FRANZ SCHUBERT’S IMPROMPTUS D. 899 AND D. 935: AN HISTORICAL AND STYLISTIC STUDY A doctoral document submitted to the Division of Research and Advanced Studies of the University of Cincinnati In partial fulfillment of the requirements for the degree of DOCTOR OF MUSICAL ARTS In the Keyboard Studies Division of the College-Conservatory of Music 2005 by Ina Ham M.M., Cleveland Institute of Music, 1999 M.M., Seoul National University, 1996 B.M., Seoul National University, 1994 Committee Chair: Dr. Melinda Boyd ABSTRACT The impromptu is one of the new genres that was conceived in the early nineteenth century. Schubert’s two sets of impromptus D. 899 and D. 935 are among the most important examples to define this new genre and to represent the composer’s piano writing style. Although his two sets of four impromptus have been favored in concerts by both the pianists and the audience, there has been a lack of comprehensive study of them as continuous sets. Since the tonal interdependence between the impromptus of each set suggests their cyclic aspects, Schubert’s impromptus need to be considered and be performed as continuous sets. The purpose of this document is to provide useful resources and performance guidelines to Schubert’s two sets of impromptus D. 899 and D. 935 by examining their historical and stylistic features. The document is organized into three chapters. The first chapter traces a brief history of the impromptu as a genre of piano music, including the impromptus by Jan Hugo Voŕišek as the first pieces in this genre. Since the only commonality between the impromptus by Schubert and Voŕišek is the title, chapter I mainly focuses the differences between the two composer’s impromptus. The ensuing chapter deals with Schubert’s keyboard writing style, including repeated patterns and scrambled scales. The third chapter, the main portion of the document, concentrates on the tonal interrelationships between the impromptus of each set. An examination of tonal interconnections of Schubert’s impromptus draws attention to their cyclic procedure and demonstrates why his impromptus need to be performed as continuous sets. Acknowledgements I would like to thank Dr. Boyd, the document committee chair for her thorough advisement throughout the development of this document. I thank the readers of the committee, Mr. Pratt and especially Mr. Weinstock, as my piano teacher and mentor. Dr. Cahn must be acknowledged for his assistance with the preparation of the initial proposal. I extend special thanks to my parents-in-law for their thoughtful and positive supports. Finally this project could not have been completed without devotion from my husband. TABLE OF CONTENTS LIST OF TABLES ......................................................................................................... iii LIST OF EXAMPLES..................................................................................................... iv INTRODUCTION .......................................................................................................... 1 CHAPTER I. An Historical Background of the Impromptu as a Genre ................................ 4 II. Schubert’s Keyboard Writing Style ............................................................... 18 III. Cyclicity through Tonal Interrelationships ..................................................... 26 CONCLUSION ............................................................................................................... 44 BIBLIOGRAPHY .......................................................................................................... 45 iii TABLES Table Page 1. The Tonal Design of the Impromptus of D. 899 ..................................................... 28 2. The Tonal Design of the Impromptus of D. 935 ..................................................... 40 iv MUSICAL EXAMPLES Example Page 1. Voŕišek, Impromptu Op. 7, No. 1 in C major, mm. 1-19 ......................................... 9 2. Tomášek. Eclogue Op. 35, No. 4 in C major, mm. 1-13 ......................................... 10 3. Voŕišek, Impromptu in B-flat major, mm. 1-24 ...................................................... 12 4. Voŕišek, Impromptu Op. 7, No. 4 in A major, mm. 25-37 ...................................... 14 5. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 19-20 ............................. 20 6. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 25-26 ............................. 21 7. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 17-30 ............................. 22 8. Schubert, Impromptu D. 899, No. 1 in C minor, mm. 152-157 ................................ 23 9. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 93-98 ................................... 25 10. Schubert, Impromptu D. 935, No. 3 in B-flat major, mm. 111-112 ......................... 25 11. Schubert, Impromptu D. 899, No. 2 in E-flat major, mm. 33-44 ............................. 30 12. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 1-4 ................................ 30 13. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 73-86 ............................. 31 14. Schubert, Impromptu D. 899, No. 3 in G-flat major, mm. 5-12 ............................... 34 15. Schubert, Impromptu D. 899, No. 4 in A-flat major, mm. 1-32 ............................... 35 16. Schubert, Impromptu D. 935, No. 4 in F minor, mm. 420-439 ................................ 41 17. Schubert, Impromptu D. 935, No. 2 in A-flat major, mm. 67-80 ............................. 42 v INTRODUCTION Piano music in the early nineteenth century was quite different from that of the eighteenth century. While the large Classical sonata was still prominent, especially as it appears in the work of Beethoven, that genre lost its leading position. Instead, all composers of the period began to cultivate something new, particularly smaller forms such as the impromptu, nocturne, and ballade. Franz Schubert (1797-1828) completed the two sets of four impromptus D. 899 and D. 935 toward the end of 1827, the first set probably in August and September, and the second set in December. A Viennese publisher, Haslinger released only the first two impromptus of D. 899 in December of 1827, himself providing the title for them.1 The remaining two impromptus of D. 899 were published in 1857 by Haslinger’s son, Karl, the fourth impromptu in its original key, A-flat major, but the third transposed from G-flat major to G major.2 Schubert’s double alla breve was changed to single alla breve in G-flat major impromptu by the publisher. The four impromptus of D. 935 did not appear in print until 1838 by another Viennese publisher, Diabelli. The second set D. 935 might have been written as a sequel to the first set D. 899, as is born out by Schubert’s manuscripts. Schubert, at first, only numbered the first set of four impromptus as 1 through 4 and the four impromptus of D. 935 as 5 through 8 respectively. But, after Haslinger gave the title “impromptus” to the first two pieces of D. 899, Schubert 1Otto Erich Deutsch, Schubert: A Documentary Biography, trans. Eric Blom (London: J. M. Dent & Sons Ltd., 1946), 692. 2The G-flat major impromptu may have been transposed in order to make it more marketable to amateur pianists. 1 adopted Haslinger’s title for the second set of four pieces and wrote the new title above the numbers on the manuscript of D. 935. Two sets of four impromptus D. 899 and D. 935 by Schubert have been considered the first important works in this genre by a major composer. Although Schubert’s impromptus have long been considered to be influenced by those of Jan Hugo Voŕišek (1791-1825), the impromptus by these two composers bear little musical relationship. Compared to Voŕišek’s impromptus, those of Schubert exhibit a variety of formal types and characteristics, as the nature of the “impromptu” may be improvisatory as its name suggests.3 More pertinent to my discussion is that I approach Schubert’s two sets of impromptus as “cycles” which deserve to be regarded as continuous sets. Although extensive studies have been done on Schubert’s two sets of the impromptus D. 899 and D. 935, in performance they are often broken up rather than being regarded as continuous sets. Understanding the cyclic aspect of each set will draw attention to the significance of them as continuous sets. The purpose of this document is to provide a resource for a pianists’ guide to Schubert’s two sets of four impromptus D. 899 and D. 935 by the careful examination of their historical and stylistic features including his keyboard writing style and cyclic procedure. The document will be divided into three parts. The first part will focus on a historical study of the impromptu as a genre. A brief historical background and general characteristics of the impromptu will be given, especially Voŕišek’s impromptus as the very first ones with this title. Since Voŕišek’s impromptus bear little musical resemblance to 3Maurice J. E. Brown, ‘Impromptu’, Grove Music Online ed. L Macy (Accessed 27 October 2004), <http://www.grovemusic.com> 2 Schubert’s, the discussion emphasizes differences between those of Voŕišek and Schubert. The second part of the document will deal with Schubert’s keyboard writing style including repeated figures and scrambled scale passage. Since his piano writing style is often associated with the instrument, the development of the piano of the period will be briefly mentioned. In the last part, the tonal interrelationship of the impromptus in each set will be discussed. Based