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Semantic and Syntactic Differences Between Finite and Infinitival Semantic and Syntactic Differences between Finite and Infinitival Complements in German von Jennifer Rau Philosophische Dissertation angenommen von der Neuphilologischen Fakult¨at der Universit¨atT¨ubingen am 21. Juni 2010 T¨ubingen 2011 Gedruckt mit Genehmigung der Neuphilologischen Fakult¨atder Universit¨at T¨ubingen. Hauptberichterstatter: Prof. Dr. Marga Reis Mitberichterstatter: Prof. Dr. Arnim v. Stechow Dekan: Prof. Dr. Johannes Kabatek Danke Zeit f¨ureinen R¨uckblick und f¨urDank: Allen voran hat meine Doktormut- ter Marga Reis mich und diese Arbeit vorangebracht. Erst aus der Ferne entdecke ich, wie stark ich in T¨ubingengepr¨agtwurde und wie viel mir dort mitgegeben wurde. Ich danke Marga f¨urdie Beratung und f¨urdie ausnahms- lose Unterst¨utzungw¨ahrendder letzten Jahre. Verschiedene Menschen haben mir bei den Bausteinen dieser Arbeit geholfen: Maria Averintseva, Katrin Axel, Oliver Bott, Sebastian B¨ucking, R¨udigerChrist, Sam Featherston, Graham Katz, Ingrid Kaufmann, Angelika Kratzer, Oana Lungu, Claudia Maienborn, Doris Penka, Philippe Schlenker, Arnim von Stechow, Barbara Stiebels, Britta Stolterfoht, Helmut Weiß, Ede Zimmermann. Ich danke allen daf¨ur. Danke auch allen, die ich als Informanten zum Deutschen befragen durfte und allen, die mir nicht-deutsche Daten ¨uberlassen und diese Daten f¨urmich bewertet haben. Mein Mann war (nicht nur) in der Zeit dieser Arbeit so vieles in Perso- nalunion: mein Coach, Host, Administrator und der naivste aller Sprecher, der nun gar nicht mehr so naiv ist. Ohne ihn h¨atteich f¨urdiese Arbeit doppelt so lange gebraucht. Und ohne unsere Kinder w¨arees in der halben Zeit zu machen gewesen. Das bedeutet: Mit allen zusammen war es genau richtig. Amherst, MA, im Januar 2011 Zusammenfassung In dieser Arbeit werden finite und infinite Komplements¨atzeunter inten- sionalen und faktiven Pr¨adikaten auf ihre syntaktischen und semantischen Eigenschaften untersucht. Es wird angenommen, dass der grundlegende Unterschied von finiten und infiniten S¨atzendarin besteht, wie Tempus und Modus in diesen S¨atzeninterpretiert werden k¨onnen:Aus formalen Gr¨unden k¨onnennur in finiten S¨atzenTempus und Modus referentiell interpretiert werden. Gebunden interpretiert werden k¨onnenTempus und Modus aber gleichermaßen in finiten wie infiniten S¨atzen. Dies wird im Zusammen- spiel mit den einbettenden Pr¨adikaten relevant. Die neuere Forschung zu Tempus in intensionalen Kontexten zeigt, dass Tempus unter Einstellun- gen im Regelfall gebunden interpretiert werden muss. In der vorliegenden Arbeit wird beschrieben, wie gebundenes Tempus und gebundener Modus im Deutschen morphoyntaktisch realisiert werden. Dass Tempus und Modus gebunden sein m¨ussen,gilt jedoch nicht nur f¨urdie klassischen, doxastischen Einstellungspr¨adikate, sondern auch f¨urihre deontischen und zirkumstan- tiellen Gegenst¨ucke, z. B. befehlen und erm¨oglichen, die hier influence pred- icates genannt werden. Anhand dieser Pr¨adikate wird in Analogie zu de se-Pronomen gezeigt, wie man eine gebundene Interpretation von Tempus und Modus in finiten S¨atzenableiten kann. Ein zentraler Beitrag dieser Arbeit liegt in der Behandlung von fak- tiven Pr¨adikaten. F¨urTempus und Modus unter faktiven Pr¨adikaten ist im Gegensatz zu beidem unter Einstellungspr¨adikaten eine gebundene Lesart ausgeschlossen. Tempus und Modus m¨ussenstattdessen referentiell inter- pretiert werden. Diese referentielle Interpretation der Zeit- und Weltvariable f¨uhrtdazu, dass der Komplementsatz ein Ereignis denotiert, welches exis- tentiell gebunden wird. Es wird gezeigt, dass dies auch ontologisch einer ad¨aquatenBeschreibung von Tatsachen-denotierenden S¨atzenentspricht. F¨urden Unterschied von finiten bzw. infiniten Komplements¨atzen ergibt sich, dass faktive Komplemente immer durch finite Komplements¨atzeaus- gedr¨uckt werden m¨ussen,w¨ahrendpropositionale Komplemente gleicher- maßen als finite und infinite Komplements¨atzerealisiert werden k¨onnen. Es wird außerdem gezeigt, dass ein ontologischer Ansatz, der das Verhalten fak- tiver S¨atzein Bezug auf Tempus und Modus als Grundlage nimmt, die rele- vanten Daten zu Pr¨asuppositionen erkl¨arenkann. Tatsachen-denotierende S¨atzesind nicht Teil der Assertion und von daher pr¨asupponiert. Diese semantischen Eigenschaften von intensionalen gegen¨uber faktiven Komplementen korrelieren mit syntaktischen Eigenschaften der Komple- ments¨atze.Das wesentliche Unterscheidungsmerkmal ist die Intransparenz von faktiven Komplements¨atzenf¨urExtraktion. Als Voraussetzung f¨ur Transparenz wird hier morphologische (m-) Selektion angenommen. Propo- sitionale CP sind hinsichtlich ihres Tempus unsaturiert und projizieren dies als Merkmal [TENSE] in die C-Dom¨ane. F¨urdieses Merkmal sind propo- sitionale Pr¨adikate sensitiv, so dass aufgrund von m-Selektion Extraktion erlaubt wird. Da faktive Komplemente aufgrund des referentiellen Tempus saturiert sind, sind sie nicht m-selegiert, was Extraktion ausschließt. Ein wesentliches Merkmal dieser Arbeit ist, dass die Passung zwischen Pr¨adikattyp und Komplementtyp nicht als starr angesehen wird. Vielmehr gibt es Uminterpretationen von Pr¨adikaten, wenn die Komplemente vom Default-Fall abweichende Merkmale haben. Dies best¨atigtdie hier vertrete- nen Annahmen, da die semantische Umdeutung, z. B. von einem faktiven zu einem intensionalen Pr¨adikat, auch syntaktische Konsequenzen hat und umgekehrt syntaktische Effekte regelhafte Wirkungen auf die Interpretation. Dies zeigt, dass es sich in den hier untersuchten Ph¨anomenen(Tempus, Kom- plementtyp, Extraktion) um f¨urdie Komplementation konstitutive Merk- male handelt. Mit dem hier vertretenen Ansatz wird die Pr¨aferenzinfiniter bzw. finiter Komplementation erkl¨artund gleichzeitig der Variabilit¨atim Zusammenspiel Rechnung getragen | welcher jedoch die gleichen Regeln zugrundeliegen. Dies ist gleichermaßen beschreibungsad¨aquatund in der Herangehensweise innovativ. Abstract This thesis investigates finite and non-finite complements under intensional and extensional predicates with respect to their syntactic and semantic prop- erties. It is assumed that the fundamental difference between infinitival and finite dass-clauses lies in the way tense and mood of the complement are in- terpreted. For formal reasons, tense and mood can be interpreted indexically only in finite complement clauses. Bound readings of tense and mood are accessible both in finite and non-finite complements. This is crucial when we consider the interplay of complements and their embedding predicates. Recent research on embedded tense and mood shows that tense under atti- tude predicates has to be receive a bound reading, which is supported in this thesis. The morphosyntactic realization of bound readings is investigated for German data, relying on corpus studies. Furthermore, bound readings of tense and mood are not only attested for attitude predicates but also for their deontic and circumstantial counterparts like befehlen `command' or erm¨oglichen `enable' which are labeled influence predicates here. It is shown for this predicate class how a bound reading of tense under inten- sional predicates can be derived in analogy to de se readings of pronouns. This treatment of variable tense can be applied to mood (subjunctive I and II) as well. A crucial contribution of this thesis comes from the analysis of factive (extensional) predicates. In contrast to tense under attitudes, a bound read- ing of tense is excluded under factive predicates. Instead, it is interpreted indexically. This indexical interpretation enables the complement clause to denote an event which is existentially bound. It is shown that this is ade- quate for fact-denoting arguments also with respect to ontological matters. The difference between finite and non-finite complements thus is an epiphe- nomenon of a more general difference: factive complements usually have to be expressed by finite clauses while intensional complements can be ex- pressed both by finite and infinitival complements. Moreover, an ontological approach which builds on the interpretation of tense and mood in extensional contexts copes with the relevant data of presupposition. Fact-denoting ar- guments are not part of the assertion and are therefore presupposed. These semantic properties of intensional versus extensional complements correlate with the syntactic properties of the complement clauses. The most important difference is the non-transparency of factive CPs for extraction. Morphological (m-)selection is responsible for transparency. Propositional CPs are unsaturated in the I-domain and thus project a [TENSE] feature into the C-domain. Propositional predicates m-select CPs marked with this feature so that extraction is possible from their complement clauses. Since factive complements are saturated, because tense is interpreted indexically, they are not m-selected and thus disallow extraction. An essential feature of this thesis is the fact that the fit between pred- icate class and complement type is not static. Instead, there are many examples of reinterpretations of predicates, which arise whenever the com- plement type differs from the default. This supports the assumptions of this thesis because the semantic reinterpretation (for instance from a factive into an intensional predicate) has syntactic consequences. This holds vice versa too when syntactic environments (like extraction from a primarily factive complement clause) trigger semantic reinterpretations. This provides evi- dence for the claim that the phenomena which are considered in this thesis, tense,
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