Song ...... 86 4.2 Temporal Plasticity in Op. 109 ...... 92 4.3 Expressive Narrativity in Op. 109 ...... 101 4.4 Conclusions ...... 104

5. COMPARISONS AND CONCLUSIONS ...... 108 5.1 Comparative Analyses of All Late Variation Movements ...... 112 5.2 Conclusions and Further Applications ...... 117

REFERENCES ...... 126

BIOGRAPHICAL SKETCH ...... 131

vi LIST OF TABLES

1.1 Closing strategies in the late-period variations ...... 14

2.1 Formal chart of entire movement ...... 24

3.1 Comparative chart of analyses, Beethoven, Symphony 9, III ...... 56

3.2 Summary of aesthetic terms used in this analysis ...... 61

3.3 Form chart of the movement ...... 68

3.4 Form chart for measures 121-157. Dotted lines between sections imply formal subgroups ...... 69

4.1 Form chart, highlighting alternation of song and counterpoint ...... 88

4.2 Distribution of motives across set ...... 92

4.3 Comments about temporality from Mellers (1982) ...... 95

4.4 Form chart of the end of Op. 111, II ...... 105

5.2 Form of Op. 130, V. “Cavatina” ...... 120

vii LIST OF FIGURES

2.1 Phrase structure of the theme (mm. 1-21) ...... 21

3.1 Phrase structure diagram for Theme A ...... 63

viii LIST OF MUSICAL EXAMPLES

2.1 Evaded cadence in m. 18 ...... 22

2.2 Sketch of the theme ...... 23

2.3 Paradigmatic analysis comparing the theme and each variation ...... 29

2.4 Comparison of mm. 23-24 and mm. 27-28 ...... 36

2.5 Comparative analysis of bars 3-10 of the theme to bars 21-28 of Variation I ...... 38

2.6 Chromatic intensification of progression at mm. 31-32 in mm. 35-36 ...... 39

2.7 Delayed and syncopated resolutions in mm. 69-70 ...... 40

2.8 Schenkerian reduction of mm. 69-70 ...... 41

2.9 The ending of Variation IV ...... 42

2.10 Beginning of subdominant narrative in measures 1-3 ...... 44

2.11 Comparison of mm. 36-37 and 19-20 ...... 44

2.12 Mode-mixed subdominant in mm. 48-49 ...... 45

2.13 Context for the interpolation in m. 55, including its relationship to the theme ...... 46

2.14 Harmonic reduction of underlying progression, mm. 96-109 ...... 48

2.15 Close analysis of the transition into Variation V ...... 49

2.16 Phrase expansion in Variation V ...... 51

3.1 Reduction of Theme A, with basic phrase structure labeled ...... 61

3.2 Reduction of Theme B with phrase structure labeled ...... 64

3.3 Reduction of fanfare, mm. 121-122 ...... 70

3.4 Comparison of fourth horn part, mm. 15 and 55 (notated in concert pitch) ...... 71

3.5 Mm. 89-95, fourth horn (notated in concert pitch) ...... 71

3.6 Horn cadenza in m. 96, played by fourth horn (notated in concert pitch) ...... 72

3.7 Fourth horn, m. 111 (notated in concert pitch) ...... 73

3.8 Modal progression, mm. 123-124 ...... 74

3.9 Mm. 133-136 ...... 75

3.10 Mm. 41-42 ...... 77

3.11a: Opening melody of Theme A (mm. 3-6 of the movement) ...... 78

3.11b: Reduction of mm. 125-128 ...... 78

3.12: Comparative analysis of bars 125-128 and 137-141 ...... 79

3.13 Reduction of mm. 147-151 ...... 82

4.1 Theme of Op. 109 ...... 87

4.2 Comparison of mm. 1-4 of Var. III and m. 1-4 of Var. IV ...... 89

4.3 Motives in the theme ...... 91

4.4a Melodic motive in Variation IV, as notated in the score ...... 93

4.4b Alternative metric reading of the melodic motive in Variation IV ...... 94

4.5 Rhythmic adjustment that reinforces the meter in bar 99 (mm. 97-100) ...... 94

4.6 Mm 105-107, annotated to show potential for duple reading ...... 95

4.7 Schenker sketch of theme, with expansion highlighted ...... 97

4.8 Rhythmic acceleration of dominant pedal throughout Variation VI ...... 99

4.9 Melody of Variation VI, mm. 153-177 ...... 100

5.1 Op. 131, IV, mm. 458-560 ...... 114

5.2 Op. 130, V. “Cavatina,” temporal disjunction in mm. 38-42 ...... 121

5.3a Op. 130, V. “Cavatina,” melody mm. 1-8 ...... 122

5.3b Op. 130, V. “Cavatina,” melody mm. 10-21 ...... 123

ABSTRACT

The variation movements of Beethoven’s late period form an enigmatic repertoire. Characterized by lyric themes and slow tempos, the movements make use of strikingly different formal strategies and expressive trajectories. In this dissertation, I propose four stylistic markers that provide an approach to the analysis of this corpus.

These stylistic markers—temporal plasticity, formal plasticity, sub-thematicism, and expressive narrativity—allow for a detailed discussion of both formal and expressive features of the variation movements.

Temporal plasticity, a concept proposed by Frank Samarotto, is most commonly manifested in moments of metric ambiguity as well as expansions within the voice- leading framework that affect the expected proportions. Formal plasticity is closely linked to temporal plasticity, and results from alterations to the phrase structure or overall form of a movement, notably through phrase expansions or unexpected episodic material. Sub-thematicism, as defined by Carl Dahlhaus, characterizes the treatment of the theme in these late works, where the variations focus on individual motives or imitative structures rather than the theme’s complete harmonic-melodic complex.

Expressive narratives arise from a variety of musical and expressive events including the aforementioned markers, and differ significantly from movement to movement.

These four stylistic markers lead to insights about the three movements discussed in detail in this study: the slow movements of the Op. 109 piano sonata, Op.

125 (the Ninth Symphony), and the Op. 127 string quartet. All of the late variation

xii movements are discussed and compared in the course of the dissertation. Finally, a brief analysis of the “Cavatina” from the Op. 130 string quartet illustrates the applicability of these stylistic markers to works from Beethoven’s late period that are not in variation form.

xiii CHAPTER 1

INTRODUCTION

Scholars have long been drawn to the intricate and uniquely expressive works of

Beethoven’s late period.1 Although extant writings on Beethoven’s late style contain many statements that are both evocative and thought-provoking, comments have tended to focus more on general descriptions of expressive effects and less on the specific musical content from which these effects arise. One purpose of this dissertation is to explore how the analysis of musical form, style, and structure may serve to better define and clarify the expressive content of Beethoven’s late works. Within the late period, the introspective slow movements in particular have drawn the attention of scholars such as Joseph Kerman and Michael Spitzer. Many of these slow movements are in variation form, a form that preoccupied Beethoven during his last years. This study will provide a model for analyzing Beethoven’s variation sets in works from his late period—a model that accounts for formal innovations, musical style and content, and aesthetic interpretation. Though the slow movements of Opp. 109, 125, and 127 will each be the subject of an individual chapter, I will address and compare all of the variation movements of the late period in the concluding chapter.2

The intense and unique expressivity of Beethoven’s late style has inspired comments ranging from general statements about the late period as a whole to assertions about specific movementsAddressing the innovations of Beethoven’s late

1 The “late period” is defined for the purposes of this project as Op. 101 onward. 2 The four variation movements from the late period that are not the subject of an individual chapter are Opp. 111, 131, 132, and 135.

1 style, Michael Spitzer writes “Beethoven inherited the ready-made forms and genres of

Haydn and Mozart and could be said merely to have inflected them with his personal voice. At no time, before or after, was the clash between music’s normative and individual aspects more dramatic.”3 This statement acknowledges the historical precedents for Beethoven’s late period, which include the composer’s own works from earlier periods. By speaking of the dramatic “clash” between tradition and innovation, though, Spitzer begins to account for the aesthetic effect of the late style.

Speaking of the late quartets, J. W. N. Sullivan wrote, “In these five quartets we have the greatest of Beethoven’s music, and much of it is different in kind from any other music that he or anybody else ever wrote.”4 These assertions highlight the unique nature of Beethoven’s last compositions, a topic taken up by other scholars as well. In his seminal monograph on the late quartets, Joseph Kerman provides a more specific discussion of the expressive effects of the late quartets in general, and their variation- form slow movements in particular. Kerman writes that there is “something in the expressive content of the late quartets—something overreaching and pure and characteristically indefinable.”5 He makes the case that each quartet speaks expressively in an individual way, noting that “The sense of a particular psychological sequence is what gives the late quartets their particular individual intensities—in spite of technical threads crossing from one to the other.”6 As support, he contrasts the Opp. 127 and 131 slow movements with the slow movement of Op. 135: “Variations, in the Quartets in Eb

3 Spitzer (2006, 17). 4 Sullivan (1960, 148-149). 5Kerman (1966, 192-193). 6 Kerman (1966, 266).

2 [Op. 127] and C# minor [Op. 131], allowed Beethoven to work up to a luxuriance unparalleled in his earlier music.”7 However, in the case of Op. 135, “…the same technique [variation] allowed him to attain an unparalleled quietude, simplicity, and

(one might even say at first) sobriety.”8 Thus, Kerman convincingly argues that works from the late period exhibit a wide variety of expressive effects, from quietude and simplicity to transcendence, often through the use of expressive narratives

(“psychological sequences”). These expressive effects arise from a variety of musical means, as Beethoven explores a wide range of variation techniques. The analytical implications of this compositional exploration will be discussed in more detail below.

The relationship of the theme to the variations in Beethoven’s late works has also attracted interest. Carl Dahlhaus has written extensively on this topic, associating innovations in thematic treatment with Beethoven’s middle and late periods. To

Dahlhaus, Beethoven’s music from these periods is characterized by “sub-thematicism.”

Dahlhaus defines sub-thematicism in various ways throughout his book on Beethoven’s music, but the term generally refers to music that lacks a single cohesive theme. Instead, particular harmonic progressions as well as rhythmic or melodic motives are used thematically—subjected to development and repetition. This has important ramifications for the understanding of thematicism in variation sets: the theme is no longer a recurring melodic/harmonic structure, but a collection of musical elements, any one of which may potentially provide an individualized basis for development or variation. This potential for isolated development leads to unexpected variations that

7 Ibid., 218. 8 Ibid., 219.

3 appear to depart dramatically from the theme while still maintaining audible, motivic ties.9 This concept is discussed in more detail below.

Rosen takes a similar stance, writing, “In many of the late variation sets (opp.

109. 111, 127, etc.) there is a progressive simplification as the variations proceed—not of the texture but of the conception of the underlying theme…as if [different aspects of the theme] were being illuminated one by one.”10 Because the texture often builds in complexity as the theme is progressively stripped, “…his [Beethoven’s] late variations give the impression that they are not so much decorating the theme as discovering its essence.”11 While it is possible to imagine “a progressive simplification” of the theme,

Rosen’s description combines thematic simplification with increasing textural complexity. This suggests the need for analytical specificity when discussing what exactly is ‘stripped away’ and what exactly grows in complexity.

More recently, Daniel Chua has addressed temporality in the late quartets, writing,

“Music moves in time, but time is not simply a receptacle for it. Rather, music manipulates time, makes it audible, purposeful or amorphous, sometimes contingent and sometimes static. It is as if Beethoven had discovered in the A minor Quartet [Op. 132] this new technique of time manipulation, breaking out of the dynamic time mode of Classical procedures into a kaleidoscopic differentiated time sense.”12

9 Dahlhaus refers to this style of variation composition as “analytic” because it breaks the theme down into its individual components. Dahlhaus (1991, 172). 10 Rosen (1998, 436). 11 Ibid., 437. 12 Chua (1995, 130-131). Although Chua suggests that this new approach to temporality begins with Op. 132, I will argue that there is evidence of it beginning as early as Op. 109.

4 Viewing temporality as a kaleidoscope allows Chua to focus on contrast and conflict, two concepts key to his interpretation of works from Beethoven’s late period. It also acknowledges that temporality can be tied to harmonic motion (making it “purposeful” and “contingent”), and can vary throughout a single movement. The various analytic and interpretive comments discussed above will be used as the basis for a list of stylistic features of the late period in the discussion of methodology below.

1.1 Purpose and Scope

Variation movements were selected for this study because of the privileged position the form held in the works of Beethoven’s late period. Kerman accounts for the prevalence of slow-tempo variation movements by noting it is a by-product of

Beethoven’s interest in lyricism: “…the new interest in song automatically awoke a new interest in variation.”13 Many of the themes from Beethoven’s early piano variations were based on songs, so it is not surprising that variation form would rise to prominence along with lyricism. Variation-form slow movements maximize the possibilities for lyricism by combining a rotational, repetitive form with a slow tempo.

Dahlhaus also recognizes a “lyrical emphasis” in Beethoven’s works beginning with

Op. 74 that continues into the late period. He writes, “The lyricism that is confined to an enclave in the classical sonata became the predominant structural principle, causing a crisis for the idea of thematic process”.14 The introspective nature of these movements is commonly cited, as well: by Kerman, because of the terse themes; 15 and Spitzer,

13 Kerman (1966, 213). 14 Dahlhaus (1991, 203). 15 Kerman (1966, 193).

5 because of an association between sectional, paratactic forms and personal, intimate communication. 16

All of the variation movements from Beethoven’s late period will be discussed in this dissertation. However, three will be given extended analyses: Chapter Two presents an analysis of the slow movement of the Op. 127 string quartet; Chapter Three addresses the slow movement of Op. 125 (the Ninth Symphony); and Chapter Four covers the finale of the Op. 109 piano sonata. These works represent a mix of genres, and a mix of formal types, as the slow movement of Op. 125 is actually a set of alternating variations. Focusing analytic attention on only three movements keeps the project within a manageable scope and fosters an in-depth analysis of each movement.

In addition, the remainder of the variation movements can be seen as additional examples of formal and expressive types already represented by Opp. 109, 125, and 127.

For instance, the Heiliger Dankgesang of Op. 132, like Op. 125, is a set of alternating variations. The finale of Op. 111 is part of a piano sonata, like Op. 109, and is similarly end-focused.17 Op. 131 is also end-focused, and is also the most traditional in its use of

Classical variation “types.” The slow movement of the Op. 135 string quartet is an outlier, sharing relatively few features with the other sets. However, its structure is simple in comparison to the other sets, as the harmonic design and phrase structure of the theme re-appears virtually unaltered in each variation. Although the movement will

16 Spitzer (2006, 115). 17 Marston (2000) discusses end-focused works from Beethoven’s entire oeuvre, describing on the way specific closing strategies affect the entire movement, or multi-movement work. While his viewpoint is strictly teleological, his analyses reveal a structural and expressive emphasis on the ends of movements, particularly in the late period, that is relevant to this study.

6 be addressed in the dissertation, its structural simplicity does not warrant extended treatment for the purposes of this study.

The final chapter provides a summary and comparison of all of the late variations in light of the in-depth analyses of the earlier chapters and will assess the potential methodological applications of this study to the late style in general.

1.2 Aesthetics and Expressive Analysis

Musical analysis is paired here with aesthetic description in order to provide a detailed picture of Beethoven’s expressive innovations in his late variation forms, with possible applications to his late style in general. Historically, the focus of aesthetic inquiry has shifted several times since the field was introduced in Antiquity. Roger

Scruton defines “aesthetics” broadly, as the study of art, or works of art, or both.18

Aesthetic theories can be divided into three distinct but related “families”: theories of ontology, theories of expression, and theories of value judgment (criticism).19

Ontological theories are concerned with both defining art and determining what specifically can be included as art. While questions of ontology are undoubtedly important, they can be set aside for the purpose of this project, which is primarily concerned with musical expression and criticism. It will be assumed that the late compositions of Beethoven all qualify as art and thus can be objects of aesthetic inquiry.

18 Scruton (1997, vii). 19 Not all philosophers use this particular tripartite division. Peter Kivy (2003) divides aesthetics into three parts as well, but with different results: theories of musical content (which includes expression but also mathematics and musical narrativity), theories of the musical work (which corresponds with ontology), and theories of the musical experience (including the cognition- based work of Leonard Meyer). In this model, criticism is absent.

7 Theories of musical expression generally center on the question of what exactly music can express. Benedetto Croce and R. G. Collingwood use “expression” to refer solely to emotions or states of mind, seeing emotional expression as an “aesthetic value.”20 George Dickie argues instead that theories of expression (for all kinds of art) shouldn’t be limited simply to emotion. Rather, he suggests that metaphors alone should be used in critical language (as opposed to “this work of art expresses….”), as metaphors work in the same way whether they include emotive or non-emotive words.21 In this project, expression will not be limited to either emotion or metaphor; the works of Beethoven’s late period are so varied in expression that aesthetic description must draw on a broad range of expressive concepts.

While theories of expression could feasibly stand alone, they are often bound up

(sometimes inextricably) with theories of value judgment or criticism. Carl Dahlhaus addresses the relationship of expressive analysis and criticism in his book Esthetics of

Music. Following Herder, Dahlhaus suggests a two-part division of aesthetics: value judgment and analysis. Value judgments are intuitive, even reflexive. These judgments lead to reflection; in this step, the critic sifts through the original intuition, exploring how the music, the experience of the music, and the critical judgment relate. The goal of this reflection is clarity for the critic, a better understanding of her own reactions.

Dahlhaus describes this process as a circle: “The intuition, the first impression, cannot

20 Scruton (1997, 140). 21 Dickie (1997, 123).

8 be held fast in its immediacy; it proceeds into reflection; then, completing a circle, reflection tends to cancel itself in a second immediacy of intuition.”22

Scruton also ties aesthetic description tightly to criticism in his exploration of the language used in value judgments. The language of music criticism, he asserts, is not limited to statements of “good/bad” or “beautiful/ugly.” Thus, musical value is a much more nuanced concept than generally acknowledged. Further, Scruton writes, “In criticism, the judgment of value would be presumptuous, even absurd, if it were not accompanied by a sufficient aesthetic description—by which I mean a description that prompts the reader to imagine the experience which compels the evaluation.”23 In this dissertation, analysis including both musical details and expressive interpretation will be used in just such a way, to support assertions of the value of music from Beethoven’s late period. Several expressive concepts will be used in the analyses below, including transcendence, as defined by Robert Hatten, apotheosis, as defined by Edward T. Cone, and Durchbruch and Rückung, both drawn from the writings of Theodor Adorno, as interpreted by Michael Spitzer. All of these terms describe specific expressive strategies, such as the breakthrough of a new style at the end of a set, or the culmination of an expressive narrative that involves harmonic digression and return. A variety of concepts come into play as the late variation movements make use of a broad variety of expressive effects. A study of these expressive effects in the analyses of individual

22 Dahlhaus (1982, 85). This “critical circle” is reminiscent of the hermeneutic circle, but in this case the goal is producing a well-supported and clearly-stated judgment about a work, rather than interpreting meaning. 23 Scruton (1997, 372).

9 movements will lead to a discussion of the “late Beethoven aesthetic,” in the concluding chapter.

1.3 Stylistic Features of Beethoven’s Late Period

The works of Beethoven’s late period show a new preoccupation with contrapuntal writing, especially fugues, and variation-form slow movements. In addition, late-period works experiment with form, motive, and temporality. In the variation movements specifically, this experimentation seems focused on finding ways to minimize the sectional nature of variation form. It is as though Beethoven set out in his last works to “solve the problem” of variation form: how to imbue the additive, repetitive form with drama and a heightened expressivity. In this section, I will discuss four aspects of the late-period style, characteristic of the variation movements: temporal plasticity (as defined by Frank Samarotto), formal plasticity, expressive narratives, and sub-thematicism. The analysis chapters present further and more-detailed examples of these characteristics; in addition, these characteristics will provide a bridge between the late-period variation movements and Beethoven’s late style in general, explored in the final chapter of this dissertation.

1.3.1 Temporal Plasticity

Temporal plasticity, as developed by Frank Samarotto, refers to the manipulation of musical parameters that impact the perception of time passing. Samarotto writes of works from Beethoven’s late period: “More than any other quality, Beethoven’s innovative and even shocking treatment of musical time remains the most in need of

10 analytical scrutiny.”24 Samarotto’s theory of temporal plasticity can be defined as a shifting experience of time passing due to conflict among musical elements. Temporal plasticity arises from disagreement among six specific tonal and rhythmic elements: uninterpreted pitches, tonal structure, tonal hierarchy, uninterpreted durations, rhythmic structure, and metric hierarchy. These elements act upon each other to project temporality.25 Conflicts among these elements create marked temporal plasticity. For instance, uninterpreted pitches can project a meter that conflicts with the written meter, such as when pitch patterns create duple groupings despite a notated triple meter; or, an uninterpreted duration can conflict with the tonal structure, as when an embellishing tone is given a longer duration than a tone from the fundamental structure. Samarotto describes instances of temporal plasticity by using Schenkerian sketches to clarify exactly how rhythmic elements interact with musical structure. Two further concepts from Samarotto’s theory of temporal plasticity are useful for this project. Temporal disjunction occurs when temporal plasticity ruptures the musical fabric; the music preceding and following the disjunction can be thought of as existing on two different temporal planes, creating a “paradoxical passage that in different senses stands both within and without the structure of the piece.”26 In a sense, it is as though this passage has been in existence throughout the entire piece, and the temporal disjunction represents a conceptual move from one “temporal plane” to another. Although the passage in question may initially appear to be superfluous, Samarotto argues that often

24 Samarotto (1999, 10). 25 Samarotto defines “uninterpreted” pitches and durations as “pitches and durations taken independently of each other and out of any context.” (Ibid., 42) 26 Ibid., 118.

11 this material cannot be removed without significantly altering the tonal structure of the piece.27 An example of this would be the fanfares at the end of the variation movement of the Ninth Symphony. These fanfares stand out from the rest of the movement, due to contrasts in gesture, topical associations, dynamics, and orchestration, and create a

“rupture” in the movement’s trajectory.

Although analyses in this dissertation will not follow Samarotto’s methodology explicitly, his theory does provide a way to account for temporal changes across a movement. In particular, discussions about the interactions among distinct temporal elements impart specificity to an analysis, necessary for the exploration of subtle temporal effects. Interactions among temporal elements can further be used to support assertions about temporal disjunctions and temporal planes.

1.3.2 Formal Plasticity

Following Samarotto, plasticity can also be extended to the formal domain in the late variation movements, on both the small and large scale. On a small scale, the phrase structure of the theme may merely be hinted at in a variation, as interpolations or omissions distort the original model. On the large scale, the insertion of extra material in the form of introductions, episodes, and codas alters the underlying scheme of “variation form,” which in Classical works typically consists solely of a theme followed by discrete variations. These insertions create formal disjunctions that parallels Samarotto’s notion of temporal disjunction. As noted above, temporal disjunctions set apart passages of dramatically contrasting musical material that may at

27 The parenthetical nature of music existing on a separate temporal plane is related to the “chromatic parentheses” described in Sarver (2010). However, temporal planes are typically distinguished by changes in meter or style, whereas Sarver’s parentheses are distinguished by harmonic functionality.

12 first seem extraneous, but often carry a structural function. In the same way, formal insertions such as episodes may contribute to the underlying tonal or aesthetic structure of the movement, and thus they too can “stand both within and without the structure of the piece.”

The variation movement of Op. 127 provides several examples of formal plasticity. Variation II exhibits a different phrase structure than the theme because of two interpolations that expand the minor subdominant. In addition, a phrase expansion at the end of the theme is significantly enlarged in the final variation, where it stands in the place of a coda to close the set. On the large scale, the movement includes both an introduction and an episode. The episode first modulates to the subdominant, before returning to the home key with an especially dramatic harmonic progression expressing transcendence. This episode relates to Samarotto’s description of temporal disjunctions, in that it can’t simply be removed from the movement without drastic implications (in this case expressive rather than structural).

A further example of formal plasticity can be found by comparing the way

Beethoven ends each of his late-period variation movements. While most Classical piano variations employ brilliant virtuosity to end the set, Beethoven presents multiple ending scenarios in the variation movements of his late period. The chart below makes apparent the wide range of ending strategies in these movements. The Op. 135 variation movement, for instance, adds only a brief phrase expansion in the final variation to bring the set to a close. Overall, though, Beethoven seemed to favor more extended endings, in many cases blurring the boundary between variation and coda. Opp. 111,

13 131 and 125 all contain clear statements of thematic material that signal the start of new variations; these expectations are foiled, however, as the theme gives way to free material. These strategies are discussed in detail in the analytic and concluding chapters.

Table 1.1: Closing strategies in the late-period variations. Work Closing Strategies Op. 109, iii Ends with near-literal re-statement of theme; depending on edition, this either follows the final variation or is part of an extended coda that includes a complete variation plus thematic re-statement Op. 111, ii Pattern of dissolution in final 112 measures, where progressively- shorter statements of the theme (which sound like the beginnings of new variations) “dissolve” into free figuration before completion; this span includes an extended tonicization of Eb (bIII). Op. 125, iii Coda with partial statements of A theme, alternating with free material; expansive final cadence dissolves into tonic expansion. Op. 127, ii Final variation eliminates repeats; extended phrase expansion serves in place of coda Op. 131, iv Final variation followed by interlude and coda; coda includes several incomplete statements of the theme in a variety of keys, tempos, and characters Op. 132, iii Final 44 measures reference A theme but do not present complete statement; sort of free fantasia on thematic material Op. 135, iii No coda, but brief phrase expansion before final cadence extends the final variation by two bars.

1.3.3 Expressive Narratives

Goal-directed processes spanning multiple variations create expressive narratives in Beethoven’s late variations, and are a further means of disguising the sectional nature of variation form. Narratives in music can be manifested a variety of ways, such as through the establishment of personas or musical oppositions, or through interaction with mythic archetypes. In Beethoven’s late style, narratives arise from a

14 variety of musical means, and their primary function seems to be expressive rather than structural. Analyses in this dissertation will address both the musical mechanisms that suggest particular narratives, and the individual aesthetic effects those narratives create.

Charles Rosen writes, “By the end of his life Beethoven had succeeded in turning these last survivals [fugue and variation] of an earlier style into fully classical forms, with a dramatic shape and an articulation of the larger proportions analogous to the sonata, and that are, in fact, based on sonata style.”28 While the relationship of variations to sonata form in the late period may be debated, Rosen’s statement acknowledges the unifying effects of processes that contribute to musical narratives. Roman Ivanovitch also writes of the dual nature of some variation sets that results from a balance between

“recursive” and “discursive” drives.29 “Recursive” in this context refers to repetition, while “discursive” refers to goal-directed processes that may be explained or interpreted as narratives. Because of the presence of over-arching narratives, variation movements from Beethoven’s late period sound less like a paratactic string of small units and more like a single, goal-directed entity, a point addressed further in the analysis chapters.

In addition, there is great variety among expressive narratives in these movements. Even when two narratives share musical characteristics, their aesthetic effects can be remarkably different. For instance, two late variation movements project narratives of emergence, where a seemingly incidental musical feature grows in importance throughout the set, but in one case (Op. 127) the narrative sets up a unifying

28 Rosen (1998, 435). 29 Ivanovitch (2010).

15 return to tonic, while in the other movement (Op. 125) the narrative subtly prepares a dramatic formal disruption.

1.3.4 Sub-Thematicism

Experimentation in the late period was not limited to temporality and form; according to Dahlhaus, Beethoven took a new approach to themes in the middle and late periods. Instead of a complete melody acting as a theme, themes are much more motivically-oriented, and are often subjected to fragmentation and motivic isolation throughout the course of a piece.30 This type of thematic treatment continues into the late period; indeed, it can be extremely difficult to find the theme in many variations from the late variation movements. Motives, both melodic and rhythmic, play a much more important role, even taking the place of complete melodic recapitulation in the late period variations. As Rosen observes, “Beethoven’s system is to make an abstract of the total shape of the theme; the form implied by his first variation, a form which supports the variation and relates it to what follows, is not the melodic shape alone…nor the bass alone, but a representation of the theme as a whole.”31 With this sort of compositional play, hearing variation form becomes much more difficult. While analysis (particular paradigmatic analysis) can make clear the relationship of each variation to the theme, the real interest lies in how the theme is obscured and transformed, and the resulting expressive effect.

30 Dahlhaus (1991, 204). 31 Rosen (1998, 436).

16 In “sub-thematic” music, according to Dahlhaus, the theme becomes more abstract, and the working-out more inward.32 Now ideas like “alternation between violin and cello” take on as much thematic significance as a complete melody or harmonic progression. This is precisely the case in the slow movement of Op. 127, where violin I and cello play equally-important roles. In the theme, the primary melodic material is shared by the two parts, with violin I playing the melody in the first phrase and the cello taking the melody when the phrase is repeated. On the repeats, the violin I accompanies the cello with a countermelody; at times in the variations, the countermelody is emphasized over the actual “theme.” Thus, in these variations, the interplay between cello and violin I becomes as, if not more, important than either melody on its own. While Rosen was writing of the late variation movements in general, his statements quoted above, concerning the total shape of the theme, applies directly to Op. 127. Sub-thematicism adds a new level of complexity to Beethoven’s variation movements, obscuring the relationship between theme and variation; this in turn minimizes the sectional, paratactic nature of variation form.

1.4 Conclusions

The great variety of formal and expressive strategies in Beethoven’s late variation movements necessitates a flexible approach to analysis. Expressive description explores the peculiar expressivity of this repertoire, leading to a discussion of the aesthetics of

Beethoven’s late period. Musical analysis provides support and inspiration for expressive description, as substantiated by Dahlhaus’s interpretive circle. Paradigmatic

32 Dahlhaus (1991, 204-205).

17 analysis, Schenkerian analysis, and temporal analysis, drawing on Samarotto’s framework, each illuminate aspects of individual variation movements, while also shedding light on Beethoven’s late style as a whole. While this repertoire is complex, it is not indecipherable. A multifaceted analytic strategy is required, however, in order to do justice to the works’ intense expressiveness and richness of musical detail. Thus, the analytic chapters will make use of multiple analytic methodologies in order to illuminate unique features of individual movements.

18 CHAPTER 2

OP. 127: THE AESTHETICS OF EXCESS

The variation-form slow movement of Op. 127, the first of Beethoven’s late quartets, has attracted the attention of scholars, evoking comments on its intense expressiveness. The comments themselves are often enigmatic, and more concerned with capturing the seemingly ineffable expression of the late style rather than tying together expressive interpretation and structural features. Joseph Kerman, for instance, writes that the late quartets express “something overreaching and pure and characteristically indefinable,” a sentiment echoed a few paragraphs later: “the challenge to technical analysis is very great, and the challenge to emotional confrontation appreciably greater.”33 The expressivity of Beethoven’s music from this period is not necessarily “characteristically indefinable,” however. In his analysis of Op.

127, Kerman does offer a brief listing of elements that contribute to the expression of the theme: the simple melody, harmonic progressions, and clear phrase divisions contrasting with the “carefully unorganized decorations” and “leisurely threefold cadences.”34 Though Kerman offers no detailed analysis of the variations, his assessment of the theme suggests that musical details can help define the expressivity of the movement.

To Daniel Mason, the variation movement of Op. 127 is a leisurely exploration of the potentials of the theme, from the introduction that acts as a “curtain” lifting to

33 Kerman (1966, 193). 34 Ibid. (212).

19 reveal the theme, to the repetitions of both phrase and cadence.35 The flow of the theme is smooth and uninterrupted, and Mason casts this in a spiritual light, suggesting that it portrays a “mood of gentle submission to a suffering at last transformed in strong and tranquil joy.”36 The third variation, he asserts, “concentrates, so to speak, the astral self of the theme denuded of its body,” but the final transformation has not yet occurred.37

Transformation (and transcendence), according to Mason, must wait for the end of the episode, and the sixteenth-note figuration, where “the filling of space for our sense gives us the sense of spaciousness.”38 Again, without the support of close musical analysis, the meaning of phrases such as “the astral self of the theme denuded of its body” remains elusive. Mason’s point that the theme is explored and then transformed seems quite plausible, as the variations do not cleave as closely to the melody of the theme as some of Beethoven’s other late variation movements. The slow movements of

Opp. 125 and 132, for instance, basically retain the melody in each variation. However, it is difficult to be sure of Mason’s meaning without knowing exactly what is being transformed, and in what way.

Two conclusions can be drawn from the comments discussed above: first, the slow movement of Op. 127 can be considered uniquely expressive, due in part to the loosened phrase structure and the transformations of the theme; second, analysis of a work’s expressivity can be tied to and substantiated by a close reading of musical structure. Thus, in my analysis of this movement, I will seek to entwine aesthetic

35 Mason (1947, 172-174). 36 Ibid. (172). 37 Ibid. (175). 38 Ibid. (177).

20 interpretation and close analysis in order to explore and clarify the movement’s unique expressiveness: an aesthetic of excess. In this movement, the theme provides a palette of musical gestures that are expanded and elaborated in the variations. The following analysis will focus on the structural and expressive ramifications of this musical

“excess.”

2.1 Excess and Plasticity

The relation of the theme to individual variations in this movement is characterized by sub-thematicism. The complete melodic-harmonic complex is not found in the variations. Rather, melodic gestures and orchestration patterns from the theme are used as the subject for variation. The theme is in simple binary form; each part is comprised of two phrases, with the second phrase of each part functioning as a varied repetition of the first. The melody moves from violin I to cello the second time each phrase is heard (Figure 2.1).

Intro a a’ b b’

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 HC THC PAC PAC V7 Violin melody Cello melody Violin melody Cello melody *EC/Phrase Expansion

Figure 2.1: Form of the theme (mm. 1-21).

An expected perfect authentic cadence (PAC) in measure 18 is evaded through a dramatic register shift in the cello, soaring up two octaves at the expected moment of resolution; this necessitates a phrase expansion, lasting two full bars. The mechanics of the evaded cadence are shown in Example 2.1, below. At the moment of the cello’s leap into the high register in measure 18, the viola’s Eb becomes the bass. Although the

21 register shift draws the ear to the cello part and its resolution from G to Ab, the Eb bass note creates a cadential # in place of the expected root-position I. The expected PAC is thus delayed until the third beat of measure 20. The phrase expansion intensifies the desire for closure; this intensification is amplified by the inclusion of contrasting material in the consequent, which provides a new approach to the expected PAC.

Example 2.1: Evaded cadence in m. 18

m. 18-19 Evaded cadence

Ab: V# \ ! V# \\\\\\\ ^ V$/IV IV vii*7/V V# \ ^ *I expected

Combined with the two-bar introduction, the phrase expansion at the end of this theme makes this theme unusual compared to typical Classical variation themes, including those of Beethoven’s own oeuvre, which generally exhibit a symmetrical phrase structure.39 Joseph Kerman has suggested that the loosened phrase structure of this theme entails looseness in the variation form itself, an observation that will be

39 Some of this may be due to the common eighteenth-century practice of publishing variation sets on popular tunes, most of which exhibit a very simple phrase structure and form.

22 borne out in the analysis below.40 The following Schenkerian reduction further

illustrates the structure of the theme (Example 2.2). 41

Example 2.2: Sketch of the first and third phrases of the theme.

Ab: I V$ I

2 1

( )

m. 10

V!‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐( I

The form of the movement includes five variations, along with a brief

introduction and episode (Table 2.1). Kerman hears a large-scale ABA form, with the

variations divided into three parts: Theme through Variation II, Variation III, and

40 Kerman (1966, 211-212). 41 Tonwille 7 includes a brief sketch of this theme by Schenker himself; although Schenker sketches the melody as a 5-line, the reading presented in my analysis allows for the combination of the last two phrases into a single structural unit, reinforcing the importance of the final PAC. Schenker (2007, 69-71).

23 Variations IV through V.42 This interpretation highlights the central, chorale-like variation and thus reflects an important expressive moment in the movement. At the same time, the ternary scheme minimizes important differences among the variations as well as the teleological drive provided by a subdominant narrative, discussed below.

The right-hand column of the chart summarizes structural and aesthetic features that will be discussed in more detail in the analysis.

Table 2.1: Formal chart of entire movement.43

Measures Key Meter Structural/Expressive Features Introduction 1-2 Ab major 4 appearing as doubled seventh of implied V7 D harmony begins subdominant narrative

Theme 3-20 Ab major Cello and violin I share melody Cadential expansion mm. 18-20 Variation I 21-38 Ab major Singing style Registral apex of movement in m. 36 Variation II 39-58 Ab major Andante con moto Rustic march style ) Alternation between violins I and II Includes two interpolations Adagio molto espressivo Variation III 59-76 E major (enharmonic Chorale style spelling of O Veiled meter and Fb major) idosyncratic voice-leading obscure structure, express the sublime. Variation IV 77-95 Ab major Tempo I Closest to theme melodically D and harmonically

42 Kerman (1966, 214). 43 Note the departure in this movement from the traditional variation “types,” such as those listed by Ratner (1985, 255). Although singing, chorale, and rustic dance styles appear, common variation types such as opposite mode, contrapuntal, and brilliant finale are not included.

24 Table 2.1 Continued

Measures Key Meter Structural/Expressive Features Episode 96-108 Ab Entire section controlled by majorCs minor subdominant

(Db ) minor D Re-ordering of motives from theme Transcendent transition to final variation Variation V 109-126 Ab major Phrase repetitions omitted Final phrase expansion is extended, functions as coda

The sequence of variations shapes the expressive trajectory of the set. For the first three variations, singing style alternates with dance topics. In fact, even the fourth variation could be heard as participating in the alternation; the arpeggiated cello part outlines the triple division of a waltz with the inner voices providing a steady, danceable beat. This alternation creates a juxtaposition of song and dance that can be mapped onto a dichotomy of mental states: the lyric variations correspond to a private, internal mental state, while the dance-based variations correspond to an external or public focus. And as Kerman suggests in his ABA interpretation of the set, the fourth variation does represent a turning point for the set: after the tonally- and affectively- remote third variation, the melody of the theme is now heard quite clearly. In a way, the fourth variation functions as a “re-start” of the set, returning to a clear presentation of the theme before the episode takes the set even further afield. Were it not for the fourth variation, the theme’s structure would become progressively less audible as the set progressed. Although the third variation does not entirely discard either the melody or the harmonic structure of the theme, it nonetheless manages to sound new, even

25 episodic. If the chorale were followed by an episode, the form of the movement could be thrown into doubt. Additionally, each variation grows in rhythmic and harmonic complexity, creating an overarching process of embellishment and intensification.

Tonally, the movement includes two excursions to distant keys. The first excursion is the third variation, in the key of Fb major (enharmonically spelled as E major). This variation has attracted the attention of many scholars, due to its central position and the striking difference in character from surrounding variations.44 The second tonal excursion occurs during the episode between the fourth and fifth variations. This episode is in the key of the minor subdominant (Db minor, enharmonically spelled as Cs minor). Writing of the tonal plan of the set, Spitzer speaks of the spatial effects of these excursions, which he terms “episodes.” He writes that each tonal excursion momentarily moves not just outside of the home key, but actually outside of the variation cycle itself.45 This assertion raises an interesting question: can an individual variation (in this case, Variation III), take place somehow outside of the variation form? Although this may ultimately be illogical, as the third variation’s interpretation as a variation places it squarely within the form, Spitzer’s description does acknowledge that this variation is both tonally and affectively remote from the other variations.

The second notable feature of this set’s form is the inclusion of an episode, based on melodic motives from the theme, which occurs between the fourth and fifth variations. Although this is not the only variation movement from Beethoven’s late

44 Both Spitzer (2006) and Kerman (1966) comment on this aspect of the movement. 45Spitzer (2006, 196).

26 period to include an episode (the variation movements of Opp. 125 and 131 contain an internal episode and episodic coda, respectively), the episode here is of special interest because it can be read as a large-scale example of the sublime: something extra, beyond the necessary and expected. It is as though thematic material spills over into a new section, but fragmented and disordered, and thus unable to create a true variation and find a normative place in the set.

The theme is used as a source of melodic gestures that are varied throughout the variations. The orchestration pattern of melodic alternation, primarily between violin I and cello, also provides a means of connection between theme and variations. The following paradigmatic analysis summarizes the set, comparing each variation to the melody of the theme (Example 2.3). The interplay of cello and violin I makes it difficult at times to determine exactly which line is most important.46 And, for the sake of clarity and ease of reading, the example flattens out register shifts that result from changes in instrumentation. Despite these caveats, the example is useful for comparing the different types of figuration used, as well as identifying precisely what is being varied in each variation—such as the entire melody, the phrase structure, or an individual gesture. In some cases, correspondences between variation and theme are very clear; brackets and arrows draw attention to correspondences that are less obvious. In general, determining correspondences in this movement is challenging: in some cases, brackets show a motive or gesture that is composed out in a different way in the variation (for instance, a descending step in the theme becomes an ascending seventh in

46 Chua (1995) describes this as “a variation not on a theme but on a counterpoint” (17). While it is not entirely clear what is meant by “a variation on a counterpoint,” his description does capture the interdependence of the violin I and cello parts in this movement.

27 a variation). However, in other cases, a gesture in the variation may be said to correspond to a specific gesture in the theme, even if they bear little melodic resemblance to each other, simply because they occur at the same temporal location (for example, the gesture immediately following the first 5-6-7-1 motive). Finally, the melody of each variation moves to a clear climax, notated on the example with asterisks. The goal-directed, teleological structure of each variation is reflected in the set as a whole, a point to be discussed further below.

Example 2.3 also makes clear structural alterations, such as interpolations and phrase expansions, in relation to the theme. For instance, it is immediately apparent that the phrase expansion at the end of the final variation is significantly expanded compared to the theme. It is also apparent that the fourth variation sticks most closely to the melody of the theme, with the exception of the final few bars. By returning to the melody of the theme, this variation sets up the episode, which is tonally and affectively distant from the theme.

28 Example 2.3: Paradigmatic analysis comparing the theme and each variation

Variation I

33 19 *

29 Example 2.3, Continued

Variation II

30 Example 2.3, Continued 12

14 Interpolation

31 Example 2.3, Continued

Variation III Same underlying I V6 I 6 progression (first two phrases)

62 V I V6 I 10

66 V 14

70 * 18

32 Example 2.3, Continued

Variation IV

90 * 19

33 Example 2.3, Continued

Variation V

110

112 8

112

Final consequent

34 Example 2.3, Continued 16

114

18 *

116

119

123

126

A closer look at some of the gestural connections identified in Example 2.3

reveals a tendency towards excess, as gestures from the theme are often expanded

registrally and temporally in the variations. Further, because each part of the binary

form is repeated, it is possible to compare gestures within a single variation. It will be

seen that harmonic progressions and melodic gestures are typically intensified the

second time they appear.

35 In the first variation, measures 23 and 24 set the stage for expansions in bars 27 and 28, as they appear at parallel places in the formal structure of the theme (Example

2.4):

Example 2.4: Comparison of mm. 23-24 and mm. 27-28. mm. 23-24

Ab : V6/vi vi vii*7 I ii V# \\\\\\\\\\\ ! Syncopation and chromaticism intensify approach to dominant mm. 27-28

Ab: vii°7/vi vi vii°7/ii V/V Vb#‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐!

Measure 23 begins with a tonicization of vi; the submediant is then extended through passing motion, leading to a cadential # that resolves on the final beat of measure 24. In bars 27-28, a resolution delayed across the barline disturbs the harmonic resolution as the V7/vi on the last beat of m. 26 is changed into a root-position

36 diminished seventh chord, vii°7/vi, on the downbeat of m. 27. This motion is striking for three reasons: the delayed resolution, the cello’s very low register, and the chord’s wide spacing. Each of these elements goes beyond the expectations set by measures 23-

24, specifically in the parameters of harmonic rhythm and use of register. Finally, the cello moves in contrary motion to the first violin, eventually landing on an Eb/Cb dyad.

The chromatic inflection of 3 to b3 intensifies the predominant and draws attention to the cello, right at the moment of the harmonic delay. Collectively, these alterations express excess by surpassing expectations set by bars 23 to 24.

The comparative analysis below (Example 2.5) makes the expansion in m. 28 even clearer by comparing it to the parallel location in the theme. This example does not show the exchange of melodic material between violin and cello. However, it does show how individual gestures are expanded registrally in the variation; for instance, the primarily-stepwise descent in the first half of bar 4 (played by violin I), which covers a perfect fifth, expands to an ascending arpeggio in the variation (where it is played by violin II) that covers nearly two octaves.

37 Example 2.5: Comparative analysis of bars 3—10 of the theme and bars 21—28 of Variation I.

7-semitone

m. 3 span Theme: m. 21

Variation I:

22-semitone span

In the same way, bars 35 to 36 contain expansions of the parallel measures 31 to

32 (Example 2.6). In measures 31—32, an ascending melodic gesture is heard in the

cello. The distinctive timbre of the cello in this unusually high register is somewhat

masked by the other three voices. Measures 35—36 move this gesture into the upper

registers of the first violin, exposing the chromaticized ascent and delayed melodic

resolution, and leading to the movement’s registral apex.

38 Example 2.6: Chromatic intensification of progression at mm. 31-32 in mm. 35-36.

mm. 31-32

Chromaticized ascent and registral apex

Ab: IV #°% °^ # ii6 +6 (N#) (IV) V7 I IV V#------( I

Chromaticized ascent and registral apex mm. 35-36

Ab IV #°% °^ # ii6 +6 (N#) (IV) V7 I IV V#------( I

In many cases, instances of musical “excess” are also instances of formal and temporal plasticity. In Example 2.7, excess in the form of delayed and syncopated resolutions obscures the metric structure, creating temporal plasticity.

39 Example 2.7: Delayed and syncopated resolutions in mm. 69-70. mm. 69-70 Delayed resolutions Syncopated resolution

E: vii°6 V7 bVI V6 I

At a local level, the harmonies move from vii°6—V—bVI, with an expressive tritone leap in violin I from A to Ds. The progression is intensified by delayed resolutions in the upper three voices and a temporal expansion of bVI that lasts for nearly four beats. The dominant resumes midway through m. 70, when the cello moves not down to B as expected, but rather up to D#. Example 2.8 provides a Schenkerian reduction of this passage, showing an underlying harmonic progression from V7 to I. Both meter and voice-leading are distorted here as they bend and expand the harmonic and temporal structure; this distortion is highlighted by the dramatic dynamics at the beginning of m.

70.

Example 2.8: Schenkerian reduction of mm. 69-70.

E: I

E: V (nVI) V I

Anticipates resolution in bass, m. 70

E: vii°6 V7 nVI V6 I

The episode between variations four and five is an instance of formal plasticity, altering the expected formal arrangement. Additionally, it includes several instances of musical excess. The most important of these is the transition from the fourth variation into the episode. Here, formal and metric boundaries are blurred, creating both formal and temporal plasticity. The fourth variation ends with an out-of-sync cadential extension, based on the extension that ends the theme (Example 2.9). The lower three voices create a convincing close in measure 94, but violin I continues with figuration

41 from 93 for two extra beats. The Ab—Bb—Ab at the end of bar 94 sound as though they should actually line up with the other three voices, two beats earlier (although it would create parallel octaves with the bass). Next, as though trying to follow violin I, violin II takes on the figuration from bar 93, as the viola and cello move on to tonicize IV.

Despite this attempt at “rapprochement,” violin I abandons cadential synchronicity and moves on to new material. The viola follows in imitation, leading into the key change.

The tug between instruments at this point, unusual in this movement, seems to portray violin I’s desire to create a larger expansion, and the other three voices’ equal determination to resist.

Example 2.9: The ending of Variation IV. mm. 93-96

Ab: I V% I IV V^/IV IV------

2.2 Expressive Narrativity: Sublime and Transcendence

In a few select instances, musical excess in this movement expresses transcendence and the sublime. The Oxford English Dictionary (OED) defines the sublime as “affecting the mind with a sense of overwhelming grandeur or irresistible power; calculated to inspire awe, deep reverence, or lofty emotion, by reason of its beauty,

42 vastness, or grandeur”47 Daniel Chua discusses the sublime in his book Absolute Music, using the writings of E.T.A. Hoffman to give a musical cast to the definition. The sublime here is described as “mystical excess … For Hoffmann, this is aroused by gestures that either surge beyond the structural limits of the symphony or by punctuations that impede the form as ruptures that shatter the unity of the musical flow.”48 In the visual arts, “sublime” is often used to describe the work of British landscape painter J. M. W. Turner, carrying with it associations of awful and terrible beauty.49 In much of Turner’s work, such as “Snow storm: Hannibal and his army crossing the Alps” (1812), areas of darkness dominate the paintings. In the slow movement of Op. 127, the minor subdominant plays a similar darkening role, “taking over” as the piece progresses.

The minor subdominant grows in importance throughout the movement, creating an expressive narrative that spans the set, and the progressive darkness that overwhelms the movement may be understood as an expression of the sublime. Over the course of the movement, the subdominant expands from a local detail to harmonic support for an entire formal section. This expansion is gradual and affects the theme and all of the variations with the exception of the fourth. The narrative begins with the introduction, which acts as an expanded upbeat to the theme: 4 appears twice in an unusually-voiced harmony implying a dominant seventh chord. This doubled dissonance draws attention to a dual function: 4 resolves down to 3 as expected in the viola, while it steps up to 1 in the violin I line, functioning as a sort of unprepared

47 Oxford English Dictionary, “Sublime.” 48 Chua (1999, 182). 49 Costello (2007, 39-40).

43 passing tone. (Example 2.10) This irregular resolution further reinforces the aural significance of 4.

Example 2.10: Beginning of the subdominant narrative in measures 1-3.

mm. 1-3 4 moves up to 1

4 resolves as expected

In measure 37, which corresponds to the expansion at the end of the theme, a prominent minor iv now appears on the second beat. Mode mixture intensifies the subdominant harmony, making it more aurally salient (Example 2.11).

Example 2.11: Comparison of mm. 36-37 and 19-20 mm. 19-20 (Extension at end of theme)

Ab: V$/IV IV vii*7/V V! \ ^ I6 V I

44 Example 2.11 Continued mm. 36-37 (Extension at end of Variation I)

Ab: V$/IV IViv V# \ ! VI P “I”

In the second variation, the minor subdominant expands to fill an entire measure.

Measure forty-nine is the climax of a long crescendo that begins back in measure 45

(Example 2.12). Violin I steps up to Db6 as the other voices sound a minor subdominant triad. A shift in register then occurs, with violin I leaping down and cello/viola leaping up; the registral shift is accompanied by a shift in dynamics from forte (with sf in the lower 3 voices) to piano.

Example 2.12: Mode-mixed subdominant in mm. 48-49.

mm.48-49

Ab: I ------ V7/IV iv

An interpolation in measure 55, supported entirely by the minor subdominant, breaks the phrase-structural mold of the theme for the first time (Example 2.13). This interpolation, an expansion of a single harmonic event that disrupts the expected phrase structure, is an instance of both temporal and formal plasticity. Later, the minor subdominant is expanded further in mm. 59-60 to provide a modulatory link between

Variation II, in Ab, and Variation III, in the key of Fb major (enharmonically respelled as

E major). Although Variation III does not feature the subdominant harmony, its tonal center is an expansion of b6 (Fb); what was a local chromatic inflection now encompasses a large-scale tonal event.

Example 2.13: Context for the interpolation in m. 55, including its relationship to the theme.

m. 54 (corresponds to m. 17)

Ab: I V^/IV

46 Example 2.13, Continued m. 55 (interpolation)

iv@ \\\\\\\\\\\\\\\\\\\\\\\\ !

m. 56 (Corresponds to m. 18)

The episode between Variations IV and V further advances the subdominant

narrative as the subdominant (enharmonically respelled as Cs minor) has finally

expanded to control an entire formal section. In a larger context, it functions as a pre-

dominant within an underlying harmonic progression moving iv—bII6—V—I (shown in

Example 2.14).

47 Example 2.14: Harmonic reduction of underlying progression, mm. 96-109

mm. 96-100 100-106 m. 106, mm. 107-108 m. 109 last eighth note

Ab: IV iv bII6 V I (enharmonically respelled)

The subdominant reaches the height of its power in the episode, which creates a crisis point for the movement, as tonal ambiguity intensifies the need for a resolution to the tonic. A dramatic and unexpected reduction in texture from four voices to one occurs in the pick-up to m. 96, where violin I begins a gesture reminiscent of the opening motive of the theme. The key is somewhat unclear in this spare beginning, although it soon becomes apparent that this episode has moved to the distant tonal region of Db (spelled Cs) minor. Measures 102-106 are particularly striking, with a thin texture and widely-spaced registration contributing to an eerie affect. A dramatic harmonic twist at the end of the episode wrenches power away from the minor subdominant, and culminates in a triumphant return to the home key and thematic material in the fourth variation. This transitional harmonic passage takes place in three phases. The first step is a motion from I to VI in Cs minor, a half-step away from the home key (Example 2.15). Although not unusual, the contrary motion between outer voices in m. 106 is aurally prominent, but the next step, a reinterpretation of A major as the Neapolitan of the home key, is even more striking. The A major (enharmonic for Bbb

48 major) triad moves to V in Ab; the dominant harmony is expanded for two bars to heighten the approach to tonic.

Example 2.15: Close analysis of the transition into Variation V

mm. 105-109

Csm: i VI Ab: bII! \\\\\\\\\@ V ------

(V) ------I

In the third and final stage of the transition, the return to Ab is reinforced through harmonic and melodic motion. First, the cello sustains a pedal Eb, as violin I trills. Then, the cello joins in the imitation of violin I’s eighth notes from the beginning of bar 107, as violin I’s trills begin to ‘expand’ upward. The trill texture continues as violin I rises an octave and a half in register, finally triumphantly seizing the high Ab as the fifth variation begins. The high register and rhythmically energized texture, coming after a

49 period of harmonic instability and uncertainty, marks this as a moment of transcendence, as defined by Hatten. Transcendence is confirmed in the final variation by ecstatic sixteenth-note figuration heard first in violin I and then in all three of the lower voices.

Throughout this movement, the minor subdominant grows in importance, posing an ever-greater threat to the order of the theme. Drawing on the narrative theory of Byron Almén, the minor subdominant thus represents a transgression against the tonal and modal “order” set forth in the theme.50 In the episode the transgressive minor subdominant finally displaces the theme, substituting melodic fragments and tonal uncertainty for the lyric lines and clear phrase structure of the theme. However, during the transition into the fourth variation, the theme (in its original tonal state) overcomes the darkness of the minor subdominant, transcending the transgression.

The movement closes with an extended phrase expansion that serves as a summary of the movement. The minor subdominant is referenced, but now has been returned to its original status as a local detail. This lengthy phrase expansion functions as a coda, and is a final instance of both temporal and formal plasticity (Example 2.16).

50 Almén (2008).

50 Example 2.16: Phrase expansion in Variation V. mm. 117-126

(I expected) *Begins subdominant control

iv6 *End of subdominant control

The pause in m. 118 marks a temporal disjunction, where the expected cadence is evaded by a two-beat pause. Although by this point in the movement an evaded cadence is expected at the end of the second phrase, this is the first use of silence as the

51 mechanism for cadential evasion. The analysis of this moment as a temporal disjunction is also supported by the marked change in texture, from the elegant melody heard throughout a four-part texture, to the spare repetition of a single pitch. As mentioned above, the final phrase expansion serves as a “summary” of the movement by referencing the earlier variations. The melody is reminiscent of the figuration of

Variation IV (see the cello in mm. 79-82), the sixteenth notes that fill the texture in mm.

124-125 resemble the figuration in mm. 115-118, and the minor subdominant appears in m. 122. The final motive heard in the movement is the 5—6—7—1 progression that opened the theme. These references to motives and figuration heard earlier in the set create a shifting sense of time, moving between past and present.

The entire phrase expansion from mm. 118—126 can be understood as a temporal expansion, as it is notably longer than the expansion at the end of the theme, retained in the other variations, and is equal in length to the final, abbreviated variation that contains only two phrases comprising ten measures total. This passage might also be interpreted as an instance of formal plasticity. Although any addition to a formal or phrase-structural “type” can be considered an instance of formal plasticity, this term could also be helpful for describing formal sections that seem to carry more than one function.51 “Form-functional plasticity” could be considered a sub-type of formal plasticity, as it suggests a flexibility in the deployment of a specific musical form.

51 Schmalfeldt (1996) discusses formal sections whose functions are progressively clarified, and Burnham (1995) discusses “polysemic” passages that carry more than one formal function. “Form-functional plasticity” would include formal sections that exhibit this sort of compositional/experiential process, but would also include formal sections whose functions are never entirely clarified. This term would have particular utility for discussing the final formal

52 2.3 Conclusions

The sub-thematic treatment of the theme in this movement creates the opportunity for expanding individual gestures registrally and temporally, which in turn intensifies their expressivity. This sort of excess also creates the potential for temporal and formal plasticity, two key characteristics of the late variation movements.

As formal plasticity is never found in this movement without temporal plasticity, this analysis illustrates the close relationship between these two techniques. However, this movement also suggests that the definition of formal plasticity may be usefully expanded to include form-functional plasticity. “Form-functional plasticity” refers to ambiguity or uncertainty in the interpretation of formal function. In this movement, a final phrase expansion is enlarged, taking on the function of a coda, while at the same time functioning as part of the final variation. Form-functional plasticity appears to be an important feature of Beethoven’s late variation movements, particularly at the end of sets. This idea will be explored further in the concluding discussion of the aesthetic of

Beethoven’s late works.

sections of many of the late variation movements that seem to blur the line between variation and coda.

CHAPTER 3

OP. 125: THE AESTHETICS OF RUPTURE

The slow movement of Beethoven’s ninth symphony is a set of alternating variations on lyric, contrasting themes. Theme A projects yearning through harmonic and melodic processes that delay closure. Theme B is tonally distant from Theme A, and makes use of faster-moving rhythms and a slightly faster tempo overall. Near the end of the movement, two disjunctive fanfares create a rupture in both the form and the expressive trajectory of the set. The analysis below will explore an expressive narrative initiated by the two themes, intensified by the developmental episode, and interrupted by two fanfares that create a twist in the narrative. Additionally, connections will be made between modal progressions in the coda and two other portions of the piece: the horn cadenza in the episode (mm. 83-98), and the brief modulating transitions between variations. Aesthetic analysis will make use of two concepts drawn from Adorno’s aesthetic theory, Durchbruch and Rückung. Although most analytical writing about the

Ninth Symphony has focused on the outer movements, several prominent scholars have addressed the slow movement, including Heinrich Schenker, Donald Tovey, Leo

Treitler, and Elaine Sisman. These published analyses tend to focus on the organic derivation of the fanfares in an attempt to explain how seemingly new musical material actually grows from motives and rhythms heard earlier in the set. By emphasizing connections over disjunctions, organicist readings diminish the disruptive nature of the fanfares and the musical material that follows. While certain features of the fanfares are

54 foreshadowed in earlier events, the analysis below will explore the fanfares primarily as the source of rupture and redirection in the expressive narrative of the set.

In 1912, Schenker published an analysis of the Ninth Symphony that included a detailed organicist reading of the slow movement. Schenker does not hear this movement as a set of true alternating variations as, in his view, the second theme isn’t varied as significantly as the first. He refers to the second theme instead as an “interlude theme” between statements of A.52 Table 3.1 summarizes each of the formal analyses discussed in this section, including Schenker’s. Although Schenker addresses many structural details, his analysis emphasizes connections between motives rather than expressive interpretation. For instance, he links the 5-1 melody in the fanfare with the descending fourth (3-7) that opens Theme A. While this is in line with his organicist viewpoint, equating the two intervallic statements minimizes their many important differences. Changes in metric position, harmonization, orchestration, rhythm, dynamics, and articulation create a strikingly different expressive effect that is minimized in an analysis that prioritizes pitch material.

Tovey’s analysis contains a detailed breakdown of the final section of the movement (see Table 3.1). Like Schenker, Tovey hears the coda beginning with the first fanfare, in m. 121. Also like Schenker, Tovey discussess relationships between Theme A and “new” material in the coda. The coda, in his view, divides into five smaller sections that include free variation of the first phrase of Theme A as well as development of the

52 Schenker (1992, 195).

55 second phrase of Theme A.53 While his statements about the structure of the melodies and the ways in which they are varied are specific and illuminating, little space is devoted to expressive effect. Expression is touched upon briefly (bars 83-98 “meditate” on Theme A, and the coda begins with “an emphatic assertion of the subdominant”), but overall his analysis focuses more on musical structure and organic connections.54

Table 3.1: Comparative chart of analyses, Beethoven, Symphony 9, III

Measures Schenker (1912) Tovey (1935) Sisman (1990) 1-2 Introduction A Introduction 3-24 A A 25-42 B B B 43-64 A’ A’ A1 65-82 B B’ B’ 83-98 Free transition Interlude Episode on A 99-120 A’’ A’’ A2 121-124 Coda Coda (with “free Episode’ on A 125-130 variation” and A3 131-136 development on A Episode’’ on A 137-151 theme) A3 continues 152-157 Coda

In Music and the Historical Imagination, Treitler addresses Schenker’s analysis while adding his own expressive interpretation. Treitler believes that Schenker misses important expressive moments: “again and again individualizing features of the work are neutralized by placing them under general concepts that apply across the tonal system or the symphonic form, or both.”55 Treitler emphasizes the need for addressing historical context and stylistic norms, as well as “individualizing features,” when analyzing Beethoven’s music (a position also held by Adorno). Although Treitler

53 Tovey (1935, 76-77). 54 Ibid., 76. 55 Treitler (1989, 30).

56 doesn’t address the slow movement in detail, his comments about the symphony in general can be applied to specific moments in the variation set. For instance, he speaks of “genre shock” occasioned by the recitative at the beginning of the finale.56 The fanfare in the slow movement creates a similar sense of shock, something unexpected in a slow-movement variation set (and particularly at the end of such a set). Treitler’s

“genre shock” is a specific manifestation of Adorno’s Durchbruch, discussed below. His remarks provide an expressive interpretation lacking in the organicist analyses of

Schenker and Tovey; however, Treitler provides little specific musical detail in his discussion, and does not directly address the slow movement, where his arguments are particularly apt.

In the most recent detailed analysis of this movement, published by Sisman, this movement is described as the culmination of a classical tradition of double variations.

Specifically, Sisman writes, “replacing the second theme with a profoundly altered interpretation of the first theme [which she refers to earlier as “A’s episode,” in mm.

121-151] is Beethoven’s masterstroke in the movement, and his final transformation of the alternating variation.”57 She supports this statement with a reading of the form that is quite different from Schenker’s and Tovey’s. Her analysis does not distinguish between fragmentary and complete statements of Theme A, allowing her to posit a new alternation pattern at the end of the movement that she equates with the alternation of

Themes A and B at the beginning. In Sisman’s analysis, starting in m. 121, Theme A alternates with episodic material (fanfares and modal progressions), which she views as

56 Ibid. (1989, 26). 57 Sisman (1990, 180).

57 part of a third variation on Theme A. Thus, the coda does not begin until m. 152. Like

Schenker, Sisman hears the fanfare growing from earlier music: the rhythm is derived from the pizzicato accompaniment of the first theme, and the key is foreshadowed by the key of the episode.58 However, her organicist reading does not account for the formal function and expressive effect of the two fanfares and the fragmentary statements of Theme A.

3.1 Adorno’s Concepts of Durchbruch and Rückung

Theodor Adorno was fascinated by Beethoven’s music, particularly the music of the late period. He published an article on the late style, and also collaborated with

Thomas Mann on a passage about Op. 111 in Mann’s novel Doctor Faustus. Adorno was interested in the interaction of subjectivity and convention, rejecting the view that

Beethoven’s late style was solely subjective and completely divorced from convention.

In his article, Adorno writes, “Everywhere in his [Beethoven’s] formal language, even where it avails itself of such a singular syntax as in the last five piano sonatas, one finds formulas and phrases of convention scattered about.”59 He elaborates the relationship between subjectivity and convention further, writing “The relationship of the conventions to the subjectivity itself must be seen as constituting the formal law from which the content of the late works emerges—at least to the extent that the latter are ultimately taken to signify more than touching relics.”60 In other words, rather than disregarding convention to forge an entirely personal path, Beethoven uses conventions

58 Ibid. (180). 59 Adorno (2002, 565); essay first published in 1937. 60 Ibid., 566.

58 to provide both a background for his works and a basis for his idiosyncratic and innovative content.61

Although Adorno was not the author of Doctor Faustus, his voice can be heard in the analysis the teacher Kretschmar provides of the Op. 111 piano sonata. Kretschmar describes the late style in the same language used by Adorno, emphasizing a

“distinction between harmonic subjectivity and polyphonic objectivity.”62 This passage reinforces ideas from Adorno’s article on the late style, but adds new details as well. For instance, Kretschmar says that works from the late style exhibit “an excess of introspection and speculation.”63 He also adds nuance to the dichotomy between subjectivity and convention: “In these forms, said the speaker [Kretschmar/Adorno], the subjective and the conventional assumed a new relationship, conditioned by death.”64 Beethoven’s last works were written during an extended period of failing health, so it is plausible that his late musical style was shaped in part by a heightened awareness of mortality.

Despite Adorno’s interest in the late works of Beethoven, Michael Spitzer has suggested that Adorno’s general writings on aesthetics are actually better suited to the discussion of Beethoven’s music than Adorno’s writings that deal specifically with the aesthetics of music. In this analysis, I will use two terms drawn from Adorno’s

“constellation” of aesthetic concepts, Durchbruch and Rückung, to explore and explain structural ruptures to the form of the final variation. Spitzer defines Durchbruch as “a

61 This viewpoint is also expressed by Treitler (1989), as discussed above, and Rosen, in his seminal book on Classical music (1972). 62 Mann (1948, 53). 63 Ibid., 51. 64 Ibid., 53.

59 breakthrough, or eruption, of the repressed, which can be subjectivity, nature, particularity, or the historically archaic (Baroque parataxis, classical articulation, heroic rhetoric).”65 This concept is related to the stylistic marker of formal plasticity; in the slow movement of Op. 125, for instance, the episodic fanfare “breaks through” the conventional form of the variation set. The idea of repression, however, is harder to define: does the fanfare truly represent something that has been repressed throughout the variation set? This issue will be addressed in the analysis below.

Rückung, defined by Spitzer as “a harmonic shift or pivot progression in place of a functional modulation or resolution, common in Beethoven’s late music,”66 applies to the modal sections that connect the fanfares and statements of the theme, as well as to the modulating transitions between variations. These striking harmonic shifts, used to transition quickly between distant keys, are unexpected and abrupt. The Rückungs are an instance of temporal plasticity, creating temporal disjunctions. The material following each of these disjunctions resides on a different temporal plane from what has come before, and the Rückungs signal motion from one temporal plane to another. The

The aesthetic effect of these progressions varies depending on content: the modal passages following the fanfares express an ancient solemnity, while the transitions between variations seem to provide a link between two contrasting musical worlds.

These aesthetic interpretations will be discussed in more detail in the analysis below.

65 Spitzer, (2006, 69). 66 Ibid., 70. This is somewhat confusing, because if a progression modulates, it is functional. What Spitzer seems to mean is that Beethoven prefers to modulate using chromatic, rather than diatonic, pivots.

60 Table 3.2 summarizes characteristics of the two concepts under discussion and provides

musical examples drawn from the slow movement of Op. 125.

Table 3.2: Summary of aesthetic terms used in this analysis Term Definition from Spitzer Musical manifestation in Op. 125 slow movement Durchbruch “A breakthrough, or eruption, of the Fanfares in mm. 121 and 131 repressed, which can be subjectivity, nature, particularity, or the historically archaic (Baroque parataxis, classical articulation, heroic rhetoric).”67 Rückung “A harmonic shift or pivot progression in Modal progressions place of a functional modulation or following fanfares; resolution, common in Beethoven’s late modulating transitions music.”68 between variations

3.2 The Two Themes and their Expressive Trajectory The slow movement of Op. 125 is a set of alternating variations on two

contrasting themes. Theme A is in the form of a contrasting period, with a repeated,

expanded consequent (Example 3.1).

Example 3.1: Reduction of Theme A, with basic phrase structure labeled. Numbers between staves refer to position within phrase.

Echo m. 3

Winds

Antecedent Consequent m. 3

Strings 1 2 3 4 4 1 2

Bb: V# \\ ! HC

67 Ibid., 69. 68 Spitzer 70.

61 Example 3.1, Continued Echo Echo

Consequent with new, expanded continuation

3 4 4 1 2 2 3

IV V$/V ii$ V#\! V7 I *mm. 16-17 = expansion of m. 10 IAC

Repeated expansion Echo Extension (=16-17)

3 4 4 3 3

V7 I IV V$/V V#\\\\( PAC

Extension Transition

V7 V6/vi D: I@ \\\\\ !

62 After the antecedent phrase reaches a half cadence (echoed by the winds), a consequent

begins. However, in place of the expected PAC, a chromatic passing tone in the first

violins creates an IAC (m. 11), which is once again echoed by the winds. A second

iteration of the consequent occurs, beginning in m. 13. After an interpolated wind echo

of its second bar, a new continuation follows (mm. 15—17), which finally lead to a PAC

in the strings in bar 18 (Figure 3.1). This cadence is echoed in m. 19, then repeated up a

third in m. 20. The expansion from mm. 16—17 is repeated, effectively moving

backwards in time. A dominant expansion in mm. 22—23 seems to be setting up a final

PAC in Bb, while intensifying the drive to the resolution; however, a chromatic

inflection in the cellos and basses creates a D-major triad in first inversion. Rather than

resolving deceptively to vi, as expected, this harmony is sustained, becoming the tonic

for Theme B.

Antecedent Consequent Consequent with Extension--Expansion-- new continuation Transition echo Echo =8 =9 echo echo m. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Figure 3.1: Phrase structure diagram for Theme A

Theme B contrasts with Theme A structurally, tonally, and temporally. Whereas

the echoes in Theme A loosen the phrase structure, and two attempts at a consequent

yield an expansive three-phrase period, the phrase structure of Theme B is simple and

symmetrical. Four, four-bar phrases are implied by the melody, while phrase elisions

and a dominant pedal create continuous harmonic motion (Example 3.2). Although the

melody seems to imply a periodic structure, the cadences are veiled by the dominant

pedal, and the melody actually implies a strong-weak-strong-weak cadential ordering.

63 Leaps in the melody at cadential points (such as the leap from E to G, then back up to Fs

in mm. 32 and 40) obscure cadences further, creating phrase elisions. These leaps are

especially notable given the conjunct motion and narrow range that prevails throughout

the rest of Theme B.

Example 3.2: Reduction of Theme B with phrase structure labeled

D: “AC”

“AC”

“AC” “AC” V7 bVI Bb: I

Bb: V# \\\ (

64 Theme B also occurs in the tonally remote key of D major, IIIs in relation to the home key of Bb; the second statement of Theme B occurs in VIs, a complementary move from

Bb to a chromatic mediant (see the form chart in Table 3.3 on p. 69).69 The expressive implications of this tonal scheme will be discussed in detail below.

Finally, the two themes project conflicting senses of temporality. In Theme A, delays in melodic and harmonic resolutions, as well as a slow tempo, give a sense of time passing slowly. Delayed resolutions create a sense of temporal delay between the expected and actual moment of resolutions. Echoes seem to stretch time out, creating space between phrases and sub-phrases. Because of the slightly faster tempo, shorter hypermeasures (due to a change from quadruple to triple meter), and shorter note values, Theme B seems more active. However, this is balanced by harmonic stasis (a result of the embellished pedal point) and a repetitive, sequential melody, as well as conjunct melodic motion and a narrower range. The overall temporal effect is one of running in place—a busy surface but no strong harmonic motion. These contrasts place the themes on two different temporal planes. According to Samarotto’s theory of temporal plasticity, temporal disjunctions are unmarked when they occur at formal boundaries. In this case, although technically the disjunction lines up with formal divisions, Theme A’s final harmonic progression is not yet complete when Theme B enters. Theme A ends with an extended dominant that is chromatically altered to a D major triad, initially heard as V/vi. Rather than resolving to vi, as expected, it is extended over the barline, where it becomes the tonic for Theme B, thus serving as a

69 Sisman (1990) notes the V-I relationship between the statements of the B theme, which create a large-scale “resolution” across the set.

65 turning point between the themes. This unexpected transition creates the impression that Theme B enters before Theme A is completely finished. The suspension of the D major triad could be interpreted as an actor remaining on stage through a scene change, while the entrance of Theme B represents a new musical world. Time is briefly suspended over the D major triad as the change occurs, with the second temporal plane not in place until Theme B begins.

The differences between the two alternating themes, and the temporal disjunctions that demarcate their formal boundaries, create a particular expressive narrative that spans the movement. Theme A depicts yearning through its delayed resolutions, which intensify the desire for harmonic closure. Additionally, the echoes create a sense of luxuriating in the musical “space” afforded by the slow tempo. This theme is lyric and hymn-like, but not uncomplicated; two consequents are required, for example, to successfully close the phrase structure. As a whole, Theme A seems to be expending a great deal of effort in a struggle or search for some unspecified goal. In contrast to the luxuriance and complications of Theme A, Theme B expresses naïve simplicity through literal repetitions and a dominant pedal. It also projects yearning, however, through phrase elisions, “reaching-over” figures, and a continually-rising melodic line. Directly following Theme A, the second theme may be understood as a potential object for Theme A’s yearning. However, the reappearance of Theme A after each statement of Theme B seems to indicate a rejection of the second theme as a true solution. That Theme B is not a “real” solution to the yearning of Theme A is evident in its unsettled cadences and dominant pedal that veils harmonic motion.

66 A further layer of interpretation, inspired by the writings of J. W. N. Sullivan, may be hypothesized. According to Sullivan, this movement expresses both serenity and sorrow; the sorrow is eventually subsumed into serenity.70 These two expressive concepts can be mapped onto the two themes: Theme A, with its unfulfilled yearning, represents sorrow, while Theme B represents serenity. At first, the sorrowful first theme may reject the serenity of Theme B as too easily achieved. According to Sullivan, serenity ultimately triumphs. However, this reading does not acknowledge the ruptures at the end of the set. It will be shown below that the sorrow of Theme A is not so easily assuaged. Instead, both turns to the “Elysium” of Theme B fail to provide succor. It takes the dramatically disruptive fanfares to finally redirect Theme A’s search—and even then, Theme A does not easily fade away. Rather than sorrow turning to serenity, the ultimate aesthetic trajectory of this movement might be more accurately described in terms of a quest. The “character” of Theme A embarks on an earnest, effortful search for serenity, first through sacred means, as evidenced by the hymn topic and elevated style of discourse. The search continues through Theme B, whose pastoral topic represents the secular world.71 The search for inner peace, which in the context of this musical narrative may be represented by marked cadential closure, is maintained, and even intensified, until the very end of the movement. While Theme B remains largely unaltered throughout the movement, the variations on Theme A become progressively

70 Sullivan (1960, 81). In this passage, Sullivan also relates the slow movement of Op. 125 to the Heiliger Dankgesang of Op. 132. 71 Hatten (1994, 285) writes that the nineteenth century saw a shift in the perceived path to transcendence. The sacred realm, represented in this movement by Theme A, was privileged at the beginning of the century, with the secular realm (often represented by Nature, or in this movement, Theme B), rising to prominence as the century progressed.

67 more florid and rhythmically active. Further musical mechanics of the quest’s end are discussed in detail below. It is worth mentioning, however, that this narrative is thoroughly in keeping with Sullivan’s interpretation of the late music of Beethoven.

According to Sullivan, Beethoven learned the value of submission at the end of his life—submission not as weakness or easy yielding to the world, but rather as embracing suffering as a necessary path to understanding and, ultimately, transcendence.72

3.3 Approaching the End

The form of the complete set is shown in Table 3.3, summarizing the preceding discussion. This reading of the form bears resemblances to Schenker’s (shown on p. 57), but the with an important difference.

Table 3.3: Form chart of the movement Measures Formal Sections Key Musical Content 1-2 Introduction Bb Gradually-building dominant harmony 3-24 A Bb Contrasting period with two consequents 25-42 B D (IIIs) Four (periodic?) phrases over pedal point 43-64 A’ Bb Contrasting period with two consequents 65-82 B’ G (VIs) Four (periodic?) phrases over pedal point 83-98 Developmental Eb  Cb Based on material from Theme A Episode (IV  bII) 99-120 A’’ Bb Contrasting period with two consequents 121-157 A’’’  Coda Bb Fanfares, fragments of Theme A

Just as in Schenker’s analysis, in this interpretation the coda begins in bar 121. The reading presented in Table 3.3, though, shows “A’’’  (becomes) Coda.” When the final section of the piece begins, the fanfare sounds like a brief episode followed by a final

72 Ibid., 78. “Submission” in Sullivan’s terms means an acknowledgment of the necessity of suffering—a concept that is simple to grasp but extremely difficult to achieve. This type of submission appears in the works of Hatten as “abnegation.”

68 variation on the A Theme.73 However, the second fanfare disrupts those expectations, and when the variation trails away before the entire theme is heard, it becomes apparent that this entire segment is actually the coda. The label given in Table 3.3 acknowledges this aural revision.

Table 3.4 provides a more detailed view of the end of the variation set, beginning with the first fanfare. In addition to clear quotations from the first theme, three types of material seemingly unrelated to Theme A appear in the coda: the fanfare, a transitional modal progression, and a brief melodic fragment that does not immediately appear to correspond to Theme A. The origins and aesthetic effects of this material will be discussed in more detail below.

Table 3.4: Form chart for measures 121—157. Dotted lines between sections imply formal subgroups. Measures Subsection Description 121—122 Fanfare Begins in the subdominant; ends with HC in tonic 123—124 Modal response Tonal center ambiguous: Eb minor? 125—127 Melodic fragment Entirely in the tonic; references Theme A 128—130 A’’’ Measures 5—7 clearly projected 131—132 Fanfare Identical to Fanfare1 133—136 Modal response Different harmonies but still tenuously projects Eb minor 137—140 Melodic fragment Entirely in the tonic; references Theme A 141—151 A’’’ continued! Measures 8—10 clearly projected 151—157 Closing Return of 3-4-3 ostinato from fifth transition; extended tonic expansion

73 An alternate analysis of this section is possible, as well: Until the coda, the piece has progressed as a sort of hybrid rondo-variation set, with the B’ section substituting for the expected C material. In this reading, the surprising feature of this set is not that the fanfare interrupts the variation on A, but that another variation should appear at all. Structurally, the set could have ended with the second variation on A. From this perspective, the label of the final section could simply be “Coda,” with no retroactive revisions necessary.

69 The fanfare in measures 121—122 signals the beginning of a new formal section

(Example 3.3). Three bars before the fanfare appears, the cellos lock onto a dominant pedal, seemingly preparing for the final structural cadence in the home key. However, a swift crescendo from pianissimo to forte in m. 120 leads to a unison Bb, played by the full ensemble, which is re-interpreted as 5 in the subdominant. This striking move evades the expected PAC, subverting generic and stylistic expectations. Once the alternating variation scheme is established (in this case, after the variation on the B theme), the sudden and dramatic insertion of new material is unexpected. Further, fanfares are associated with beginnings, so their appearance at what is presumed to be the end of the set seems out of place. Finally, the affect of the piece up to this point has been subdued, even placid. The powerful fanfare, with its full scoring and loud dynamic, is completely out of character for the movement.

Example 3.3: Reduction of fanfare, mm. 121—122

f ff decresc.

Eb: V I V I V V/V Bb: IV I V V? v6

Although this fanfare is unexpected, it is not entirely unprepared. As noted above, Sisman writes that both the rhythm and the key of the fanfare are foreshadowed by the accompaniment for the first theme, and the episode, respectively. Additionally, a musical narrative involving the increasingly-prominent fourth horn prepares the sonority of the fanfare. This narrative begins in the final beat of m. 15, a local detail in

70 the midst of the first statement of Theme A. In this measure, the fourth horn provides an arpeggiated link between the wind echo in m. 15 and the new continuation of the repeated consequent of the second phrase. Low register and a rhythm that includes sixteenth notes draw attention to the line. The figure reappears in the same location in the first variation on Theme A, but now it is expanded, with four sixteenths instead of two (Example 3.4).

Example 3.4: Comparison of fourth horn part, mm. 15 and 55 (notated in concert pitch)

m. 15 m. 55

It is in the episode (mm. 83-98), however, where the horn truly rises to prominence. At the beginning of the episode, the fourth horn serves as the bass line of the wind choir. Dramatic leaps and wide shifts in register, particularly in bars 89—94, keep the horn’s sonority in the spotlight (Example 3.5).

Example 3.5: Mm. 89—95, fourth horn (notated in concert pitch)

Just before the end of the episode, in bar 96, the horn plays a cadenza-like, scalar passage that breaks through the chorale-like episode. This is a small-scale example of

Durchbruch, especially as the leisurely affect of the episode resumes in the next measure

(Example 3.6). This moment of Durchbruch foreshadows the larger rupture, created by the fanfare, that is still to come.

71 Example 3.6: Horn cadenza in m. 96, played by fourth horn (notated in concert pitch)

Eb: bVI

The episode as a whole is a large-scale instance of Durchbruch, breaking in on the alternation pattern and tonal structure of the movement. The episode is tonally developmental, moving from Eb to Cb, IV to bII in relation to the home key. This sort of tonal exploration, in combination with the fragmentation and development of motives from Theme A, makes this section analogous to the development of a sonata. In fact, the form of the movement up to this point could be heard as a sonata-variation hybrid, with the presentation of both themes and their first variations corresponding to a repeated exposition, and the reappearance of Theme A after the episode corresponding to the beginning of the recapitulation. However, the fanfares that disrupt the movement also disrupt the sonata scheme, as Theme B is never heard in the home key. Based entirely on Theme A, the episode takes the place of Theme B in the alternation structure, and the second theme is not heard again in the movement. The tonal and motivic exploration of

Theme A in the episode seems to render Theme B unnecessary, as though leading to a realization that Theme B’s serenity is only an illusion.

The horn continues to play an important role throughout the remainder of the variations, leading up to the coda; two specific instances deserve mention. First, in bar

111, the horn plays an especially dramatic version of the arpeggio link already mentioned. In this case, it spans two full beats and three and a half octaves (Example

3.7). In this expanded form, it resonates with the miniature cadenza in the episode.

72 Example 3.7: Fourth horn, m. 111 (notated in concert pitch)

Second, the horn also plays a neighbor-figure ostinato leading into the fanfare, which intensifies the cadential drive towards the (expected) structural cadence in m. 121. The ostinato eventually turns into a passing figure that leads into the fanfare, making the fanfare appear to grow out of the horn line. In addition to preparing the wind-heavy sonority of the fanfare, the horn also adumbrates the topical association of the hunt.

Although multiple aspects of the fanfare (including rhythm and sonority) are foreshadowed in the preceding variations, its appearance is nonetheless striking. Both the fanfare and the miniature cadenza in the episode are examples of Durchbruch, which occurs when music of an entirely different style and affect “breaks through” the pervading mood and formal structure.74 According to Adorno, Durchbruch carries with it notions of repression as well as interjection. In the case of Op. 125, repression can be discussed in terms of the inward/outward dichotomy often invoked when discussing

Beethoven’s music.75 Theme A, with its expansive melodic line and effortful striving, represents an inward, spiritual search. Theme B, with its pastoral topical associations

(drone bass, repetitive rhythms, spare texture), represents an external search referencing Nature. The fanfare, however, with its aristocratic connotations of the hunt and royal processions, stands for order, control, and social hierarchies. This, even more

74 Durchbruch is related to Samarotto’s “temporal disjunction” but does not require changes to specific temporal parameters, and denotes a more specific expressive impact. 75 Kerman (1966), Chua (1995), Sullivan (1960). Mellers’ (1982) stylistic dichotomy of song vs. dance in his analysis of the Op. 109 piano sonata can also be understood as a manifestation of inwardness/outwardness.

73 than the pastoral, is in stark opposition to the inward and intimate Theme A. When the fanfare appears, it represents social hierarchies disrupting the individual’s search for transcendence.76 This reading is strengthened by the fact that the fanfare interrupts a second time, yet Theme A resumes, in medias res, rather than starting over. The first theme attempts to continue its quest despite the intrusion, picking up where it left off in m. 8, but eventually the strength of the social order is too powerful, and Theme A finally dies away completely in bar 151 before the entire melody has been heard.

Following both fanfares are modal progressions (in mm. 123—124 and 133—136) that lead back to material from Theme A. The first of these is shown in Example 3.8. The concept of Rückung provides a way to discuss the aesthetic effects of unconventional transitions, including the two modal progressions and the modulating transitions between variations.

Example 3.8: Modal progression, mm. 123—124 FM Fm6 Cm# Ebm6 (implied)

Bb: V v6 P# iv6

76 In a recent paper presented at the American Beethoven Society’s 2012 conference New Beethoven Research, John David Wilson traced the history of Eb major (the key of the fanfare) in Beethoven’s works, and its association with the hunt and, more specifically, the German notion of Tügend. This ancient system of chivalry had once been venerated, but by Beethoven’s day was seen as representing an unjust social hierarchy. Thus the fanfare may be read as an ironic reference to “the world” and its repressive social structure.

74 In mm. 123—124, the melody is based on the descending-fourth motive that opens Theme A, creating an underlying stepwise descent. The smooth transition into bar 125 is also helped by a chromatically-descending bass line. At the same time, the use of mode mixture creates unexpected harmonic colors.

The second modal passage (mm. 131—133) is two bars longer than the first and uses different harmonies, this time implying Db, but like the first progression includes prominent descending fourths in the melody and harmonies derived from mode mixture (Example 3.9). In this progression, the bass and soprano have the same notes

(although they move in contrary motion). While the soprano is embellished by falling fourths, the bass line is embellished by ascending fifths. The bass implies a large-scale stepwise progression Db-Eb-F, while the soprano’s Bb carries over into bar 137. This expanded modal response acts as a more insistent “nudge” to Theme A, perhaps reinforcing the fanfare’s redirection.

Example 3.9: Mm. 133—136

Db: I V ii vi Bb: i

Adorno’s term Rückung addresses the effect of these progressions, which are smooth yet striking. Stepwise voice-leading ensures smooth connections, while unexpected harmonizations, changes in temporality, and unconventional pivots mark these progressions as something very different from either the fanfare or Theme A. The

75 use of mode mixture in these progressions creates harmonic ambiguity, and the alla breve topic makes the progressions sound ancient and somber. Rhythmically, the fanfares articulated each dotted quarter, so the switch to dotted-half-note motion and slowed harmonic rhythm in mm. 123 and 133 creates a temporal disjunction. The second modal progression is rhythmically more active, with a rhythmic figure in the second violin that echoes the fanfare, intensifying the expression of the passage. When material based on Theme A returns in both bars 125 and 137, eighth-note motion predominates. Thus, both modal progressions reside on distinct temporal planes, separated from both the fanfare and material based on Theme A. Finally, the second modal progression makes use of an unconventional pivot between Db and Bb. The Bb minor triad in bar 136 is held over the barline, then chromatically inflected to Bb major to become the new tonic in bar 137. Using the tonic of the new key as a pivot is aurally striking, even abrupt, particularly when combined with the chromaticized pivot and unusual metric position. In this case, the turn from Bb minor to Bb major is a revelatory move, reinforcing the interpretation that the modal section is “nudging” Theme A in a particular direction; the inflection to Bb major could be heard as Theme A’s sudden comprehension of that message.

The pivot in bar 136 bears significant resemblance to the transition between the first statements of Themes A and B (mm. 21—24), discussed above. In both cases, chromatic inflection is used to create smooth voice leading, while the tonic of the new key is held over the barline, disturbing the harmonic rhythm. And in both cases, the progression pivots directly to the new tonic. A similar harmonic process is at work in

76 the transition out of the B theme (mm. 41—42, Example 3.10): in this case, a deceptive progression provides the pivot between D and Bb major. bVI in D major becomes the tonic of the new key, although in this case it is followed by a cadential # rather than held over the barline. Rückung applies to each of the progressions discussed here, as they exhibit unusual or unexpected harmonizations, pivots, and/or harmonic rhythm.

Example 3.10: Mm. 41—42

D: V7 bVI Bb: I V# \\\ 7 I V^

Example 3.11 compares mm. 125—128 and mm. 3—6 (the first four bars of

Theme A). Measure 125 can be heard as a compression of mm. 3—4 (mm. 1—2 of

Theme A), as they outline the melody D-A-F.77 Bar 126 is an embellished repetition of m. 125, but also adds (in the first violin) the final melodic Eb that leads from bar 4 to bar

5. The descending fourth motive that appears in mm. 125 and 126 is first heard in the first violins in m. 3, then serves as the bass line (in the cellos) in m. 4. Measure 127 creates an interpolation based on m. 3, once again creating a sense of moving backwards in time (as in the transition between the first statements of Themes A and B). Example 3.

11a shows the opening melody of Theme A for comparison with this section.

77 Sisman (1990) also speaks of compression in this section.

77 Example 3.11b provides a reduction of mm. 125—128, to show correspondences

with Theme A. Bar 128 is a clear statement, in the horns, of the melody from bars 5—7.78

Thus, it appears that the modal progression leads straight into the beginning of Theme

A. Although mm. 125—127 are related to Theme A, the relationship is not nearly as

clear as in mm. 128—130, and so the two passages carry different expressive functions.

The embellished re-statement of m. 125 in m. 126, for instance, creates the impression of

gathering strength, perhaps to build up enough energy to continue with Theme A after

the disruption of the fanfare.

Example 3.11a: Opening melody of Theme A (mm. 3—6 of the movement)

m. 3, Violin I

Example 3.11b: Reduction of mm. 125-128

m. 3? (D-A motive in inner voice) Embellished repetition of m. 125 m. 125

Winds

m. 125

Strings

78 Measure numbers throughout this analysis refer to actual measure numbers. For instance, Theme A begins in m. 3; when “m. 3” is referenced as relating to a particular measure in the coda, this means “measure 3 which is also the first measure of Theme A,” not “the third measure of Theme A.”

78 Example 3.11b Continued

m. 4? (D‐A motive still present) Corresponds to m. 5

A similar situation occurs after the second fanfare, beginning with bar 137.

Correspondences between mm. 125—128 and mm. 137—141 are shown in the

comparative analysis below (Example 3.12). Measures 137—141 follow the second,

expanded modal progression. It is not surprising, then, that the passage that follows,

described earlier as an “energy-build,” should also be longer to balance the more

extended disruption.

Example 3.12: Comparative analysis of bars 125-128 and 137—141

Variation of m. 125 Interpolation based on mm. 3-4 m. 125 m. 137

Variation of m. 137 Further variation of m. 137

79 Example 3.12 Continued

Violin I, m. 5 (antecedent) m. 128 m. 140

Repeat of m. 139 (interpolation expanded) Violin I, m. 8 (consequent)

Measures 137 and 138 correspond neatly to mm. 125 and 126, meaning they can

also be heard as a compression of mm. 5-6. Measure 139 is related melodically to m. 137,

making it another compression of mm. 5-6, but it carries a different expressive function

due to the strong cadence between mm. 138-139, the first metrically-strong PAC of the

movement, signaling a confirmation of some sort. This measure is then repeated in the

winds, before material clearly corresponding to m. 8 is heard in the first violins. As a

whole, this section references mm. 5-6 and 8-10. The only measure missing is m. 7,

which was an echo of m. 6. However, measure 6 is heard (in compressed form) three

times in this passage, so a direct echo of m. 6 alone is unnecessary.

By prefacing each fragment from Theme A with similar material that is not

overtly thematic, the statements of the theme can emerge gradually. By the time the

correspondences are clear, as in the case of m. 125, the theme is already underway. It is

as though the theme has been playing “all along,” although hidden by the new material.

This effect is even more pronounced at m. 141, where music from m. 8 is heard. These

passages present another example of repression, although in this instance, repression

that is not related to Durchbruch. Or perhaps this is a sort of “reverse break-through,”

where earlier, established material is repressed by the insertion of new material. This

80 can be tied to the narrative suggested above: Theme A has continued its quest for serenity, even as the fanfares attempted to redirect it.

The inclusion of new material at the end of the set leads to questions of structural and expressive necessity: what is the function of this material in the context of the movement as a whole? Structurally, this material is not necessary. The movement could have ended before the first fanfare, perhaps with a brief coda to confirm the final return to the home key. Expressively, however, the fanfare created a rupture so great that

Theme A could not follow immediately. The theme’s reappearance required the mediation of the modal progression and the energy-build of bars 123—124 and 137—

138 . As I have argued above, the fanfare may be interpreted as the social hierarchy’s interruption of a personal quest for serenity that explores both sacred and secular paths.

The modal progressions, residing on discrete temporal planes, provide time for meditation on the meaning of the fanfares’ message. Beyond interrupting the quest, the fanfares may be implying that the outer world holds a solution for finding serenity, an interpretation that will be addressed further below. The passages that link the modal progressions with clear thematic material can be heard as ruminations on that message.

The cadence in mm. 138—139 contributes to this reading. In all of the previous statements of Theme A, strong closure has been avoided. Although the first statement and subsequent variants of the complete theme contain a PAC near their conclusion, cadential closure is attenuated, notably by the subsequent phrase extension that reopens the section tonally and modulates to a new key. Now, finally, material drawn from

Theme A forms a convincing cadence. This PAC could be heard as confirmation,

81 perhaps even confirming that Theme A’s quest has come to an end, and serenity has been found. However, two musical features speak against this reading. First of all, the cadence occurs in what corresponds to the middle of Theme A. This weakens the expressive, if not the structural, effect of the cadence. Had the strong cadence been reserved for the end of a complete statement of Theme A, its effect would be much more conclusive. Second, the material following the cadence (mm. 139—end) does not seem confirmatory. As mentioned above, this cadence is followed by a clear quotation of bars 8—10 leaving Theme A incomplete. In the music that follows, permeated with fragments of Theme A, the same types of delays are encountered that were first heard in the original statement of Theme A, projecting a similar sense of yearning, which is now intensified. In addition to echoes and delayed resolution, melodic lines such as the rising arpeggiation in bar 154 that gets “stuck” on 5 contribute to the sense that the journey is not truly complete. A similar “reaching” figure can be heard in the first violins in mm. 147—148. These rising arpeggiations are heard over a strong dominant, which is prolonged for four bars. A florid descending soli line, still in the first violins, delays the cadence further in bar 151. (Example 3.13)

Example 3.13: Reduction of mm. 147-151

Reaching figure (in Violin I)

Bb: V------

82 Example 3.13 Continued Violin I delays resolution further

V------I------Perhaps, then, the cadence at m. 139 does not confirm that serenity has been achieved, rather that the quest is pursuing a new path in a search for serenity. In this reading, the episode and fanfares provide a redirection, away from the sacred searching of Theme A and the false serenity of Theme B. The decisive cadence represents a response to this redirection, confirming a resolve to follow a new path, towards the social order and brotherhood. The movement ends without either transcendence or convincing serenity, but material from Theme A has not disappeared completely, leaving open the possibility that Theme A is still pursuing its search.

The expansive coda changes the rhetorical weight of the movement within the symphony. Without the coda, this movement would have been a lovely, even intimately affective, slow movement, a brief respite between the surrounding minor-mode movements. With the complications of the coda, though, the end of the movement gains a significant amount of “rhetorical weight,” affecting the outcome of the expressive trajectory. The coda thus grants this movement greater musical and aesthetic substance, allowing it to stand as a true companion of the other three movements.

3.4 Conclusions

The analysis above explores two claims about the aesthetic trajectory of this movement. First, the two contrasting and alternating themes create a narrative of

83 introspective searching that is interrupted by the demands of the external world.

Second, the inclusion of new and dramatic material in the coda, creating a narrative twist, grants this movement a weight adequate to balance the other movements in the symphony. James Hepokoski and Warren Darcy assert that, in rotational forms such as sonatas, new material can substitute for thematic statements in later rotations (such as the beginning of the development).79 Double variations are also rotational forms, so the new material at the end of this set could be interpreted as another sonata-like feature of this movement. Although replacing thematic statements with new material may be in line with Classical compositional practice, its aesthetic effect in this particular case is truly remarkable. The fanfares and modal progressions create an unexpected twist in the expressive narrative, changing it from a simple alternation of states to a goal- oriented progression that is interrupted and ultimately left incomplete. By changing the expressive trajectory, this new material adds expressive weight to the end of the movement. Without the fanfares and modal progressions, this movement would fit

Sullivan’s narrative of an alternation between sorrow and serenity. The narrative twist creates the potential for a more nuanced reading that incorporates willful submission, or abnegation, in hope of transcendence.

Transcendence is not achieved in this movement, however. Theme A disappears before the complete melody is heard, giving way to a 14-bar tonic expansion that gently closes the movement. It is beyond the scope of this dissertation to address the finale of

79 Hepokoski and Darcy (2006, 212-215). “Rotational” is defined as “a referential model followed by (usually varied) recycling or re-statements.” Hepokoski and Darcy (2006, 612). While the connections to variation form are clear, “rotational” can also refer to the ordering and return of themes in non-variation forms such as sonata.

84 the Ninth Symphony in any detail. However, the question of whether transcendence has been lost forever or is merely delayed can only be answered in the following movement. The opening gesture of the finale shares important features with the fanfares, including gesture, articulation and orchestration, and thus could be heard as an emphatic rejection of Theme A’s yearning. Further, the choral lyrics, which claim that brotherhood is the only path to Elysium, certainly stand in opposition to the solitary, spiritual quest suggested in this analysis. It is possible that, for this symphony at least, solitary searching is rejected in favor of full participation in the external world.

In this interpretation, the fanfare could be interpreted as an epiphany, leading the quest down a new road. Both the sacred and the secular (Nature) are left behind, as the search turns towards brotherhood as a path to transcendence in the finale.

The external world carries great power in this narrative. The fanfares appear to disrupt the “energy” of the set, as, once they intrude, it is no longer possible to present a complete statement of Theme A. Only a few measures can appear at a time, and the theme eventually fades out after m. 143, which corresponds to m. 10. The almost stuttering presence of the most prominent theme during the coda may be a further commentary on the strength of the collective against the individual. While Beethoven apparently embraced the idea of brotherhood as a path to transcendence (or at least joy), as seen in the lyrics he chose for the finale, the slow movement of the Ninth

Symphony explores the possibility that brotherhood is not the only path. The expressive trajectory that spans this movement is pursued with an intensity and seriousness that implies an internal quest for serenity may not necessarily be in vain.

85 CHAPTER 4

OP. 109: THE AESTHETICS OF ENDING

Beethoven uses multiple structural and expressive closing strategies in the late variation movements. Marston discusses Beethoven’s approach to closing both individual movements and multi-movement works in his article, “’The sense of an ending’: Goal-directedness in Beethoven’s music.” He suggests that closure arises primarily from the resolution of “processes played out” during the course of the movement.80 Marston lists several possible processes, such as filling in melodic, harmonic, or registral gaps, and narratives of departure and return. He links the latter process to Op. 109, where it is used to account for the unusual thematic reprise at the end of the variation-form finale. This chapter will present an analysis of the finale of

Op. 109, focusing on the stylistic and expressive narratives of the variations, as well as musical elements that explain the intent and expressive effect of the unexpected thematic reprise. This movement will then be compared to the finale of Op. 111, another late-period piano sonata, in order to create a fuller picture of ending strategies in variation-form movements.

4.1 Counterpoint and Song

The theme of Op. 109 contains the potential for both contrapuntal and songful elaboration (Example 4.1). The two impulses of song and counterpoint are described by

80 Marston (2000, 85).

86 Joseph Kerman as central to Beethoven’s late style, and together the two basic styles create an expressive narrative in this movement that culminates in the final variation.81

Example 4.1: Theme of Op. 109

E: HC Phrygian HC

gs: PAC E: IAC The voice exchanges between soprano and bass voices, as well as wide spacing, makes the outer-voice counterpoint a salient feature of the theme. At the same time, the theme projects a tuneful and conjunct melody, with tempo and expressive indications also supporting the singing style. At this point in the movement, these characteristics work together: the stepwise melody creates the potential for voice exchanges between soprano and bass, for instance. In some variations, the two styles co-operate in much the same way, while in other variations the two styles are juxtaposed. The two styles are separated at the end of the set, where each is the focus of a single variation.82

The following chart maps the distribution of singing and contrapuntal styles throughout the set (Table 4.1). While the alternation between singing and contrapuntal

81 Kerman (1966). 82 The over-arching narrative of this movement concerns the relationship between two different styles, and thus may initially appear to be similar to the narratives of conflict formulated in Almén (2008). However, in this case, the two styles are compatible, often working together, as they do in the theme. The two styles are gradually distinguished, but never truly conflict, and thus cannot express one of Frye’s mythic archetypes.

87 styles between variations is not strict, it does have expressive ramifications for pairs of variations. For instance, the strictures of counterpoint in Variation V yield a final, fantasia-like and songful Variation VI, dramatically setting up the conclusion of the expressive narrative to be discussed below.

Table 4.1: Form chart, highlighting alternation of song and counterpoint Label Measures Character/Style Performance Indications Description Theme 1-16 Singing style, Gesangvoll, mit innigster Two principal motives contrapuntal Empfindung Simple texture (Singing, with heartfelt Simple continuous expression) binary Var. I 17-32 Singing style Molto espressivo Ornamented melody Var. II 33-64 Scherzo Leggiermente Imitative sections recall first movement; contrast between leggiermente and teneramente characters; repeats written out Var. III 65-96 Invention/ Allegro vivace Two voices in Contrapuntal invertible counterpoint, dynamic contrasts (f/p); repeats written out Var. IV 97-112 Singing style, Etwas langsamer als das Imitative, 9/8, wide contrapuntal Thema, Un poco meno range in dynamics (pp- andante ciò è un poco più ff), four voices adagio come il tema (Slightly slower than the theme) Var. V* 113-152 Fugue/ Allegro, ma non troppo Not a strict fugue, but contrapuntal includes imitative texture with four distinct voices. Second part is repeated an extra time. Var. VI 153-187 Chorale, Tempo I del tema, Cantabile Rhythmic acceleration, fantasia/singing trills, wide register, layered texture, complete melody of theme present (with exception of last measure), repeats written out Theme 188-203 Singing style Cantabile Near-literal restatement of theme *Schenker only labels four variations in his 1923 edition. Possible reasons for this discrepancy will be discussed below.

Aesthetically, song and counterpoint provide two methods for exploring the potentialities of the theme: in a sense, the contrapuntal impulse is bent on discovering the theme’s “essence” by simplifying the harmonic and melodic structure, while the song impulse seeks to discover the theme’s expressive potential through melodic elaboration. Thus, the songful variations (Var. I, IV, VI) treat the theme as an aria, using the slow tempo as an opportunity for florid ornamentation. These variations are more intimate, representing internal musings on the theme. The contrapuntal variations (Var.

II, III, V) exhibit a tendency towards simplification, rather than embellishment, and appear to “dissect” the theme. While the contrapuntal variation III reduces the theme’s melody to a simple arpeggiation, the songful melody of Variation IV fills in the skips of a third, adding additional conjunct motion to an already-singable theme (Example 4.2).

Example 4.2: Comparison of mm. 1-4 of Var. III and m. 1-4 of Var. IV Variation III Melody simplified

Variation IV Melody embellished

89 Example 4.2, Continued

Although the two impulses of song and counterpoint lend themselves to different variation techniques, they are often intertwined compositionally, particularly at the beginning of the set, as noted above in the discussion of the theme. As can be seen in the chart in Table 4.1 above, the second variation, with repeats written out, alternates between contrapuntal and songful style, and the fourth variation’s songful melody is set contrapuntally. The fifth variation, however, is exclusively contrapuntal, and the final variation is exclusively songful. This creates an overarching narrative of distinction, as the two impulses are gradually separated. Each style is given an opportunity to explore the theme thoroughly in the final two variations, which, unlike the others, are extended in length. The set ends with a songful, rhapsodic variation, followed by a full recapitulation of the theme. The specific expressive implications of this narrative will be discussed in detail below.

The variations are tied to the theme motivically as well as by the shared styles of counterpoint and song. While the phrase structure of the theme remains intact, no variation cleaves fully to either the exact harmonic progression or complete melody of the theme. Instead, the theme and variations are held together by the presence of three motives, shown in Example 4.3. Motive x is a chordal skip, first heard as a third before

90 expanding later in the theme. The characteristic rolled chords in the theme are one notable instance of this motive. Motive y is an accented dissonance, manifested both as a suspension and an appoggiatura. Finally, motive z is the voice exchange described above, which typically occurs between the outer voices in the theme and always appears with instances of motive x.

Example 4.3: Motives in the theme x x x x x y

z z z z z

y y y x x y

The use of motives and phrase structure to provide connections between theme and variations, rather than the complete melody or specific harmonic progression, is a clear example of Dahlhaus’ sub-thematicism. Rosen addresses this variation technique as well, writing (with reference to the late variations) of “a progressive isolation of different aspects of the theme, as if they were being illuminated one by one.”83 In the case of Op. 109, the isolation is not necessarily “progressive,” with each variation illuminating a single motive from the theme; however, individual variations do tend to focus on only one or two motives. The following chart shows motivic connections between the theme and variations.

83 Rosen (1998, 436).

91 Table 4.2: Distribution of motives across set Formal Section X Y Z Theme * * * Variation I * Variation II * * Variation III * * Variation IV * * Variation V * * * Variation VI * *

4.2 Temporal Plasticity in Op. 109

Published comments about the variation-form finale of Op. 109 coalesce around two points, both of which are included in the list of stylistic characteristics presented in

Chapter One: temporal plasticity and expressive narratives. Of particular interest and relevance to this study is the discussion by Wilfrid Mellers. In his monograph, Beethoven and the Voice of God, Mellers traces Beethoven’s temporal manipulations throughout the

Op. 109 variation set, specifically addressing four of the six variations. Mellers’ comments on temporality are quoted in the following chart (Table 4.3).

Table 4.3: Comments about temporality from Mellers (1982) Quotes Reference Explanation “self-contained theme that remains Theme In Meller’s view, the theme persists radically unchanged, however throughout the variations, making it various its variations” (213) eternal and unchanged. “the movement being that of a waltz Var. I The accent on the second beat so slowed down as to suggest throughout the theme changes to a immobility” (213) downbeat accent, shifting stylistic associations from sarabande to waltz. “the mirror-like structure denies Var. III Undisguised repetition creates a temporality, despite the animation” sense of standing still, rather than (215) moving forward through new material.

92 Table 4.3, Continued Quotes Reference Explanation “The ‘warp and woof’ effect of the Var. IV Imitation and harmonic rhythm counterpoint again destroys time, in renders the meter ambiguous a manner very different from the throughout the variation. two-part invention; the seams do not show and, taking the variation down from dictation, one would be hard pressed to know where to put the bar lines!” (216-217) “Starting as pedals of repeated notes Var. VI Rapid motion can be apprehended slowly increasing in speed, the trills as stasis; trills do not project meter have been unbroken throughout the and can draw attention away from variation; as so often in late goal-directed harmonic motion. Beethoven, they have become ‘the still point of the turning world’: motion so rapid that it ceases to be apprehensible as such.” (220) “elided tonics and dominants softy Var. VI Elided resolutions obscure thunder in the bass, once more (mm. 184- harmonic rhythm and can create effacing time” (220) 187) metrical conflict.

As Meller notes, Beethoven uses contrapuntal processes, alterations to harmonic rhythm, and trills to play with the perception of meter throughout the movement. For instance, in the fourth variation, the meter is obscured by the imitation of a metrically ambiguous motive. Example 4.4 shows two possible metric readings of the motive:

Example 4.4a shows the motive as notated, while Example 4.4b places the suspension on the downbeat of each measure.

Example 4.4a : Melodic motive in Variation IV, as notated in the score

93 Example 4.4b: Alternative metric reading of the melodic motive in Variation IV

Suspension now on beat 1

Slurs reinforce duple meter

This example shows that the melody has the potential for projecting either duple or triple meter, and the imitative setting of this melody does not clarify its metric profile. Example 4.5 shows one possible metric reading of the opening of this variation.

In this interpretation, the notated triple meter is not made clear until m. 99, where the soprano voice makes a slight adjustment to the melody that causes the accented passing tone to fall on beat one for two measures in a row (Example 4.5).

Example 4.5: Rhythmic adjustment that reinforces the meter in bar 99 (mm. 97-100) Change from dotted quarter

Now suspension occurs on beat 1

94 Example 4.5, Continued

A further metric twist occurs at the beginning of the second section (Example

4.6). Here, a new alternation between textures creates a strong accent on the second beat of each measure. The textural changes occurring on each beat can imply, at least initially, a duple meter despite the harmonic rhythm that outlines groupings of three beats. Although it soon becomes clear that this section, with its marked emphasis on beat two, makes use of the sarabande-style of the theme, the metrical ambiguity here supports Mellers’ larger claim about temporality in this movement.

Example 4.6: Mm. 105-107, annotated to show potential for duple reading

1 2 1? 2/1 2 1?

1 2 3

Temporal plasticity contributes to the expressiveness of this movement on a larger scale, as well, as a temporal expansion in the theme has ramifications for the set as a whole. As mentioned in Chapter 1, Daniel Chua has suggested that Beethoven

95 developed a new approach to temporality, where the “dynamic” temporality of the

Classical period, presumably arising from the prominence of sonata form, gives way to a “kaleidoscopic differentiated” sense of time.84 Sonatas are oriented towards the tonal resolution in the recapitulation, creating a sense of forward-directed motion. While

Chua links this change in temporality to Op. 132, signs of this change can be seen as early as Op. 109. In the finale, temporal expansions seem to stop time, diminishing the projection of forward-driving motion.

The Schenkerian sketch in Example 4.7 depicts the theme, which contains one of the two temporal expansions in the set. The structural dominant is reached in bar 8 and lasts for eight of the sixteen measures. The structural 2 is embellished by a rising third from Fs to A (best shown in Example 4.7a), which changes the V triad to a V7. This rising third progression (mm. 8-13) ends with an apparaent cadence on Gs minor (iii in the home key of E). A falling third progression in mm. 13-15 follows the rising third, and returns the Urlinie to 2. The final resolution of the Urlinie from 2 to 1 occurs in an inner voice, the tenor, in the last measure. This masked resolution is related to the cover tone of B (5) that persists through much of the theme. Ascending from an inner voice for the first time in m. 5, it rises to prominence in the second part of the theme. In m. 9, it leads off the descending tenths progression, falling to 3. The cover tone resumes just before the cadence, falling back to 3 over the final resolution in the tenor.

84 Chua (1995, 130-131).

96 Example 4.7: Schenkerian sketch of theme, with expansion highlighted

3 2 1 a. ( Temporal expansion )

I V------7 I

3 2 1

m. 13 m. 8

I V------7 I

3 c.

E: I --- 6 ii6 V7 I – 6 V6 ?V I6 ii6 V------7 I IV6 Ger+6 I

97 Example 4.7 Continued

2 1

10 10 10

V V6------V#\!?iii ii V$ I V I V V6 (iii) ii V I

The dominant in m. 8 extends across formal boundaries, tying together the two parts of the simple binary form and granting a sense of structural cohesion to the theme. A dominant expansion at the opening of the second section is not unusual in binary form.

But, this sort of expansion would be expected to lead to the tonic for the final phrase In this theme, the move to the tonic is expected at the beginning of the last phrase in m. 13; thus, the tonicization of iii and the return to the dominant in mm. 13 and 14, where it is finally resolved, harmonically creates an instance of temporal plasticity. The temporal expansion caused by the extended prolongation of V creates a sort of freedom within the form that counters the symmetrical phrase structure. Further, the theme can also be said to adumbrate the freedom of the final, rhapsodic variation. It is important to note that the freedom occurs “within” the form. The form itself has not been expanded: each part of the binary form is comprised of two, four-bar phrases, and none of the phrases contain any sort of expansion or extension. Thus, in this case, temporal plasticity is not concomitant with formal plasticity.

The final variation can also be interpreted as a temporal expansion, although on a higher formal level than the one in the theme. A dominant pedal persists through all but two measures of the variation (the only exceptions are m. 159 and the first two beats

98 of m. 160). This variation contains two different rhythmic accelerations: the first involves the dominant pedal, which begins as quarters, changes to eighth notes, then eighth-note triplets, then sixteenth-note trill figures, then thirty-second-note trill figures, before becoming unmeasured trills in m. 165 (Example 4.8).

Example 4.8: Rhythmic acceleration of dominant pedal throughout Variation VI

m. 153 m. 155 m. 157 m. 158

m. 161 m. 165

The second rhythmic acceleration occurs in the melody. The melody is first heard as a mix of quarter and half notes, before taking up eighth-note pulses in m. 161. In m.

165, the embellished melody changes to triplet pulses. Finally, the melody is embellished with thirty-second note figuration, in the right hand, in m. 169. This figuration later switches to the left hand to accompany the melody, which has resumed its quarter-note pulses, in m. 177 (Example 4.9).

These rhythmic accelerations build up energy throughout the final variation; together with the pedal, they heighten anticipation for the return of the tonic and the final statement of the theme. Rosen, in his book on Beethoven’s piano sonatas, also addresses the intensifying effects of the wide spacing, writing that “the different levels

99 of sonority generate tremendous tension”—especially when compared to the close voicing of the theme.85 At the same time, the dominant pedal creates stasis, unifying this section as a single dominant expansion, while the trills reinforce the interpretation of a temporal expansion.

Example 4.9: Melody of Variation VI, mm. 153-177

Rosen, discussing Beethoven’s late style as a whole, writes that such trills create

“…a suspension of rhythm, a way of turning a long sustained note into an indistinct vibration which creates an intense and inward stillness.”86 This “stillness” lends to the final variation as a whole a sense of intensified expectation, as though waiting with bated breath for a momentous event.

85 Rosen (2002, 234). 86 Rosen (1998, 108).

100 4.3 Expressive Narrativity in Op. 109

As discussed above, the two impulses of song and counterpoint are gradually separated throughout this movement. The final, songful variation serves as the culmination of the musical narrative. This variation stands apart from the rest of the movement due to its changing texture and unusually (for this movement) wide register.

Rather than using a single texture, or a strict alternation of two textures (as in variations

II and IV), Variation VI contains a progression of textures that change throughout the variation; this progression complements the rhythmic acceleration shown in Examples

4.8 and 4.9. Tovey describes this rhythmic process as “a radio-active break-up” that changes the variation so drastically that the end of the variation sounds nothing like the beginning.87 This effect is magnified by the simplicity of the opening phrase where a clear recall of the theme is heard. The final variation also makes use of the piano’s full register, which makes the final variation sound monumental, according to Mellers. He writes, “The effect is more terrible and awe-inspiring than beautiful.”88 Finally, as discussed above, a dominant pedal persists throughout most of the variation, attenuating the sense of surface-level harmonic motion while intensifying the expectation of the eventual tonic resolution.

It was mentioned above that Schenker only labels four variations in his 1923 edition of Beethoven’s piano sonatas. His variation numbering breaks off before the final contrapuntal variation, setting this variation and all that follows apart from the rest of the set. This interpretation reinforces the uniqueness of the final two variations,

87 Tovey (1965, 269). 88 Mellers (1982, 219-220).

101 while also creating a potential link between this movement and the Diabelli variations, which end with a fugue. Perhaps Schenker was viewing the extended contrapuntal elaboration as a marker of ending a set, thus assigning it the function of a coda. Further, labels can have ramifications in performance: a performer might choose to bring out thematic references more strongly in sections labeled “variation,” for instance. By not labeling the final two variations explicitly as variations, Schenker emphasizes the free treatment of the theme in Variation V and the rhapsodic expressivity of Variation VI.

Scholars have described the expressive effect of this final variation in different ways. Both Mellers and Hatten call this variation “transcendent” because of the high register and rhythmic acceleration.89 Hatten supports this interpretation as follows:

“in the third movement of Op. 109, the gemütlichkeit of the fugal fifth variation is a perfect foil for the elevated return of the theme in the final section, where the technique of character variation gives way to progressive diminutions, and where transcendence is achieved by an increasing atomization (diminution) of the rhythmic texture.”90

Despite bearing multiple markers of transcendence, the final variation also includes several musical features that argue against that interpretation. The dominant pedal implies that this variation is prefatory, rather than a locus of some kind of achievement or new realm characteristic of transcendence. Finally, the preceding variations do not appear to include a requisite sense of conflict of any sort. Although two separate impulses are at play throughout the variations, they are presented as compatible rather than conflicting. As discussed above, the two styles reside side-by-side in several

89 Ibid. (220), Hatten (1994, 88). 90 Ibid. (88).

102 variations and in the theme itself. Without a specific conflict, it is difficult to speak of something being transcended.

Although Schenker does not speak specifically of transcendence, his analysis of the movement seems to argue against that reading. He writes,

“The theme leaves us with irresolute form and with a refined soul ("friedlich geläuterter Seele"), and floats back into dreamland, from which it had departed for a while, in order to allow us to take part in its transformation and the ordeal of realizing its destiny…”91

In Schenker’s view, the theme undergoes “transformation” throughout the variations, before realizing its “destiny,” a return to its opening state. The return to the beginning after a transformational journey is somewhat unusual, which contributes to the unexpectedness of the theme’s re-statement. Additionally, one may argue that the theme’s “destiny,” to which it returns, is more than just a reprise. After the final variation, the theme returns, enriched now by the new knowledge of its expressive potential. In this way, the theme is “transformed” into something new, without one note being altered. Although it may seem that the set has returned to its beginning, becoming a truly rotational form, the coda is experientially new, heard through a sort of aural “screen” created by the variations.

Edward Cone’s notion of “apotheosis” provides a potential solution to the aesthetic challenge presented by the final variation and the restatement of the theme.

Cone defines apotheosis as “a special kind of recapitulation that reveals unexpected harmonic richness and textural excitement in a theme previously presented with a

91 Schenker (1971, 54), translated by Erica Wessling. “An Körper gleichsam schattenhafter und mit friedlich geläuterter Seele nimmt das Thema Abschied von uns und entschwebt in jenes Traumland zurück, aus dem es für eine Weile herniederstieg, um uns an seinen Wandlungen und Schicksalsprüfungen teilnehmen zu lassen…”

103 deliberately restricted harmonization and a relatively drab accompaniment.”92 Thus, apotheosis fits many of the musical features of the final variation, without necessitating a particular narrative in the preceding variations. The texture of Variation VI is more complex compared to the other variations: not only are the note values shorter, allowing for more rhythmic motion, but the texture also includes more distinct layers. The extra- musical references to glorification that “apotheosis” carries could also fit the musical narrative of stylistic separation. Perhaps, in the final variation, the singing style is marked as the more appropriate of the two approaches to the theme, as the virtuosic arpeggiations that embellish the melody of the theme add rhythmic energy without minimizing the theme’s songfulness. Additionally, the contrapuntal characteristics

(voice exchanges and a linear-intervallic pattern) are replaced by the dominant pedal.

And although the dominant pedal might appear to simplify the harmonic language of the theme, in fact the intensity of the extended dominant could actually add harmonic

“richness” to this variation. Thus, the ending of this movement creates an expressive ambiguity not fully captured by either “transcendence” or “apotheosis.” However one may interpret it, the seemingly simple compositional choice to close the movement with a repeat of the theme is a critical element in the expressive trajectory of the movement.

4.4 Conclusions

The expressive ambiguity between transcendence and apotheosis in the final variation of Op. 109 contrasts with the clearly transcendent coda in the variation-form finale of another late piano sonata, Op. 111. Although both variation movements close

92 Cone (1968, 84).

104 with rhythmic accelerations ending in unmeasured trills, Op. 111 ends with a telescoping of the theme, interspersed with interludes, and an epilogue based on but not identical to the theme. The chart in Example 14 shows the end of the set, beginning with variation IV.

Table 4.4: Form chart of the end of Op. 111, II Formal Function Measures Key Musical and Expressive Content Variation IV 65-96 C Contains complete statement of theme, with repeats; last time signature change occurs at the beginning of this variation. Interlude 97-130 Eb Liquidation of theme; cadenza-like, improvisatory Variation V 131-146 C Contains complete statement of theme, without repeats. All in C major. Coda 147-161 A, C Unclear at beginning whether this is another interlude or start of the coda Variation VI  162-177 C Begins as “Variation VI” but only first phrase is Epilogue heard; theme liquidated to end

By the fourth variation, momentum has built past the point of sustainability, and the thematic statements begin to dissolve into fragmentation. The theme becomes progressively shortened as first the repetitions and then the second phrase are sheared away. After the fourth variation, thematic material is liquidated, spinning off into an improvisatory cadenza in the distant key of Eb major. The theme gradually gathers itself beginning in measure 120, as the upbeat figure is heard repeatedly before the fifth variation begins in m. 132. The coda begins with a similar move to a chromatic mediant, in this case A major, before returning to the home key, and again the upbeat figure plays a prominent role. In the epilogue, the theme is heard first under, then over, a sustained trill on the dominant. The three distinct textural layers (trill, melody, and figuration) are reminiscent of the final variation in Op. 109. However, in this case, three

105 bars of figuration lead to a confirmatory statement of the upbeat figure, at forte dynamic, in five different registers.

These two piano sonatas, which include the first variation movements of the late period, illustrate two different but related closing strategies. Maynard Solomon writes of these sonatas,

“With opus 109 and opus 111, he imbued the form for the first time with a ‘transfigured,’ almost ecstatic content and a profundity of expression, which indicated that he had found in this basic musical form a new vehicle for his most imaginative musical thoughts.”93

Although both sonatas evince a “profundity of expression” and share musical features such as a brilliant closing section with multi-layered textures, the restatement of the theme in Op. 109 creates a very different aesthetic effect. This restatement serves as a reminder both of the set’s origins and its trajectory through the variations. As Schenker suggests, the “transformation” in this set is emotion rather than strictly musical.

Although the theme is heard twice, the second hearing is profoundly different experientially.

Despite these contextual differences, the endings of these two movements also evince important similarities. Both make use of dominant pedals, extended trills, quick- moving figuration, and comparatively high register. The use of the high register in particular is often linked with transcendence, and the trills and stratified texture could also represent an ecstatic celebration of overcoming. Rosen writes that Beethoven

“clearly intended these works [the late piano sonatas] as exemplars of great spiritual experience. It is less evident that Beethoven’s idea of transcendence is the same as

93 Solomon (1977, 395).

106 ours.”94 Perhaps this is the key to the relationship between these two movements. While

Op. 111 expresses transcendence in a relatively straightforward way, the aesthetic trajectory of Op. 109 is complicated by the theme’s return. The restatement provides an opportunity to hear the theme from a new perspective, afforded by the transformational, transcendent apotheosis in the final variation. Together, these two movements illustrate the expressive complexity of the late style. Ultimately, a single label may be inadequate to capture the nuances of these movements.

94 Rosen (2002, 229).

107

CHAPTER 5

COMPARISONS AND CONCLUSIONS

The three pieces selected for in-depth analysis in this study illustrate a variety of formal and expressive strategies. The heterogeneity among these movements is remarkable, with no single approach to variation form dominating. Beethoven makes use of multiple theme types, closing strategies, and expressive narratives, exploring the musical and expressive potential of the form. A comparison of these aspects in each of the movements that were subjects of analytical chapters will clarify their relations and verify this diversity.

The multiplicity of theme types is evidenced by unique structural and expressive strategies that lead to a variety of continuations in the variations that follow. The theme of the Op. 127 variation set is characterized by imitation between violin I and cello, as well as a melody that is primarily stepwise but also contains chordal leaps, some as large as an octave. An evaded cadence at the end of the theme creates a phrase expansion that plays an important role later in ending the set. The variation set from the

Ninth Symphony has two themes that contrast structurally, temporally, and expressively. Unlike the intense yearning of Theme A, Theme B creates a mood of naïve simplicity through the drone bass, wind-heavy orchestration, and singable melody.

Small, chordal leaps and a relatively narrow range make the finale of Op. 109 sound aria-like, a latent characteristic that is developed in the first variation. The theme is based on three primary motives, with outer-voice counterpoint playing an important structural role. While the two themes of Op. 125 were separated by a temporal

108 disjunction, the theme of Op. 109 contains a temporal expansion that foreshadows the final variation. The finale of Op. 111 was touched upon briefly in the analysis of Op. 109 in order to highlight aspects of the latter’s movement expressive trajectory. Labeled

“Arietta,” the theme’s triple meter and subdued affect are reminiscent of Op. 109.

However, the range of Op. 111’s melody is much narrower, limited to a fifth, which creates a meditative, even obsessive character.

Differences among themes create the potential for a variety of formal and expressive plans. Closing strategies are particularly important in these late variation movements, as they have the power to redirect or confirm aesthetic trajectories set up by the preceding variations. The variations of Op. 127 include a transcendent return to thematic material, following an episode in the key of the minor subdominant.

Transcendence is confirmed in the final variation by exuberant figuration in the high register. An extended phrase expansion takes the place of a coda in this movement, summarizing important moments in the subdominant-oriented narrative that spans the variations. Opp. 125 and 111 both include new, episodic material at the end of the set. In

Op. 125, dramatic fanfares and tonally-ambiguous modal passages interrupt and redirect Theme A’s search for serenity through harmonic closure. In Op. 111, the new material is more clearly related to the theme, and the primary motive from the theme persists through the final measure. Op. 109 ends with a restatement of the theme, the only late variation movement to make use of this particular closing strategy. The restatement is preceded by a virtuosic variation over a dominant pedal that serves as a large-scale temporal expansion. The use of the high register and fast-moving figuration

109 seems to argue for transcendence, but the dominant pedal, which marks this variation as a harmonic preface to the coda, and the unexpected restatement of the theme create an expressive ambiguity.

Despite differences, the three movements analyzed in detail (Opp. 109, 125, and

127) share some important features. For instance, all of the movements are in slow tempos. The themes of Opp. 125 and 127 also make use of expressive introductory lead- ins that can be interpreted as extended upbeats. And, although the themes are different structurally, they all have the potential to be heard as songs. Even the theme of Op. 127, which has longer lines and larger leaps, is cantabile. This characteristic is most overt in the two piano-sonata movements: the theme of Op. 111 is labeled “Arietta,” as is the first variation on Op. 109. As mentioned in the introductory chapter, Kerman has noted the twin drives of song and counterpoint in the late style, and slow-tempo variation movements maximize the opportunity for florid elaboration of lyric themes.

Structurally, all of the movements discussed in the analysis chapters, with the exception of Op. 109, have at least one formal section in a key other than the home key.

In some cases, these tonal excursions are brief (such as the episodes at the end of Op.

111), but in other movements, such as the episode in Op. 125, they are more extended.

Modulations create large-scale tonal motion across a set; this could be viewed as evidence of the influence of sonata form on these variation movements.

Sonata/variation hybrids were discussed in the analysis of Op. 125, whose variation movement shared several features with sonata form, including two contrasting themes and a developmental middle section. It is possible, however, that sonata form has a

110 more subtle influence on the other sets as well. Future studies may reveal the exact nature of the relationship between variation and sonata form in Beethoven’s late style.

Finally, these movements share stylistic markers, as described in the introductory chapter. Distinct expressive narratives can be found in each movement, portrayed through a variety of musical mechanisms. For instance, at least two movements (Opp. 127 and 111) express transcendence, they use different musical means to achieve it. The dramatic tonal return in Op. 127 and the persistence of the opening motive of the theme in Op. 111 are two very different expressive strategies with generally similar effects. Temporal plasticity plays a critical role in this repertoire, although manifested in different ways across movements. In Op. 125, temporal disjunctions separate the two themes, placing them in separate musical “worlds” and reinforcing the expressive narrative of frustrated yearning. Further, metric ambiguity and hypermetric irregularities often veil the projected meter in both piano sonata movements, creating a different sense of temporal plasticity. Finally, a temporal expansion in the theme of the Op. 109 finale foreshadows the final variation, itself a large-scale temporal expansion.

Each movement also contains some element of formal plasticity, such as additions to the paratactic variation form, form-functional ambiguity, and expansions or extensions to the phrase structure. In many cases, formal plasticity is tied to temporal plasticity. For instance, the temporal disjunctions in Op. 125 fall at formal boundaries, reinforcing formal segmentation, and the large-scale temporal expansion in Op. 109 lasts for an entire variation. While formal plasticity can exist separately from temporal

111 plasticity, as evidenced by the episode of Op. 125, the specific relationship between the two deserves further exploration.

Finally, sub-thematicism plays a clear role in Opp. 109 and 127; it could be argued that the compression of the theme noted in the coda of Op. 125 is also an example of this technique. Sub-thematicism is perhaps the foremost contributor to the opacity of these movements, as connections between theme and variations are not always straightforward. In many cases, such as the slow movement of Op. 127, variation form is hinted at primarily through the proportions of the formal sections and brief allusions to the theme, which contrasts with Beethoven’s earlier approach to variation. In his piano variations, the theme is usually close to the surface and discernible through the (typically consistent) figuration. By limiting the presence of the theme in these later variations, the status of a specific formal section as a variation, rather than an episode based on thematic material, is called into question.

5.1 Comparative Analyses of All Late Variation Movements

The four stylistic markers discussed in this study—temporal plasticity, formal plasticity, expressive narratives, and sub-thematicism—tie together these otherwise disparate movements and provide a basis for a new approach to the variation movements of Beethoven’s later years. Considered more broadly, these four markers can be considered as the basis for a “late Beethoven aesthetic.” Although none of these markers are exclusive to the music of Beethoven’s late period, they seem to be the subject of an intense, innovative focus and development at the end of the composer’s life. Analysis focused on these four stylistic markers in other late variation movements

112 reveals additional insights that further clarify this new approach. For instance, the expressive narrative of Op. 131 ends quite differently from that of the other sets. Like

Op. 109, the early variations evince a loose alternation of song and dance topics in the early variations, with march and waltz topics alternating with more songful variations.

Variations are connected through brief, melodic links, which create a continuous flow of music; however, these links do not provide a true transition between the variations.

Changes in meter, style and tempo between the variations create temporal disjunctions between strongly contrasting formal sections, and the brief links are unable to completely “smooth over” these formal boundaries. Their inability to smooth over the boundaries in fact highlights the temporal disjunction, and this inconsistency between

(apparent) intent and actual results anticipates the comic effect of the coda. Example 5.1 shows the end of the third variation and the beginning of the fourth, a particularly striking disjunction. The third variation, in ), ends with a stepwise ascent in the lower three voices, embellished by trills. This ascent is accompanied by a crescendo leading to a sforzando on the first beat of the fourth variation. The syncopations and trills obscure the meter while effecting a transition to ;, a meter not confirmed until the second bar of

Variation IV. This briefly creates a disorienting effect, highlighting the temporal disjunction, as the ear settles into the new section.

113 Example 5.1 Op. 131, IV, mm. 458-460 Variation III Transition? Variation IV m. 458

At the end of the Op. 131 variations, temporal plasticity is even more prominent, as the coda contains a series of “false starts” that allude to a final variation, each marked by temporal disjunctions. The sixth variation of this movement, which precedes the coda, begins with a chordal texture that resembles the beginning of the final variation in the Op. 109 set. This variation ends with an evaded cadence and an extended transitional passage that includes cadenza-like passages imitated in all four voices, along with steady trills in violin I. The transition seems to lead into a seventh variation, but in the wrong key (C major, bIII). Reinforcing the “wrongness” of this apparent variation, the theme becomes stuck in its fourth measure. A second attempt at a seventh variation appears next, now in the correct key, but this attempt also breaks down, this time after the seventh measure. A combination of trills and arpeggios effects a modulation to F major (bVI), and a final attempt at seventh variation follows, once again in the wrong key and stalling at the fourth measure. These three false starts create another dichotomy between perceived intent and actual results, thus mirroring the

114 transitions between variations. The comic effect is heightened by unexpected pauses in measures 601 and 603, and a quiet, pizzicato ending on an off-beat.

The pauses at the end of this movement are reminiscent of Haydn’s string quartets, perhaps a late homage to an early teacher. But the real “joke” is what happens after this movement—an ebullient presto that begins with a “false start” in the cello.

This creates the impression that the comically off-balance ending of the variation movement resulted in confusion among the players, a confusion that persists into and even through the next movement. Just as in Op. 125, the expressive narrative of Op. 131 reaches into the following movement for completion or confirmation. In the string quartet, the narrative is reinforced by the presence of another comic movement, whereas in the symphony, the narrative is still in motion, in a sense, as the searching of

Theme A has not yet come to a true close before the finale interjects.

Temporal plasticity contributes to the expressive narrative of the third movement of Op. 132, the “Heiliger Dankgesang,” in a particularly striking way. In a recent talk at the Florida State University Music Theory Forum, James Hepokoski drew attention to a pause in m. 182, following a modified PAC, ending on the open fifth D/A.95 This moment is marked temporally, as measure 182 has the least rhythmic activity of any measure in this section, containing only a half note, eighth rest, eighth note, and quarter. This brings the final formal section of the movement to a rhythmic halt, a pseudo-ending doubly undercut harmonically: first, by the off-tonic cadence, and secondly, by the final chord’s lack of a third. At the moment of resolution to the open

95 Hepokoski (January 19, 2013).

115 fifth, time stops, and the way forward is cast into doubt. Hepokoski’s analysis sets up a pattern of formulaic prayer (the cantus firmus) preceded and followed by meditation

(the contrapuntal fragments) in the A theme of the movement.

Drawing on these observations, measure 182 may be understood as a temporal disjunction, which creates a break in the action, providing temporal space for the contemplation of the preceding musical material and a prediction of what might follow.

The final section of the piece heightens the intensity of the “prayer” motive through truncated repetitions in stretto. Thus, the pause in m. 182 provides an opportunity for heightened reflection to balance the intensified prayer. Multiple expressive interpretations are possible, but though interpretations may vary, the urge to interpret this moment at all arises from the manipulation of temporal parameters. The temporal disjunction also creates an instance of formal plasticity, as it suggests the initiation of a new section within the coda. Further, the extended ending section of this movement functions as a coda based on Theme A while also suggesting a return to the first theme after the final variation on Theme B, thus continuing the pattern of alternation.

Finally, the relationship of the late variations to their respective themes can often be characterized in terms of Dahlhaus’ sub-thematicism. Rather than projecting the entire melody and harmonic progression of the theme in each variation, the variations tend to treat the theme as a palette of motivic options. “Motives” here is used broadly, as use the term to refer to melodic and harmonic allusions as well as orchestrational or contrapuntal patterns, such as the imitation between violin I and cello in Op. 127. Such allusions are a synecdoche for the complete theme, standing in for the entire melodic-

116 harmonic framework. In Op. 135, sub-thematicism describes the relationship of the theme to the variations, as the harmonic progression of the theme is held constant in each of the three variations. The melody, as a complete unit, is only discernible in the third variation. Melodic motives, such as the double-neighbor figure in the cello in the first two bars of the theme, do recur in prominent positions. However, the second variation, in the opposite mode, is particularly distant from the melody of the theme.

Stepwise progressions and neighbor figures link the variation to the theme, but their presence is so fleeting that the connection is not always obvious.

5.2 Conclusions and Further Applications

This dissertation has raised several broad issues related to music from

Beethoven’s late period. Variation form played an important role in his late works.

Several reasons for this may be hypothesized: Kerman has noted Beethoven’s increased interest in lyricism in this corpus, and variation-form slow movements in particular provide the opportunity to re-work a theme over and over, presenting it in multiple guises in order to realize its full expressive potential, while also serving as a musical means of introspective self-examination or reflection. Second, variation is a relatively flexible form, with no set tonal plan or number of formal sections. This provides the composer with a formal structure that can be deployed very differently from movement to movement. Formal flexibility appears to have been important to Beethoven, as he made use of several different formal and tonal arrangements among his late variation movements. These diverse structural arrangements in turn create the potential for different expressive narratives. Finally, variation form provides the opportunity for

117 experimentation with the ways in which a theme is varied, leading towards transformation. As the analyses in this dissertation have shown, Beethoven rarely used the entire melodic-harmonic complex of the theme in an individual variation, preferring instead to focus on melodic motives, harmonic progressions, and orchestrational patterns. While variation is not the only form to employ thematic development, variation form provides more singularly-focused opportunity for exploration and innovation in the composer’s approach to the theme.

As noted in the first chapter, Beethoven’s late variation movements stand apart from the composer’s earlier variation sets, particularly the independent piano variations. The exact nature of this difference is challenging to articulate, but several musical and expressive characteristics, discussed in the analysis chapters, play a role.

First, Beethoven preferred to write original themes for his variation movements, rather than using existing songs from the popular and operatic repertoires, as he did in the independent sets of piano variations. These newly-composed themes tend to have a more complex phrase structure, such as the asymmetrical period with two different consequents heard in the A theme of Op. 125. Additionally, the variation movements tend to evince more subtle connections to the theme. While some piano variations, such as the variations on “Rule, Britannia,” also carry only tenuous links to the theme, the late variation movements stretch the relationship between theme and variation even further. In the Op. 127 variation set, for instance, sub-thematic references to the theme serve to obscure the variation structure. In cases such as this, it may be the presence of multiple, proportionally-similar sections that provide the clearest evidence of the form,

118 rather than the overt statement of the theme in each section. A final difference is the importation of sonata- and rondo-like characteristics into variation form. Although each of these movements can be productively analyzed as variation sets, two (Opp. 127 and

125) include developmental episodes and tonal trajectories of departure and return that have clear analogues in sonata form. Further, the two double variations (Opp. 125 and

132) have a rondo-like arrangement of sections (A B A’ B’ A’’). Although neither fits the rondo model exactly, these works are certainly in dialogue with that genre. In the late variations, Beethoven stretches the boundaries of what exactly constitutes “variation form,” infusing the form with characteristics from other popular Classical forms and obscuring the connection between theme and variations.

A final question raised by my analyses concerns the applicability of the four stylistic markers to other movements from the late period that are not in variation form.

The “Cavatina” of the String Quartet, Op. 130, provides a case study for examining this issue, as it shares musical features with the variation movements such as a slow tempo and a cantabile melodic theme though it is not in variation form. The following brief analysis will give some indication of the potential for the broader applicability of the stylistic markers. The movement is in a loose ternary form, a relatively common song form, with bars 40-48 functioning as the contrasting B section, set off by a temporal disjunction. A formal chart of the movement is shown below, in Table 5.1.

119 Table 5.1: Form of Op. 130, V. “Cavatina” Formal Section Measures Key Musical Content A 1-9 Eb One phrase, ending with a PAC A’ 10-40 Eb References first phrase, but inserts new material throughout, creating very expanded version of A; ends with a PAC B 41-48 Cb, Halting, fragmented melody; triplet pulse; (“Beklemmt”) ab ends on HC in ab that is immediately reinterpreted as I in home key A 49-57 Eb Melody identical to mm. 1-9, slight alterations to accompaniment; ends with PAC Coda 58-65 Eb Tonic expansion, quotes melody and accompaniment motives from A and A’

The movement is thematically unified, as in the variation movements, with each of the A sections drawing from the same musical material. However, the second A section (mm. 49-57) is nearly identical to the first, too closely related to be considered a variation. And, in the A’ section, literal restatements of the melody and accompaniment figures are heard, but interspersed with new musical material and echoes that expand the phrase from nine bars to 31. Formal plasticity is present at the level of phrase structure, as echoes are heard throughout the A sections, repeating cadential gestures.

A more extended instance of formal plasticity occurs in mm. 31-35, where violin I echoes violin II in order to set up another attempt at the PAC that was expected in m.

30.

This cadential expansion sets up a clear temporal disjunction in m. 40, where the simple triple meter gives way to a constant triplet pulse of eighth notes. A halting melody in violin I, labeled “Beklemmt,” attempts to rise above the ensemble, but

120 continually falls back to its opening register (Example 5.2). 96 The temporal disjunction sets apart the B section as existing on a separate temporal plane from the A theme that surrounds it. Striking stylistic contrasts between A and B material make the B section sound almost parenthetical, as though it “stands both within and without the structure of the piece.”97 One could argue, for instance, that the B section is structurally unnecessary to the movement; the PAC in m. 39 could plausibly lead into the final statement of A material, in m. 50, or even the coda in m. 58. However, the B section is a pivotal event in the movement’s aesthetic trajectory, discussed below, and could not be removed without changing the work’s expressive design. This section comes to a half cadence in the minor subdominant; the Eb major harmony is reinterpreted as tonic and the B section melts back into A material.

Example 5.2: Op. 130, V. “Cavatina,” temporal disjunction in mm. 38-42 m. 38 Temporal disjunction

Daniel Chua characterizes the B section as the appearance of “eyes” looking out of the music, towards the listener.98 In his interpretation, some other “body” is projected

96 “Beklemmt,” which appears in the score at m. 42, can be translated as “oppressed” or “anguished.” 97 Samarotto (1999, 118). 98 Chua (2009, 613-614).

121 in the music: we hear it breathing (particularly between the stuttering notes in the first violin), we sympathize with its physical gestures (such as the “fall” from an octave in m. 44), and we are conscious of a relationship between us and this “other body.” This relationship arises from our awareness of its pain, heard in the agitated breaths and inability to form a single, coherent melodic line.

The repetition of the theme in any ternary form provides the opportunity for the sort of variation and development found in variation sets, but here Beethoven uses a different strategy. The A section is immediately repeated and developed in mm. 10-40, with new material interpolated between clear statements of fragments of A material.

This variation strategy only appears in episodes and codas in the late variation movements, never appearing in a true variation; it also can be considered an instance of sub-thematicism, as brief melodic motives provide links between sections. For instance, the sequence in mm. 17-19 is based on the melodic motive heard in mm. 4 and 6. When isolated and presented as part of a sequence, this motive undergoes a change in context that obscures its origin, at least until the end of the sequence. The following passage, in mm. 19-21, returns the motive to its original phrase-structural context, in a sense revealing its “true” identity (Example 5.3).

Example 5.3a: Op. 130, V. “Cavatina,” melody mm. 1-8

122 Descending-fifths Example 5.3b: Op. 130, V. “Cavatina,” melody mm. 10-21 sequence

m. 10 Corresponds to: m. 1 2 3 m. 18

Corresponds to: 4 5 6

The clear restatement of A material (mm. 49-57) in the section following the B

theme serves a function similar to the thematic recapitulation in Op. 109. In the piano

sonata, the recapitulation served as a reminder of the set’s beginning, but was also

overlaid with the memory of the preceding variations. The return to A material in Op.

130 comes after a particularly intimate and emotional digression which strays far afield

tonally, and, while nearly identical to the opening bars, mm. 49-57 seem to carry

emotional “residue” from the “Beklemmt” passage. The theme’s restatement comes as a

relief, but after such overwrought emotionality, a return to the state of the beginning of

the movement is impossible. As in Op. 109, this section is more a recollection than a true

recapitulation, a reminiscence of the beginning rather than an expository statement.

Unlike Op. 109, however, the “Cavatina” does not end with this restatement. Rather, the

restatement is followed by a coda that is equal in length to the A theme. The coda uses

wide leaps in register, particularly in the cello, and chromatic embellishment to

intensify the sense of yearning heard in Theme A. The final cadence, an IAC with 3 as

the highest voice, “re-opens” the harmonic closure achieved by the earlier PAC in 57

and also contributes to the sense of yearning.

123 The “Cavatina” also bears structural and expressive resemblances to the variations of the Ninth Symphony (Op. 125). The yearning nature of the A material, particularly apparent in mm. 10-40 where harmonic closure is continually evaded, brings to mind Theme A of Op. 125. Further, the “Beklemmt” section that appears to interrupt the A material is analogous to the fanfares and modal passages of Op. 125. In both movements, the formal ruptures are followed by a return to A material and codas that continue to project a sense of yearning, even after harmonic closure has been attained. While this movement can be analyzed as an example of ternary form, the saturation of the movement with A material also creates the potential for the movement to be read as a set of variations with a contrasting episode. Further analysis is needed to substantiate this claim, but one hypothesis would be that this movement is a hybrid ternary/variation form, resembling the variation movement of Op. 135.

5.3 Final Thoughts

Beethoven’s late variation movements form an enigmatic repertoire. Their structural and expressive complexity seems to resist ‘traditional’ analysis, creating a taxonomic and interpretive challenge. It is hoped that this study has demonstrated that, while analytically elusive, these movements can be studied using traditional analytical tools and an aesthetic perspective, yielding valuable insights about Beethoven’s approach to both variation and his late style in general. The stylistic markers proposed in this dissertation warrant further examination; amendments to the list may well be necessary as movements not in variation form are taken into consideration. It is my

124 hope that the analyses presented here have rendered these movements more accessible, without minimizing their profundity of construction and expression.

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130 BIOGRAPHICAL SKETCH

Before attending FSU, J. Judith Ofcarcik earned a Master’s degree in organ performance from Indiana University, where she studied with Marilyn Keiser. She also holds a B.M. in Flute Performance and a B.A. in Communication Disorders and Sciences from

Eastern Illinois University. In addition to her recent research in Beethoven’s late style, she has presented papers on Schumann’s Dichterliebe and Schoenberg’s variation techniques.

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