Lateral Thinking and Literal Thinking in Schubert's - Nettheim
Ambiguity in Schubert's Recapitulations (Coren)
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Ambiguity in Schubert's Recapitulations
Daniel Coren
The Musical Quarterly, Vol. 60, No. 4. (Oct., 1974), pp. 568-582.
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AMBIGUITY IN SCHUBERT'S
RECAPITULATIONS
By DANIEL
COREN
I
his essays Franz Schubert and Tonality in Schubert Donald
Tovey devoted a large portion of his attention to the architec-
ture of Schubert's movements in sonata form. Tovey was especially
concerned with the ways in which Schubert constructed his re-
transitions from development to recapitulation, for, as he said, when
Schubert is at the height of his powers in large forms we may know it
by the returns to his main themes. ' These two articles have re-
mained among the most illuminative writings on Schubert's music.
Nevertheless, because Tovey's writings were usually confined by what
he once called the limitations of editorial
time- pace, ^
he often
dwelt for only a few paragraphs on subjects that might easily have
furnished him with material for many pages. Surely, the composi-
tional techniques that Schubert brings to bear upon the recapitula-
tions of his sonata-form movements comprise such a subject. It is the
purpose of this article to examine one of these techniques in detail
-namely, the methods by means of which Schubert, in certain
pieces, blurs the demarcation between development and recapitula-
tion.
Although our subject is formal ambiguity, it must be stated at
the outset that Schubert was, in two important respects, almost en-
tirely consistent throughout his career in his approach to sonata form.
First, from the String Quartet in B-flat, D.
36, to the Piano Sonata
in the same key, D 960, virtually all of Schubert's expositions are
separated from their developments
by repeat signs.3 Second, if a
Essays an d L ectures on Music (London, 1949), p. 119.
l b i d .
p
154.
3
This principle needs one qualification: none of Schubert s overtures- neither
the isolated concert pieces nor the overtures to stage works employs repeat signs.
In making this distinction between overture and sonata form, Schubert was observing
the same convention as Beethoven, whose overtures also invariably lack repeat signs.
AMBIGUITY IN SCHUBERT S
RECAPITULATIONS
By DANIEL COREN
I
N his essays Franz Schubert
and
Tonality in Schubert
Donald
Tovey devoted a large
portion
of his
attention
to
the
architec
ture
of Schubert's movements in sonata form. Tovey was especially
concerned with the ways
in
which Schubert constructed his re
transitions from development to recapitulation, for, as he said,
when
Schubert is at the height of his powers in large forms we may know it
by the returns to his
main
themes. 1 These two articles have re
mained
among the most illuminative writings
on
Schubert's music.
Nevertheless, because Tovey's writings were usually confined by what
he once called
the
limitations of editorial time-space, 2 he often
dwelt for only a few paragraphs on subjects that might easily have
furnished him with material for many pages. Surely, the composi
tional techniques that Schubert brings to bear upon the recapitula
tions of his sonata-form movements comprise such a subject.
t is
the
purpose of this article to examine one of these techniques
in
detail
- namely, the methods by means of which Schubert, in certain
pieces, blurs the demarcation between development and recapitula
tion.
Although
our
subject
is
formal ambiguity, it must be stated at
the outset that Schubert was, in two important respects, almost en
tirely consistent throughout his career
in
his approach to sonata form.
First, from the String Quartet
in
B-flat, D. 36, to the Piano Sonata
in
the same key, D. 960, virtually all of Schubert's expositions are
separated from their developments by repeat signs.s Second, if a
Essays nd Lf ctures on Music
(London, 1949), p. 119
2 Ibid., p. 154.
3
This
principle
needs
one
qualification:
none
of Schubert'S overtures -
neither
the isolated concert pieces nor the overtures to stage works - employs
repeat
signs.
In
making
this distinction between overture and sonata form, Schubert was observing
the
same convention as Beethoven, whose overtures also invariably lack
repeat
signs.
568
AMBIGUITY IN SCHUBERT S
RECAPITULATIONS
By DANIEL COREN
I
N his essays Franz Schubert
and
Tonality in Schubert
Donald
Tovey devoted a large
portion
of his
attention
to
the
architec
ture
of Schubert's movements in sonata form. Tovey was especially
concerned with the ways
in
which Schubert constructed his re
transitions from development to recapitulation, for, as he said,
when
Schubert is at the height of his powers in large forms we may know it
by the returns to his
main
themes. 1 These two articles have re
mained
among the most illuminative writings
on
Schubert's music.
Nevertheless, because Tovey's writings were usually confined by what
he once called
the
limitations of editorial time-space, 2 he often
dwelt for only a few paragraphs on subjects that might easily have
furnished him with material for many pages. Surely, the composi
tional techniques that Schubert brings to bear upon the recapitula
tions of his sonata-form movements comprise such a subject.
t is
the
purpose of this article to examine one of these techniques
in
detail
- namely, the methods by means of which Schubert, in certain
pieces, blurs the demarcation between development and recapitula
tion.
Although
our
subject
is
formal ambiguity, it must be stated at
the outset that Schubert was, in two important respects, almost en
tirely consistent throughout his career
in
his approach to sonata form.
First, from the String Quartet
in
B-flat, D. 36, to the Piano Sonata
in
the same key, D. 960, virtually all of Schubert's expositions are
separated from their developments by repeat signs.s Second, if a
Essays nd Lf ctures on Music
(London, 1949), p. 119
2 Ibid., p. 154.
3
This
principle
needs
one
qualification:
none
of Schubert'S overtures -
neither
the isolated concert pieces nor the overtures to stage works - employs
repeat
signs.
In
making
this distinction between overture and sonata form, Schubert was observing
the
same convention as Beethoven, whose overtures also invariably lack
repeat
signs.
568
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569chubert s Recapitulations
movement is in the major mode, its exposition modulates to the
dominant by the time the repeat sign is reached. There are no ex-
ceptions to this rule, even though it is common knowledge that
Schubert s first modulation away from the tonic is often in to a
parenthetical key area, usually (but not invariably) related by a third
to the original key. If a movement is in the minor mode, there is a
somewhat greater range of possibilities for the closing key of the ex-
position; nevertheless, it is most usual for such expositions to close,
as one would expect, in the relative major.
Thus , despite the great diversity among Schubert s musical forms,
these stable characteristics make the choice of a repertory for this
study a fairly simple matter. This repertory includes: 1) the first
movements of Schubert s three- and four-movement sonata-type
works, beginning with the string quartet in B-flat major, D 36;
2) those finales that are in sonata form; and 3) single-movement
works in sonata form, such as the Allegro in A minor for piano duet,
D 947. These three categories comprise a total of seventy-five move-
ments from fifty-four different compositions.
In the great majority of Mozart s and Haydn s sonata-form move-
ments, the beginning of the recapitulation is almost invariably char-
acterized by the synchronized return of the tonic key and primary
thematic material. Furthermore
and this is important for the
present study Mozart (and to a lesser extent, Haydn) usually fu r-
ther stress the moment of return by stating the primary material
exactly as it was in the beginning, without such changes as new or-
chestration or new melodic figuration. However, in only forty-seven
of Schubert s seventy-five sonata-form movements is unaltered pri-
mary material recapitulated in the tonic key. Th e recapitulations of
the remaining twenty-eight movements are all irregular in some way,
as the following table illustrates.
Date W ork Movement Recapi tu la tion
181
String Quartet in C, D. 46
begins in
V
String Quartet in
D , D. 74
begins in V
1815
Symphony No. 2 in B-flat, D. 125
begins in IV
String Quartet in G Minor , D. 173
begins in 111
Symphony No. 3 in
D, D.
200
begins in V
Pian o Sonata in C, D. 279*
begins in IV
1816 Violin Sonata in
A
Minor , D. 385
begins in IV
Violin Son ata in
G Minor , D. 408
begins in IV
Symphony No.
4
in
C
Minor , D.
417
begins in V
begins in major I
Schubert s Recapitulations
569
movement is in
the
major
mode, its
exposition modulates
to the
dominant by
the
time
the
repeat sign is reached.
There
are no ex
ceptions to this
rule,
even
though
it
is
common
knowledge
that
Schubert s
first
modulation
away from the tonic is often into a
parenthetical key area, usually
(but not
invariably)
related by
a
third
to the original key.
f
a movement
is in
the
minor
mode, there
is
a
somewhat greater range of possibilities for the closing key of the ex
position; nevertheless,
it is
most usual for such expositions to close,
as one would expect, in the
relative
major.
Thus, despite the great diversity among Schubert s musical forms,
these stable characteristics
make the
choice
of
a
repertory
for this
study
a fairly simple matter. This
repertory
includes: (I)
the
first
movements of Schubert s three- and
four-movement
sonata-type
works,
beginning
with the string quartet
in
B-fIat major, D. 36;
2) those finales that are
in
sonata form; and 3) single-movement
works
in
sonata form, such
as
the Allegro
in
A
minor
for
piano
duet,
D. 947. These three categories comprise a total of seventy-five move
ments
from fifty-four different compositions.
In
the great majority
of Mozart s and Haydn s sonata-form move
ments,
the beginning
of
the recapitulation
is almost
invariably
char
acterized by the synchronized return
of
the tonic key and primary
thematic
material.
Furthermore -
and
this is
important
for the
present
study
- Mozart (and to a lesser
extent, Haydn)
usually fur
ther
stress the
moment
of return by stating
the
primary
material
exactly
as it
was
in
the
beginning, without
such changes
as
new or
chestration or new melodic figuration. However,
in
only forty-seven
of Schubert s
seventy-five sonata-form
movements is
unaltered pri
mary material recapitulated
in
the
tonic key.
The
recapitulations of
the remaining twenty-eight movements are all
irregular in
some way.
as
the following table illustrates.
Date
Work
1813 String
Quartet
in C, D. 46
String Quartet in D, D. 74
1815 Symphony No.2 in B-flat, D.
125
String Quartet in G Minor, D. 173
Symphony
No.3
in D, D. 200
Piano Sonata in C, D. 279·
1816 Violin Sonata in A Minor, D. 385
Violin Sonata in G Minor, D. 408
Symphony
No.4
in C Minor, D. 417
Movement Recapitulation
begins in V
begins in V
begins in IV
begins in III
iv begins in V
begins in IV
begins in IV
iv begins in IV
begins in V
iv
begins in major I
Schubert s Recapitulations
569
movement is in
the
major
mode, its
exposition modulates
to the
dominant by
the
time
the
repeat sign is reached.
There
are no ex
ceptions to this
rule,
even
though
it
is
common
knowledge
that
Schubert s
first
modulation
away from the tonic is often into a
parenthetical key area, usually
(but not
invariably)
related by
a
third
to the original key.
f
a movement
is in
the
minor
mode, there
is
a
somewhat greater range of possibilities for the closing key of the ex
position; nevertheless,
it is
most usual for such expositions to close,
as one would expect, in the
relative
major.
Thus, despite the great diversity among Schubert s musical forms,
these stable characteristics
make the
choice
of
a
repertory
for this
study
a fairly simple matter. This
repertory
includes: (I)
the
first
movements of Schubert s three- and
four-movement
sonata-type
works,
beginning
with the string quartet
in
B-fIat major, D. 36;
2) those finales that are
in
sonata form; and 3) single-movement
works
in
sonata form, such
as
the Allegro
in
A
minor
for
piano
duet,
D. 947. These three categories comprise a total of seventy-five move
ments
from fifty-four different compositions.
In
the great majority
of Mozart s and Haydn s sonata-form move
ments,
the beginning
of
the recapitulation
is almost
invariably
char
acterized by the synchronized return
of
the tonic key and primary
thematic
material.
Furthermore -
and
this is
important
for the
present
study
- Mozart (and to a lesser
extent, Haydn)
usually fur
ther
stress the
moment
of return by stating
the
primary
material
exactly
as it
was
in
the
beginning, without
such changes
as
new or
chestration or new melodic figuration. However,
in
only forty-seven
of Schubert s
seventy-five sonata-form
movements is
unaltered pri
mary material recapitulated
in
the
tonic key.
The
recapitulations of
the remaining twenty-eight movements are all
irregular in
some way.
as
the following table illustrates.
Date
Work
1813 String
Quartet
in C, D. 46
String Quartet in D, D. 74
1815 Symphony No.2 in B-flat, D.
125
String Quartet in G Minor, D. 173
Symphony
No.3
in D, D. 200
Piano Sonata in C, D. 279·
1816 Violin Sonata in A Minor, D. 385
Violin Sonata in G Minor, D. 408
Symphony
No.4
in C Minor, D. 417
Movement Recapitulation
begins in V
begins in V
begins in IV
begins in III
iv begins in V
begins in IV
begins in IV
iv begins in IV
begins in V
iv
begins in major I
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570
The Musical Quarterly
Date
1816
Work
Piano Sonata in E D. 459
1817
Symphony No. 5 in B-flat, D. 485
Piano Sonata in A Minor, D. 537
Piano Sonata in E-flat, D. 568
1819
Piano Sonata in
B
D.
575
Piano Sonata in 4 D. 664
Piano Quintet in 4,
D.
667
1820 String Quarte t in C Minor, D. 703*
1822
Symphony No. 8 in hiinor, D. 759"
1824
Piano Duet in
C
D. 812
825
Piano Sonata in D. 840*
Piano Sonata in A Minor,
D.
845
1826 String Quartet in G D. 887
1827 Piano T ri o in B-flat,
D.
898
1828 Symphony No. 9 in
C
D. 944
String Quintet in C D. 956
+Incomplete work.
Movement Recapitulation
begins in IV;
abridged
begins in IV
begins in IV
syncopated primary
material
begins in IV
rescored primary
material
begins in IV
begins in
IV;
abridged
no primary
material
first phrase
of primary
material does
not return
primary material
in exposition
modulates from
4 minor to C;
in recapitulation,
from
minor to
E-flat.
begins in IV,
then becomes
extremely
modulatory
begins in v i
then becomes
modulatory
transformed primary
material
begins in SVI, with
texturally altered
primary material
pianissimo primary
material
begins in SIII
figuration from
development
overlaps with
return of primary
material
Let us begin our discussion with a group of movements that has
already received some attention namely those movements with re-
capitulations in the subdominant; moreover let us devote special
570
The Musical Quarterly
Date
Work
Movement Recapitulation
1816 Piano Sonata in E D. 459
begins in
IV;
abridged
Symphony
No 5
in B-flat D. 485
begins
in IV
1817
Piano Sonata
in
A Minor D. 537
begins
in IV
Piano Sonata in E-flat D. 568
syncopated primary
material
Piano Sonata in B D. 575
begins in IV
1819
Piano Sonata in A D. 664
rescored primary
material
begins in IV
Piano Quintet in
A
D. 667
begins in IV;
abridged
1820 String
Quartet
in C Minor D. 703·
no
primary
material
1822
Symphony
No 8 in
B Minor D.
759·
first phrase
of primary
material does
not
return
1824 Piano Duet in C D. 812
iv
primary material
in exposition
modulates from
A
minor
to C;
in recapitulation
from C
minor
to
E-ftat.
1825 Piano Sonata in C D. 840· begins in
IV
then becomes
extremely
modulatory
Piano Sonata in A Minor D. 845 begins in vi
then becomes
modulatory
1826 String
Quartet
in G D. 887
transformed primary
material
1827
Piano
Trio
in
B-flat D. 898 begins
in
bVI with
texturally altered
primary material
1828
Symphony No 9 in
C D. 944 pianissimo primary
material
iv
begins in bIll
String
Quintet in
C D. 956
figuration from
development
overlaps with
return of primary
material
·Incomplete
work..
Let
us begin
our
discussion with a group of movements
that
has
already received some attention namely. those movements with re
capitulations in the subdominant; moreover. let us devote special
570
The Musical Quarterly
Date
Work
Movement Recapitulation
1816 Piano Sonata in E D. 459
begins in
IV;
abridged
Symphony
No 5
in B-flat D. 485
begins
in IV
1817
Piano Sonata
in
A Minor D. 537
begins
in IV
Piano Sonata in E-flat D. 568
syncopated primary
material
Piano Sonata in B D. 575
begins in IV
1819
Piano Sonata in A D. 664
rescored primary
material
begins in IV
Piano Quintet in
A
D. 667
begins in IV;
abridged
1820 String
Quartet
in C Minor D. 703·
no
primary
material
1822
Symphony
No 8 in
B Minor D.
759·
first phrase
of primary
material does
not
return
1824 Piano Duet in C D. 812
iv
primary material
in exposition
modulates from
A
minor
to C;
in recapitulation
from C
minor
to
E-ftat.
1825 Piano Sonata in C D. 840· begins in
IV
then becomes
extremely
modulatory
Piano Sonata in A Minor D. 845 begins in vi
then becomes
modulatory
1826 String
Quartet
in G D. 887
transformed primary
material
1827
Piano
Trio
in
B-flat D. 898 begins
in
bVI with
texturally altered
primary material
1828
Symphony No 9 in
C D. 944 pianissimo primary
material
iv
begins in bIll
String
Quintet in
C D. 956
figuration from
development
overlaps with
return of primary
material
·Incomplete
work..
Let
us begin
our
discussion with a group of movements
that
has
already received some attention namely. those movements with re
capitulations in the subdominant; moreover. let us devote special
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Schubert s Recapitulations
57
1
attention to one movement in this group, the first movement of the
Symphony No.
2
in B-flat,
D.
125. One often finds in the literature
comments to the effect that Schubert s subdominant recapitulations
indicate a certain laziness on his part, since, if a movement is in the
major mode, beginning the recapitulation in this manner theo-
retically allows the composer simply to copy out a transposed version
of his e x p ~ s i t i o n . ~ of the Second Symphony,he first movement
however, demonstrates that as early as 1815 Schubert was capable of
composing an extended symphonic movement with a complex key
plan, a plan whose complexity, in part, involves a recapitulation in
the subdominant.
As in all Schubert s sonata-form movements in the major mode,
the exposition of this one ends in the dominant,
F
major. But be-
tween B-flat and
F,
Schubert inserts a lyrical melody in the surprising
parenthetical key area of E-flat major. hioreover, the modulatory
sequence that approaches the E-flat melody (measures 64-79 does so
through the subdominant of the subdominant, thus:
min o r
E-flat
major
i - I I I i - \ 1
1v 1:
v i ~
T h e crucial choice facing Schubert, once he had decided to compose
a subdominant recapitulation, was whether or not to follow the
same route to the tonic as he had to the dominant in the exposition.
Such literal transposition would have necessitated a modulation to
A-flat major, that is, to IV of IV, in the course of which A-flat would
be approached through its own subdominant. Apparently, Schubert
was not willing to weight his movement so heavily towards the sub-
dominant side.
In the exposition Schubert had, at the end of his primary ma-
terial, arrived on the dominant of
C
minor at measure 43 by
moving his bass line from B-flat to G through A-flat (see Ex. 1 .
Now, in the recapitulation, the analogous E-flat does not descend
to the flatted sixth degree of F minor, as it would have in a simple
transposition of the original material. Instead, E-flat itself becomes
VI of G minor. T h e bass line s A-flat in the exposition had sup-
ported a triad in first inversion, but now the analogous E-flat sup-
ports not a simple triad but rather an augmented sixth (see
Ex. 2 .
4 Tovey,
op .
ci t .
p 118.
hfosco Carner, The Orchestral Music of Schubert,
in
Gerald Abraham, ed., Music o f Schubert (New York, 1947).p SO
Schubert's
Recapitulations
571
attention to
one
movement
in
this group, the first movement of the
Symphony
No.2 in B-flat, D. 125. One often finds in
the
literature
comments
to
the
effect
that
Schubert's
subdominant
recapitulations
indicate a certain laziness on his part, since, if a
movement
is in the
major mode,
beginning
the recapitulation
in
this
manner
theo
retically allows the
composer
simply to copy out a transposed version
of his exposition.
4
The first movement of the Second Symphony,
however,
demonstrates
that as early as 1815 Schubert was capable of
composing an
extended
symphonic movement
with
a complex key
plan,
a
plan
whose complexity,
in
part, involves a recapitulation
in
the su bdominant.
As
in
all Schubert's sonata-form movements
in
the
major
mode,
the exposition of this one ends
in the dominant,
F major.
But
be
tween
B-flat and F,
Schubert
inserts a lyrical melody in the surprising
parenthetical key area of E-flat major. Moreover, the modulatory
sequence that approaches
the
E-flat melody (measures 64-79) does so
through
the subdominant of the
subdominant,
thus:
C minor E-flat major
i
IIP
- \,1
=
IV
- I -
V
-
I
The crucial choice facing Schubert, once he had decided to compose
a
subdominant recapitulation,
was
whether or not
to follow
the
same route to the tonic as he had to the
dominant
in the exposition.
Such literal transposition would have necessitated a modulation to
A-flat
major, that
is, to
IV
of IV,
in
the course of which A-flat would
be approached
through
its own subdominant. Apparently, Schubert
was not
willing to weight
his movement so heavily towards
the
sub
dominant
side.
In the exposition Schubert had, at the
end
of his
primary
ma
terial,
arrived on
the
dominant
of C
minor at
measure 43, by
moving his bass line from B-flat to G through A-flat (see Ex. I).
Now, in
the
recapitulation, the
analogous E-flat does
not
descend
to the flatted sixth degree of F minor, as it would have
in
a
simple
transposition
of the original material. Instead, E-flat itself becomes
VI
of G minor.
The
bass line s A-flat
in
the
exposition had
sup
ported a triad
in
first inversion, but now the analogous E-flat sup
ports
not
a simple
triad
but
rather an augmented sixth
(see Ex. 2).
4
Tovey,
op
cit.
p. 118. Mosco Carner, The
Orchestral
Music of
Schubert, in
Gerald
Abraham, ed., usic of Schubert (New York, 1947),
p.
30.
Schubert's
Recapitulations
571
attention to
one
movement
in
this group, the first movement of the
Symphony
No.2 in B-flat, D. 125. One often finds in
the
literature
comments
to
the
effect
that
Schubert's
subdominant
recapitulations
indicate a certain laziness on his part, since, if a
movement
is in the
major mode,
beginning
the recapitulation
in
this
manner
theo
retically allows the
composer
simply to copy out a transposed version
of his exposition.
4
The first movement of the Second Symphony,
however,
demonstrates
that as early as 1815 Schubert was capable of
composing an
extended
symphonic movement
with
a complex key
plan,
a
plan
whose complexity,
in
part, involves a recapitulation
in
the su bdominant.
As
in
all Schubert's sonata-form movements
in
the
major
mode,
the exposition of this one ends
in the dominant,
F major.
But
be
tween
B-flat and F,
Schubert
inserts a lyrical melody in the surprising
parenthetical key area of E-flat major. Moreover, the modulatory
sequence that approaches
the
E-flat melody (measures 64-79) does so
through
the subdominant of the
subdominant,
thus:
C minor E-flat major
i
IIP
- \,1
=
IV
- I -
V
-
I
The crucial choice facing Schubert, once he had decided to compose
a
subdominant recapitulation,
was
whether or not
to follow
the
same route to the tonic as he had to the
dominant
in the exposition.
Such literal transposition would have necessitated a modulation to
A-flat
major, that
is, to
IV
of IV,
in
the course of which A-flat would
be approached
through
its own subdominant. Apparently, Schubert
was not
willing to weight
his movement so heavily towards
the
sub
dominant
side.
In the exposition Schubert had, at the
end
of his
primary
ma
terial,
arrived on
the
dominant
of C
minor at
measure 43, by
moving his bass line from B-flat to G through A-flat (see Ex. I).
Now, in
the
recapitulation, the
analogous E-flat does
not
descend
to the flatted sixth degree of F minor, as it would have
in
a
simple
transposition
of the original material. Instead, E-flat itself becomes
VI
of G minor.
The
bass line s A-flat
in
the
exposition had
sup
ported a triad
in
first inversion, but now the analogous E-flat sup
ports
not
a simple
triad
but
rather an augmented sixth
(see Ex. 2).
4
Tovey,
op
cit.
p. 118. Mosco Carner, The
Orchestral
Music of
Schubert, in
Gerald
Abraham, ed., usic of Schubert (New York, 1947),
p.
30.
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57 T h e
Musical
Quarterly
Ex 1 Symphony No. 2 in B-flat D . 125 1st mvt.
mm
41-45
Ob.
Cor.
fa\
via
vc
Cb.
Ex.
Symphony No. 2
in
B-flat
D
125 1st mvt. mm. 363 367
Ob.
CI.
vr
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Cb.
572
The Musical Quarterly
Ex. 1 Symphony No 2 in B-Bat, D. 125
1st
mvt., mm. 41-45
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573chubert's Recapitulations
By the standards of Schubert's mature works, this augmented sixth
is rather blatant, but the young composer may well have felt proud
of such a clever solution to the modulatory problem he had set him-
self: before this juncture the recapitulation had been on the sub-
dominant side of the exposition, a fifth below; after the augmented
sixth it is on the dominant side, a fourth below its parallel material.
T h e modulatory sequence analogous to measures 64-79 now reaches
the tonic' B-flat major, imbuing it with the same quality of repose
that the subdominant had in the exposition.
T h e recapitulation of this movement may be taken as a paradigm
for most of Schubert's movements with subdominant recapitulations.
In only one movement of a completed work, the first movement of
the Piano Sonata in B Major, D 575, is Schubert's recapitulation a
literal transposition of his e x p ~ s i t i o n . ~n those movements in which
the exposition contains a parenthetical key area, Schubert typically
redirects the course of the recapitulation with the sort of deft, eco-
nomical gesture we have observed at measure 365 of the Second
Symphony. (See, for example, the first movement of the Violin
Sonata in A Minor,
D
385, measures 35-41 and measures 112-117.)
Furthermore, in those movements with subdominant recapitula-
tions and without a parenthetical area in the exposition, Schubert
typically recomposes the transition between primary and secondary
themes, not by substituting one crucial chord for another, but by
actually writing new material. In short, in these movements he
seems to go out of his way to do the sort of compositional work that
subdominant recapitulation might be thought to obviate. (See the
first'movement of the Symphony No. 5 D. 485, and the last move-
ment of the Piano Sonata in A Major,
D
664.)
Although (as shown on pages 569-570) several of Schubert's
sonata-form movements before 1820 have recapitulations beginning
in keys other than the tonic, in none of these movements is there any
doubt as to where the recapitulation actually begins. That is, sonata
form for Schubert, before 1820, was a
t hemat i ca l l y
stable and un-
ambiguous structure. For a year after the Trout Quintet, com-
posed in the autumn of 1819, Schubert produced remarkably few
large-scale works. T h e Mass in A-flat,
D
678, was begun in No-
vember, 1819 (but not completed until late 1822), and the partially
completed cantata
Lazarus
D. 689, was composed in February, 1820.
In the incomplete Piano Sonata in C Major I . 279 Schubert also composes a
literally transposed subdominant recapitulation.
Sch u bert's Reca pi tulations
573
By
the
standards of Schubert's
mature
works, this
augmented
sixth
is rather blatant,
but
the young composer may well have felt
proud
of such a clever
solution
to
the modulatory problem
he had
set him
self:
before
this
juncture the recapitulation had been on the
sub
dominant side of the exposition, a fifth below;
after
the
augmented
sixth it is on the
dominant
side, a fourth below its parallel material.
The
modulatory sequence analogous
to
measures 64-79 now reaches
the tonic B-flat
major,
imbuing
it
with the same quality of repose
that the subdominant had in the
exposition.
The recapitulation of this movement
may
be
taken
s a paradigm
for most
of
Schubert's movements
with
subdominant
recapitulations.
n
only one
movement
of a
completed
work,
the
first
movement
of
the Piano
Sonata in B Major, D. 575, is Schubert's
recapitulation
a
literal transposition of his exposition.
s
n
those movements in which
the
exposition contains a
parenthetical
key area, Schubert typically
redirects the course of
the
recapitulation with
the
sort of deft, eco
nomical gesture we have observed at measure 365 of the Second
Symphony. (See, for example,
the
first movement of
the
Violin
Sonata
in
A
Minor,
D. 385, measures 35-41
and
measures 112-117.)
Furthermore,
in those movements with subdominant recapitula
tions
and without
a parenthetical
area
in
the
exposition, Schubert
typically recomposes
the transition
between primary
and
secondary
themes, not by substituting one crucial
chord
for another, but by
actually
writing
new material.
n
short,
in
these
movements
he
seems to go
out
of his way to do
the
sort of compositional work
that
subdominant recapitulation might be thought
to
obviate. (See the
first'movement of the
Symphony
No.5,
D. 485,
and the
last move
ment
of the
Piano
Sonata
in
A
Major,
D. 664.)
Although
(as shown
on
pages 569-570) several of
Schubert's
sonata-form movements before 1820 have recapitulations beginning
in keys other
than
the tonic, in none of these movements is there
any
doubt s
to where
the recapitulation
actually begins.
That
is, sonata
form for Schubert, before 1820, was a thematically stable
and
un
ambiguous
structure.
For
a year after
the Trout Quintet,
com
posed in
the
autumn of 1819, Schubert produced
remarkably
few
large-scale works.
The
Mass
in
A-flat, D. 678, was
begun
in
No
vember, 1819
(but not
completed
until
late 1822),
and the
partially
completed cantata
azarus} D. 689, was composed in February, 1820.
5 In the
incomplete
Piano Sonata in C Major, D. 279,
Schubert
also composes a
literally transposed
subdominant recapitulation.
Sch u bert's Reca pi tulations
573
By
the
standards of Schubert's
mature
works, this
augmented
sixth
is rather blatant,
but
the young composer may well have felt
proud
of such a clever
solution
to
the modulatory problem
he had
set him
self:
before
this
juncture the recapitulation had been on the
sub
dominant side of the exposition, a fifth below;
after
the
augmented
sixth it is on the
dominant
side, a fourth below its parallel material.
The
modulatory sequence analogous
to
measures 64-79 now reaches
the tonic B-flat
major,
imbuing
it
with the same quality of repose
that the subdominant had in the
exposition.
The recapitulation of this movement
may
be
taken
s a paradigm
for most
of
Schubert's movements
with
subdominant
recapitulations.
n
only one
movement
of a
completed
work,
the
first
movement
of
the Piano
Sonata in B Major, D. 575, is Schubert's
recapitulation
a
literal transposition of his exposition.
s
n
those movements in which
the
exposition contains a
parenthetical
key area, Schubert typically
redirects the course of
the
recapitulation with
the
sort of deft, eco
nomical gesture we have observed at measure 365 of the Second
Symphony. (See, for example,
the
first movement of
the
Violin
Sonata
in
A
Minor,
D. 385, measures 35-41
and
measures 112-117.)
Furthermore,
in those movements with subdominant recapitula
tions
and without
a parenthetical
area
in
the
exposition, Schubert
typically recomposes
the transition
between primary
and
secondary
themes, not by substituting one crucial
chord
for another, but by
actually
writing
new material.
n
short,
in
these
movements
he
seems to go
out
of his way to do
the
sort of compositional work
that
subdominant recapitulation might be thought
to
obviate. (See the
first'movement of the
Symphony
No.5,
D. 485,
and the
last move
ment
of the
Piano
Sonata
in
A
Major,
D. 664.)
Although
(as shown
on
pages 569-570) several of
Schubert's
sonata-form movements before 1820 have recapitulations beginning
in keys other
than
the tonic, in none of these movements is there
any
doubt s
to where
the recapitulation
actually begins.
That
is, sonata
form for Schubert, before 1820, was a thematically stable
and
un
ambiguous
structure.
For
a year after
the Trout Quintet,
com
posed in
the
autumn of 1819, Schubert produced
remarkably
few
large-scale works.
The
Mass
in
A-flat, D. 678, was
begun
in
No
vember, 1819
(but not
completed
until
late 1822),
and the
partially
completed cantata
azarus} D. 689, was composed in February, 1820.
5 In the
incomplete
Piano Sonata in C Major, D. 279,
Schubert
also composes a
literally transposed
subdominant recapitulation.
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T h e Musical Quarterly
From then until the next November the Deutsch cataloguc lists only
thirteen lesser works, not one of which contains a sonata-form move-
ment. But during December Schubert composed six new works,
among them the Qltartet tsatz in C minor, D. 703, which has often
been acclaimed as his first masterpiece. For this study especially, the
Quar te t t sa t z marks a major articulation in Schubert's career, for in
it Schubert seems to have wished to test the thematic stability of
sonata form to its very limits.
While this movement is still to be understood in sonata form,
one of the most crucial structural members of that form is missing,
in that after the repeat of the exposition, primary thematic ma-
terial is heard only as a coda, after the recapitulation has run its
course. No other movement by Schubert so strongly dramatizes the
difference between the functions of primary and secondary material
in sonata form, for without the normal return of primary material
it becomes very difficult to demarcate any boundary at all between
development and recapitulation in this work.
T h e structure of the exposit ion, however, is extremely clear. T h e
primary material saturates minor with the coloring of D-flat: the
climax of the opening period
is
a massive Neapolitan sixth, and the
succeeding period is anchored on a tonic pedal, which from measures
19-23 alternates with D-flat. At measure 24, the Neapolitan recurs,
this time as the pivot for a sudden modulation to the parenthetical
key area of the exposition, A-flat major, a modulation that ushers in
one of Schubert's most rapturously ecstatic theme^.^
Schubert's growth between
1819
and
1820
is perhaps most
strikingly demonstrated by the transition that runs from measure 61
to measure
93;
in
no
previous work had Schubert been able to sus-
tain a chromatic modulatory passage over such a long period o f
time.
After implying A-flat minor, the first clear harmonic goal of the
passage is, surprisingly, the dominant of minor, at measure
77.
But the real purpose of the measures that immediately follow is to
transform G from a dominant to a tonic by backing it with its own
flat-VI (see Ex. 3 .
T he overall harmonic direction of the transition is finally de-
fined by the resolution of the augmented sixth at measure
85
to 1:
of G minor. And, with an effect very similar to the one he had
created near the end of the song De r Tod
und
m Madchen, Schu-
6Alfred Einstein,
chuhert
London, 1951), p 182 Einstein applies these words
to the movement as a whole.
574
The
Musical Quarterly
From
then until
the
next
November the Deutsch catalogue lists only
thirteen
lesser works, not
one
of which contains a sonata-form move
ment.
But during
December Schubert
composed six
new
works,
among
them the Qllartettsatz
in
C minor, D. 703, which has often
been
acclaimed as his first masterpiece.
For
this study especially,
the
Quartettsatz
marks a
major articulation in Schubert's
career, for in
it Schubert seems to have wished to test the thematic stability of
sonata
form to its very limits.
While
this movement is still to
be
understood
in
sonata form,
one of the
most crucial
structural
members of that
form
is missing,
in
that
after the repeat
of
the
exposition,
primary thematic
ma
terial
is heard only as
a coda, after the recapitulation has
run
its
course. No
other movement by
Schubert so strongly dramatizes the
difference
between the
functions of primary
and
secondary
material
in sonata form, for without the normal return of primary material
it becomes very difficult to demarcate
any
boundary at all between
development
and
recapitulation
in
this work.
The structure
of the
exposition, however, is extremely clear. The
primary material
saturates C
minor with
the
coloring
of D-flat: the
climax of the
opening
period is a massive Neapolitan sixth,
and
the
succeeding
period
is
anchored on
a
tonic
pedal, which from measures
19-23 alternates with D-flat. At
measure
24, the Neapolitan recurs,
this time as
the
pivot for a sudden modulation to
the
parenthetical
key area of the exposition, A-flat major, a
modulation that
ushers
in
one of
Schubert's
most rapturously ecstatic themes.
6
Schubert's growth
between
1819
and
1820 is perhaps most
strikingly demonstrated
by
the transition
that runs
from measure 6
to
measure
93;
in
no
previous
work
had
Schubert been able
to sus
tain
a chromatic modulatory passage over such a
long
period of time.
After implying A-flat
minor,
the first
clear
harmonic goal of
the
passage is, surprisingly, the
dominant
of C minor,
at
measure 77.
But
the
real purpose
of the measures that immediately follow is to
transform
G from a
dominant
to a tonic by
backing it
with its own
flat-VI (see Ex. 3).
The overall
harmonic
direction of the transition is finally de
fined
by the resolution of the
augmented
sixth
at
measure
83
to
I
of G minor. And, with an effect very similar to
the
one
he had
created near the
end
of
the
song er
Tod und
d s Miidchen Schu-
6 Alfred Einstein,
Schubert
(London, 1951), p. 182. Einstein applies these words
to the movement as a whole.
574
The
Musical Quarterly
From
then until
the
next
November the Deutsch catalogue lists only
thirteen
lesser works, not
one
of which contains a sonata-form move
ment.
But during
December Schubert
composed six
new
works,
among
them the Qllartettsatz
in
C minor, D. 703, which has often
been
acclaimed as his first masterpiece.
For
this study especially,
the
Quartettsatz
marks a
major articulation in Schubert's
career, for in
it Schubert seems to have wished to test the thematic stability of
sonata
form to its very limits.
While
this movement is still to
be
understood
in
sonata form,
one of the
most crucial
structural
members of that
form
is missing,
in
that
after the repeat
of
the
exposition,
primary thematic
ma
terial
is heard only as
a coda, after the recapitulation has
run
its
course. No
other movement by
Schubert so strongly dramatizes the
difference
between the
functions of primary
and
secondary
material
in sonata form, for without the normal return of primary material
it becomes very difficult to demarcate
any
boundary at all between
development
and
recapitulation
in
this work.
The structure
of the
exposition, however, is extremely clear. The
primary material
saturates C
minor with
the
coloring
of D-flat: the
climax of the
opening
period is a massive Neapolitan sixth,
and
the
succeeding
period
is
anchored on
a
tonic
pedal, which from measures
19-23 alternates with D-flat. At
measure
24, the Neapolitan recurs,
this time as
the
pivot for a sudden modulation to
the
parenthetical
key area of the exposition, A-flat major, a
modulation that
ushers
in
one of
Schubert's
most rapturously ecstatic themes.
6
Schubert's growth
between
1819
and
1820 is perhaps most
strikingly demonstrated
by
the transition
that runs
from measure 6
to
measure
93;
in
no
previous
work
had
Schubert been able
to sus
tain
a chromatic modulatory passage over such a
long
period of time.
After implying A-flat
minor,
the first
clear
harmonic goal of
the
passage is, surprisingly, the
dominant
of C minor,
at
measure 77.
But
the
real purpose
of the measures that immediately follow is to
transform
G from a
dominant
to a tonic by
backing it
with its own
flat-VI (see Ex. 3).
The overall
harmonic
direction of the transition is finally de
fined
by the resolution of the
augmented
sixth
at
measure
83
to
I
of G minor. And, with an effect very similar to
the
one
he had
created near the
end
of
the
song er
Tod und
d s Miidchen Schu-
6 Alfred Einstein,
Schubert
(London, 1951), p. 182. Einstein applies these words
to the movement as a whole.
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575chubert s Recapitulations
Ex. 3 Qunrtet tsatz D . 703 mm 73-99
bert establishes the major mode with the E-natural in measure
90.
(It is remarkable that a diminished triad, that constant companion
of the minor mode, should here tip the balance in the other di-
rection.)
It is necessary to examine this particular cadence in such detail,
for its strength in the exposition is matched only by the Neapolitan
cadence at measure
13
In the absence of primary material it be-
comes the one strong cadence in the entire recapitulation. There is
no doubt as to the closing function of the remaining
fifty
measures
of exposition; indeed, so much harmonic instability demands a large
block of static tonic closure.
Th e opening fifty measures of the development need not be in-
spected here in great detail. They move from A-flat major (now
heard as the Neapolitan of
G),
through B-flat minor and D-flat ma-
jor, before embarking upon a sequence that opens through a by-
now-familiar augmented sixth onto the dominant of
G
minor at
measure
191
This dominant chord is immediately reduced to an
oscillation between D and C-sharp in the first violin. With one of
Schubert s Recapitulations 575
Ex. 3
Quartettsatz
D. 703, mm. 73·99
~ ~ t
F ~ ~ ~
~
.
j
.: ..
L
1
'
f t ·
: =
'I ,.d-.
~
b
.P
I":
~
..
=
j
- • .::
. I . r .
= I-
P.
.
> >
-
,-
--;-
w -
......---..
-
-
iii'
-
~
~
~
~
:1-. ... .
~
:t:.
I ~
/.'
/ . ~
7
-
-
I ...
-
>
,
J ; - - -
J¥
. : . - ~ ~ .
..
~ - ~ ~ ' ;..
'A
~
....
....--
-..--
~
-
- .
1 -
iJJ
: ~
I '
..
': ...-..
.....
-.-...
-
...."
-
>
>
,
~ w ·
-..c--
' C - '
-
bert
establishes
the
major
mode
with
the
E-natural in measure
90.
(It
is
remarkable
that a
diminished triad, that constant companion
of
the minor mode, should here
tip
the
balance
in
the other
di·
rection.)
t is necessary
to
examine this particular cadence in
such
detail,
for
its
strength in the exposition
is
matched only by the Neapolitan
cadence at measure
13.
In the
absence
of primary material it
be
comes
the one strong cadence in the entire recapitulation. There
is
no doubt
as
to the
closing
function
of the
remaining
fifty measures
of
exposition; indeed,
so
much harmonic instability demands
a large
block of static
tonic
closure.
The opening
fifty measures
of the
development
need not be
in
spected here in great detail. They move from
A-flat
major (now
heard
as
the
Neapolitan
of
G ,
through
B-flat
minor
and
D-flat ma
jor,
before
embarking
upon a sequence that opens
through
a by
now-familiar augmented
sixth
onto the dominant of
G
minor at
measure
191. This
dominant chord
is
immediately reduced to an
oscillation between
D and
C-sharp in the
first violin. With
one of
Schubert s Recapitulations 575
Ex. 3
Quartettsatz
D. 703, mm. 73·99
~ ~ t
F ~ ~ ~
~
.
j
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L
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: =
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~
b
.P
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=
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- • .::
. I . r .
= I-
P.
.
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-
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w -
......---..
-
-
iii'
-
~
~
~
~
:1-. ... .
~
:t:.
I ~
/.'
/ . ~
7
-
-
I ...
-
>
,
J ; - - -
J¥
. : . - ~ ~ .
..
~ - ~ ~ ' ;..
'A
~
....
....--
-..--
~
-
- .
1 -
iJJ
: ~
I '
..
': ...-..
.....
-.-...
-
...."
-
>
>
,
~ w ·
-..c--
' C - '
-
bert
establishes
the
major
mode
with
the
E-natural in measure
90.
(It
is
remarkable
that a
diminished triad, that constant companion
of
the minor mode, should here
tip
the
balance
in
the other
di·
rection.)
t is necessary
to
examine this particular cadence in
such
detail,
for
its
strength in the exposition
is
matched only by the Neapolitan
cadence at measure
13.
In the
absence
of primary material it
be
comes
the one strong cadence in the entire recapitulation. There
is
no doubt
as
to the
closing
function
of the
remaining
fifty measures
of
exposition; indeed,
so
much harmonic instability demands
a large
block of static
tonic
closure.
The opening
fifty measures
of the
development
need not be
in
spected here in great detail. They move from
A-flat
major (now
heard
as
the
Neapolitan
of
G ,
through
B-flat
minor
and
D-flat ma
jor,
before
embarking
upon a sequence that opens
through
a by
now-familiar augmented
sixth
onto the dominant of
G
minor at
measure
191. This
dominant chord
is
immediately reduced to an
oscillation between
D and
C-sharp in the
first violin. With
one of
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The hlusical Quarterly
his favorite gestures, Schubert treats
D
not as a dominant but as the
third of B-flat major, and at the same time adopts the Classical pro-
cedure of turning to secondary thematic material after the first epi-
sode of what has by now become an extensive development section.
One might now expect a modulatory treatment of this material,
leading to a dominant preparation for the recapitulation.
T o be sure, the first of these expectations is fulfilled as the sec-
ondary theme floats into its own subdominant as gracefully and as
surprisingly as it had sailed in, a moment before, in B-flat major.
Only when the theme runs its entire course in E-flat does one begin
to suspect that the proportions of what still should be the develop-
ment section are getting out of hand. When the theme cadences into
the minor mode, and into the same transition that had originally
followed it in the exposition, matters are confused still further. T h e
transition, although it seems at first very similar to its original, this
time takes a different course. Instead of modulating to of
G
minor, as it would have done by analogy to the exposition,
i t
changes direction at measure 239, after which,
substituting
new
melodic figuration for measures 80-83, it arrives on the dominant of
F
minor. At measure 245, there can no longer be any doubt: C minor
(shortly to become C major) is being prepared by just the same music
that prepared
G
at measures 81-92.
A natural reaction at this point, especially on a first hearing of
the movement, might be to say to oneself, That 's strange here's
the closing material already. I must have missed the start of the
recapitulation, for the cadence in major at measure 257 has the
finality and weight necessary to justify the literally transposed closing
material that now ensues. It is possil>:e, when one looks back over
the movement, to understand everything from the re turn of the
secondary theme at measure 195 to the end as recapitulation with
the primary material displaced to the closing bars. But such an
analysis, while it works on paper, goes against the psychological
effect of the piece. T he primary material, when it recurs, is un-
questionably a coda, not left-over recapitulatory material. Most im-
portant of all, the secondary theme, even if it were given dominant
preparation, would forever sound secondary in function. Formal
ambiguity, I think, must be accepted as one of the definitive fea-
tures of the
Quartettsatz
Schubert never again repeated the scheme of the
Quartettsatz
(While it is true that in the Unfinished Symphony the opening
576
The Musical Quarterly
his favorite gestures,
Schubert
treats D not as a dominant
but as the
third of B-flat
major,
and
at the
same
time
adopts
the
Classical pro
cedure
of
turning
to
secondary
thematic
material
after
the
first epi
sode of what has by
now become an
extensive
development
section.
One might now expect
a
modulatory treatment
of this
material,
leading to
a dominant
preparation
for the
recapitulation.
To
be
sure, the first of these expectations is fulfilled as the sec
ondary theme floats into its own subdominant as gracefully and as
surprisingly
as
it had
sailed
in,
a
moment
before,
in
B-flat
major.
Only
when
the
theme runs its
entire
course in E-flat does one
begin
to
suspect
that
the
proportions
of
what
still
should
be
the
develop
ment section are getting out of hand. When the theme cadences into
the minor mode, and into the same transition that had originally
followed it in the exposition, matters are confused still further. The
transition, although
it seems
at
first very
similar to
its original, this
time
takes a different course.
Instead
of modulating
to
V of G
minor, as it would have
done
by analogy
to
the exposition, it
changes
direction at
measure 239,
after
which, substituting
new
melodic figuration for measures 80-83, it arrives
on
the dominant of
F
minor.
At measure 245,
there
can
no longer
be any doubt: C minor
(shortly
to
become C major)
is
being prepared by just the same music
that prepared G
at
measures 81-92.
A
natural reaction at this point, especiaily on a first hearing of
the
movement,
might
be
to say to oneself, That's strange - here s
the closing
material
already. I must have missed the start of the
recapitulation,
for the cadence in C major
at
measure 257 has the
finality
and
weight necessary to justify the literally transposed closing
material
that
now
ensues.
It
is
possihle,
when
one
looks
back over
the movement, to understand
everything from the return of
the
secondary theme at measure 95
to
the end as a
recapitulation
with
the
primary
material displaced
to
the closing bars. But such an
analysis,
while it
works
on paper,
goes against
the
psychological
effect of the
piece.
The primary material, when
it recurs,
is
un
questionably
a coda, not left-over
recapitulatory
material. Most im
portant of all, the secondary theme, even if it were given dominant
preparation, would forever
sound
secondary in function.
Formal
ambiguity,
I
think, must be
accepted as
one
of
the
definitive fea
tures of
the Quartettsatz
Schubert
never again
repeated
the
scheme of the
Quartettsatz
(While it is true
that
in the
Unfinished
Symphony the opening
576
The Musical Quarterly
his favorite gestures,
Schubert
treats D not as a dominant
but as the
third of B-flat
major,
and
at the
same
time
adopts
the
Classical pro
cedure
of
turning
to
secondary
thematic
material
after
the
first epi
sode of what has by
now become an
extensive
development
section.
One might now expect
a
modulatory treatment
of this
material,
leading to
a dominant
preparation
for the
recapitulation.
To
be
sure, the first of these expectations is fulfilled as the sec
ondary theme floats into its own subdominant as gracefully and as
surprisingly
as
it had
sailed
in,
a
moment
before,
in
B-flat
major.
Only
when
the
theme runs its
entire
course in E-flat does one
begin
to
suspect
that
the
proportions
of
what
still
should
be
the
develop
ment section are getting out of hand. When the theme cadences into
the minor mode, and into the same transition that had originally
followed it in the exposition, matters are confused still further. The
transition, although
it seems
at
first very
similar to
its original, this
time
takes a different course.
Instead
of modulating
to
V of G
minor, as it would have
done
by analogy
to
the exposition, it
changes
direction at
measure 239,
after
which, substituting
new
melodic figuration for measures 80-83, it arrives
on
the dominant of
F
minor.
At measure 245,
there
can
no longer
be any doubt: C minor
(shortly
to
become C major)
is
being prepared by just the same music
that prepared G
at
measures 81-92.
A
natural reaction at this point, especiaily on a first hearing of
the
movement,
might
be
to say to oneself, That's strange - here s
the closing
material
already. I must have missed the start of the
recapitulation,
for the cadence in C major
at
measure 257 has the
finality
and
weight necessary to justify the literally transposed closing
material
that
now
ensues.
It
is
possihle,
when
one
looks
back over
the movement, to understand
everything from the return of
the
secondary theme at measure 95
to
the end as a
recapitulation
with
the
primary
material displaced
to
the closing bars. But such an
analysis,
while it
works
on paper,
goes against
the
psychological
effect of the
piece.
The primary material, when
it recurs,
is
un
questionably
a coda, not left-over
recapitulatory
material. Most im
portant of all, the secondary theme, even if it were given dominant
preparation, would forever
sound
secondary in function.
Formal
ambiguity,
I
think, must be
accepted as
one
of
the
definitive fea
tures of
the Quartettsatz
Schubert
never again
repeated
the
scheme of the
Quartettsatz
(While it is true
that
in the
Unfinished
Symphony the opening
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577chubert s Recapitulations
phrase of the first movement does not re turn , as in the Qztartettsatr
until the coda, its character is introductory, and its absence does not
at all confuse the beginning of the recapitulation.) From 1820 on,
Schubert s irregular recapitulations become less frequent , but when
they do occur, the issues of musical form that they raise are much
more complex than those raised by the irregular recapitulations of
Schubert s earlier works. Among his mature works, only a few use
recapitulations in non-tonic keys in the relatively straightforward
manner of, for example, the Fifth Symph~ny.~n fact, in order to
get at the essence of the recapitulations of the later movements in
our repertory, we must consider musical parameters beyond key plan
and thematic distribution.
T h e first movement of the String Quartet in
G
Major,
D
887,
can serve in this essay as a complement to the Qztartettsatr. Tovey
discussed its recapitulation in terms of Schubert s idiosyncratic al-
ternation of major and minor modes.8 However, the differences be-
tween primary material in the exposition and recapitulation go
much further than the change of mode; in fact, there is hardly any
congruence between the two passages, other than that they are both in
G.
The three-voice chord opening the work is rescored for only sec-
ond violin and viola at its return; the fortissimo quadruple-stopped
bowed chord at measure
3
is now piano and pizzicato; dotted rhythm
has become even eighth-notes; the sparse progression before the
fermata at measure
14
has been softened harmonically by the sub-
sti tution of E-natural for E-flat, and
i t
has grown tendrils of figura-
tion; finally, the tremolo originally following the fermata has been
replaced by a definite rhythmic texture. Nevertheless, the function
of the passage is never in doubt ; the changes in the primary material
only stress its formal stability. One might say that the primary ma-
terial is transformed in response to the inevitability of its own return.
T h e influence of Beethoven upon Schubert has been discussed
again and again, and recently Charles Rosen and Edward Cone have
added to the literature especially concrete evidence of that influ-
7T he finale of the Great C Major Symphony prepares its recapitulation with
a standard dominant pedal, but the primary material itself returns in E-flat major.
The
Grand Duo D. 812
contains an especially complicated example of nontonic re-
capitulation. The finale begins with a modulatory theme that moves from A minor to
C major; in the recapitulation, the theme begins in C minor and moves to E-flat;
finally, in the very extended coda, it begins in C minor and ends in
C
major.
8 Tovey, op. ci t .
p
119
Schubert's Recapitulations 77
phrase
of the
first
movement
does
not return,
as in
the
Quartettsatz
until the
coda, its
character
is
introductory, and
its absence does
not
at
all confuse
the beginning of
the
recapitulation.)
From
1820
on,
Schubert's irregular recapitulations become less
frequent,
but when
they do occur,
the
issues of musical form
that
they raise are much
more complex
than those raised by
the irregular
recapitulations
of
Schubert s
earlier
works. Among his
mature
works, only a few use
recapitulations in non-tonic keys in
the
relatively straightforward
manner
of, for example,
the Fifth
Symphony.7 In fact,
in order
to
get
at
the essence of
the
recapitulations of the later movements in
our
repertory, we
must
consider
musical
parameters
beyond
key
plan
and thematic distribution.
The
first
movement of the String Quartet in
G Major, D.
887,
can serve in this essay as a complement to
the
Quartettsatz. Tovey
discussed its
recapitulation in
terms
of
Schubert s idiosyncratic al
ternation of major and minor
modes.
s
However,
the
differences be
tween primary material in the exposition
and
recapitulation go
much
further than the
change
of
mode; in fact,
there
is hardly any
congruence between
the
two passages,
other than that
they are
both in
G.
The
three-voice
chord opening
the work
is
rescored for only sec-
ond violin and viola
at
its return;
the
fortissimo quadruple-stopped
bowed chord at measure 3 is now piano and pizzicato;
dotted rhythm
has become even eighth-notes; the sparse progression before
the
fermata
at
measure 4 has
been
softened harmonically by
the
sub
stitution
of
E-natural for E-flat, and
it
has grown tendrils
of
figura
tion;
finally,
the tremolo
originally following
the
fermata has
been
replaced by a definite rhythmic texture. Nevertheless, the function
of the
passage
is
never
in
doubt;
the changes
in the primary
material
only stress its formal stability.
One
might say
that the primary
ma
terial is transformed in response to
the
inevitability
of
its
own return.
The
influence of Beethoven upon
Schubert
has
been
discussed
again
and
again,
and
recently Charles Rosen
and Edward Cone
have
added
to
the
literature
especially concrete evidence
of that
influ-
7 The
finale
of
the Great C
Major
Symphony prepares its recapitulation with
a
standard dominant
pedal,
but
the primary
material itself
returns in
E·Hat major.
The
Grand Duo D. 812, contains
an
especially complicated
example
of non tonic
reo
capitulation.
The
finale begins
with
a modulatory
theme
that moves from A minor to
C major; in
the
recapitulation,
the theme
begins
in
C minor and moves to E·ftat;
finally, in the very extended coda, it begins in C minor and
ends
in C major.
s Tovey,
op. cit. p.
119.
Schubert's Recapitulations 77
phrase
of the
first
movement
does
not return,
as in
the
Quartettsatz
until the
coda, its
character
is
introductory, and
its absence does
not
at
all confuse
the beginning of
the
recapitulation.)
From
1820
on,
Schubert's irregular recapitulations become less
frequent,
but when
they do occur,
the
issues of musical form
that
they raise are much
more complex
than those raised by
the irregular
recapitulations
of
Schubert s
earlier
works. Among his
mature
works, only a few use
recapitulations in non-tonic keys in
the
relatively straightforward
manner
of, for example,
the Fifth
Symphony.7 In fact,
in order
to
get
at
the essence of
the
recapitulations of the later movements in
our
repertory, we
must
consider
musical
parameters
beyond
key
plan
and thematic distribution.
The
first
movement of the String Quartet in
G Major, D.
887,
can serve in this essay as a complement to
the
Quartettsatz. Tovey
discussed its
recapitulation in
terms
of
Schubert s idiosyncratic al
ternation of major and minor
modes.
s
However,
the
differences be
tween primary material in the exposition
and
recapitulation go
much
further than the
change
of
mode; in fact,
there
is hardly any
congruence between
the
two passages,
other than that
they are
both in
G.
The
three-voice
chord opening
the work
is
rescored for only sec-
ond violin and viola
at
its return;
the
fortissimo quadruple-stopped
bowed chord at measure 3 is now piano and pizzicato;
dotted rhythm
has become even eighth-notes; the sparse progression before
the
fermata
at
measure 4 has
been
softened harmonically by
the
sub
stitution
of
E-natural for E-flat, and
it
has grown tendrils
of
figura
tion;
finally,
the tremolo
originally following
the
fermata has
been
replaced by a definite rhythmic texture. Nevertheless, the function
of the
passage
is
never
in
doubt;
the changes
in the primary
material
only stress its formal stability.
One
might say
that the primary
ma
terial is transformed in response to
the
inevitability
of
its
own return.
The
influence of Beethoven upon
Schubert
has
been
discussed
again
and
again,
and
recently Charles Rosen
and Edward Cone
have
added
to
the
literature
especially concrete evidence
of that
influ-
7 The
finale
of
the Great C
Major
Symphony prepares its recapitulation with
a
standard dominant
pedal,
but
the primary
material itself
returns in
E·Hat major.
The
Grand Duo D. 812, contains
an
especially complicated
example
of non tonic
reo
capitulation.
The
finale begins
with
a modulatory
theme
that moves from A minor to
C major; in
the
recapitulation,
the theme
begins
in
C minor and moves to E·ftat;
finally, in the very extended coda, it begins in C minor and
ends
in C major.
s Tovey,
op. cit. p.
119.
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578
T h e hlusical Quarterly
e n ~ e . ~t is nevertheless necessary in this context, to bring up the
subject once more, for in recomposing his primary material in a
work like the
G
Major Quartet, Schubert had available to him as
models the recapitulations of some of Beethoven's most important
sonata-form movements. I n the case of Beethoven, as with Schu-
bert, we may establish a polarity between recapitulations that are
ambiguous and those that are transformed by their own structural
decisiveness.
T h e first movement of the
Sonata appass ionata
furnishes an ex-
ample of ambiguity; in this work the dominant pedal at the end of
the development refuses to resolve in response to the return of the
first theme at measure 135. The ear tries, perhaps, but is not able
to accept the C in the bass as a member of the tonic triad outlined
by the theme. Not until F minor becomes F major at the fortissimo
chords seventeen measures later does the
C
in the bass finally move
to the tonic. Th e same sort of ambiguity is to be found in the first
movement of Schubert's Piano Sonata in A Minor,
D 845
Schu-
bert's dominant pedal prepares not the tonic, but F-sharp minor, in
which key an imitative, modulatory expansion of the movement's
material begins at measure
146
As in the
Quar te t t s a t z
there is no
satisfactory way to isolate the precise moment where the recapitula-
tion begins, for the primary material shortly sequences into and
right on through -A minor. As in the
Appas s iona ta
the tonic does
not unequivocally return until the articulation at measure 186,
towards which the primary material, here and in the exposition, is
directed.
For transformed recapitulations in Beethoven, one might most
naturally turn to examples like the opening movements of the
Seventh and Eighth Symphonies, in which the primary material is
heroically amplified upon its return. Schubert, however, despite his
occasional efforts at adopting Beethoven's grand rhetorical style (as
in the A Minor Sonata of the previous example), was not naturally
attuned to this aspect of the older composer's personality. He seems
to have responded more deeply to the possibilities offered by the re-
capitulations of more lyrical movements, movements like the sec-
ond of the
P a s t o r a l S y m p h o n y
or the first of the Archduke Tr io .
9 Charles Rosen,
T h e Classical Style
(London, 1971), pp. 456-58; Edward
T
Cone,
Schubert's Beethoven, T h e Mus ic al Quar t e r ly LVI (1970), 779-93. Both writers con-
vincingly demonstrate that the rondo of Schubert's
A
Major Piano Sonata, D 959, is
mod eled after the rondo of Beethoven's Major Piano Sonata, Opus 31, No. I
78 The
Musical Quarterly
ence.
9
t is
nevertheless necessary
in
this context,
to bring up the
subject
once
more,
for
in
recomposing his primary material in a
work
like
the
G
Major
Quartet,
Schubert
had
available
to
him
as
models
the
recapitulations of some
of
Beethoven's most
important
sonata-form movements. In
the
case of Beethoven,
as with
Schu
bert, we may establish a polarity
between
recapitulations
that
are
ambiguous and those that are
transformed
by their own structural
decisiveness.
The
first
movement of the Sonata appassionata
furnishes
an
ex
ample
of ambiguity;
in
this
work the dominant
pedal at
the end
of
the
development
refuses
to
resolve
in
response
to
the
return
of
the
first theme at measure 135.
The
ear tries, perhaps, but
is
not able
to
accept
the
C
in the
bass
as
a
member
of
the tonic
triad
outlined
by
the
theme. Not
until
F
minor
becomes F
major
at
the
fortissimo
chords seventeen measures
later
does
the
C
in the
bass finally move
to
the tonic. The same sort of ambiguity
is to be
found
in
the first
movement of Schubert's Piano Sonata
in
A Minor, D. 845. Schu
bert's dominant
pedal prepares
not
the tonic, but F-sharp minor,
in
which key
an
imitative,
modulatory
expansion of
the
movement's
material
begins
at
measure 146. As in
the
Quartettsatz
there
is
no
satisfactory way
to
isolate the precise
moment where the
recapitula
tion begins, for the primary material shortly sequences into - and
right
on through
- A minor.
As in
the Appassionata
the tonic does
not unequivocally return until the articulation at measure 186,
towards which the primary
material, here
and
in
the exposition, is
directed.
For
transformed recapitulations in Beethoven, one might most
naturally
turn
to
examples like
the
opening
movements
of
the
Seventh
and Eighth
Symphonies,
in
which
the primary material is
heroically amplified upon its return. Schubert, however, despite his
occasional efforts at adopting Beethoven's grand rhetorical style (as
in the A
Minor
Sonata of
the
previous example), was
not
naturally
attuned
to this aspect of the older composer's personality. He seems
to have responded
more
deeply to
the
possibilities offered by
the
re
capitulations
of more lyrical movements, movements like the sec
ond
of the
Pastoral ymphony or the
first of the Archduke
Trio.
9 Charles
Rosen,
The Classical Style
(London, 1971),
pp.
456-58;
Edward T.
Cone,
Schubert's
Beethoven,"
The Musical Quarterly
LVI (1970), 779-9 1. Both writers con·
vincingly
demonstrate that the rondo of
Schubert'S A
Major Piano
Sonata, D. 959, is
modeled after
the rondo
of
Beethoven's G Major
Piano
Sonata, Opus II,
No.1.
78 The
Musical Quarterly
ence.
9
t is
nevertheless necessary
in
this context,
to bring up the
subject
once
more,
for
in
recomposing his primary material in a
work
like
the
G
Major
Quartet,
Schubert
had
available
to
him
as
models
the
recapitulations of some
of
Beethoven's most
important
sonata-form movements. In
the
case of Beethoven,
as with
Schu
bert, we may establish a polarity
between
recapitulations
that
are
ambiguous and those that are
transformed
by their own structural
decisiveness.
The
first
movement of the Sonata appassionata
furnishes
an
ex
ample
of ambiguity;
in
this
work the dominant
pedal at
the end
of
the
development
refuses
to
resolve
in
response
to
the
return
of
the
first theme at measure 135.
The
ear tries, perhaps, but
is
not able
to
accept
the
C
in the
bass
as
a
member
of
the tonic
triad
outlined
by
the
theme. Not
until
F
minor
becomes F
major
at
the
fortissimo
chords seventeen measures
later
does
the
C
in the
bass finally move
to
the tonic. The same sort of ambiguity
is to be
found
in
the first
movement of Schubert's Piano Sonata
in
A Minor, D. 845. Schu
bert's dominant
pedal prepares
not
the tonic, but F-sharp minor,
in
which key
an
imitative,
modulatory
expansion of
the
movement's
material
begins
at
measure 146. As in
the
Quartettsatz
there
is
no
satisfactory way
to
isolate the precise
moment where the
recapitula
tion begins, for the primary material shortly sequences into - and
right
on through
- A minor.
As in
the Appassionata
the tonic does
not unequivocally return until the articulation at measure 186,
towards which the primary
material, here
and
in
the exposition, is
directed.
For
transformed recapitulations in Beethoven, one might most
naturally
turn
to
examples like
the
opening
movements
of
the
Seventh
and Eighth
Symphonies,
in
which
the primary material is
heroically amplified upon its return. Schubert, however, despite his
occasional efforts at adopting Beethoven's grand rhetorical style (as
in the A
Minor
Sonata of
the
previous example), was
not
naturally
attuned
to this aspect of the older composer's personality. He seems
to have responded
more
deeply to
the
possibilities offered by
the
re
capitulations
of more lyrical movements, movements like the sec
ond
of the
Pastoral ymphony or the
first of the Archduke
Trio.
9 Charles
Rosen,
The Classical Style
(London, 1971),
pp.
456-58;
Edward T.
Cone,
Schubert's
Beethoven,"
The Musical Quarterly
LVI (1970), 779-9 1. Both writers con·
vincingly
demonstrate that the rondo of
Schubert'S A
Major Piano
Sonata, D. 959, is
modeled after
the rondo
of
Beethoven's G Major
Piano
Sonata, Opus II,
No.1.
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579chubert's Recapitulations
In both these movements, the weight of the return to the tonic
brings about the transformation of the entire primary texture. It
is a mark of Schubert's strong individuality that in such recapitula-
tions one is hardly aware of Beethoven's presence. Even in the
Great C Major Symphony, which has been cited as a clear dem-
onstration of Beethoven's influence,IO Schubert's pianissimo re-
capitulation is at once the antithesis of Beethoven's grand style, and
one of the most brilliant uses of dynamics to articulate structure in
the symphonic literature. In fact, after
1820
texture and dynamics
play essential roles in delineating Schubert's recapitulations.
For a final example, let us turn to the recapitulation of the first
movement of the Piano Tr io in B-flat, D. 898, a recapitulation in
which the elements we have so far considered as separate categories
-tonality, formal ambiguity, and the structural use of texture-
are all operative.
As is usually the case in his later works, Schubert's techniques
of exposition are directed towards furnishing his expansive melodies
with all the space they demand. On this occasion, Schubert does not
separate tonic from dominant with a new theme in a parenthetical
key area; he instead integrates primary material and transition into
a long double period, as follows:
A: measures 1-12: T h e first theme, in B-Hat; closed.
measures 12-18: A sequential modulation to V of vi.
measures 18-25: An extension of
V
of vi, returning to B-flat in measures
24-25 through its dominant.
A':
measures 26-37: The first theme again, rescored, and this time modulating
to a closed ending in V.
measures 37-51: An extension of the modulation
of
measures 12-18, lead-
to V of iii.
measures 51-58: An extension of V or iii, at the end of which A-natural be-
comes the third of F major, and the first note of the secondary theme.
For the purposes of our discussion, the instrumentation of the
primary theme is ultimately the most crucial aspect of the passage.
T h e return of the theme at measure
26
with the figuration of strings
and piano interchanged, the dynamics reduced from forte to piano,
and repeated piano attacks replaced by plucked strings, is, in terms
of sonority, the complement of the first measures of the movement
(see
Ex. 4).
1
Hans Hollander. "Die Beethoven-Reflexe in Schubert's grosser C-dur-Sinfonie."
Die neue Zei tschrif t
ur
Musik
CXXVI
(May , 1965 ,
183-95.
Schubert's Recapitulations
579
n both these movements, the weight of the
return to
the tonic
brings
about the transformation of the entire primary texture.
t
is
a
mark
of
Schubert's
strong individuality
that
in
such recapitula
tions one is hardly aware of Beethoven s presence. Even in
the
Great C Major Symphony, which has been cited as a clear dem
onstration of Beethoven s influence,lO Schubert s pianissimo re
capitulation is at once
the
antithesis of Beethoven s grand style,
and
one
of the
most
brilliant
uses
of
dynamics to
articulate
structure in
the symphonic literature. n fact,
after
1820, texture and dynamics
play essential roles in delineating Schubert's recapitulations.
For
a final example,
let
us
turn
to
the
recapitulation of the
first
movement of the Piano Trio in B-flat, D. 898, a recapitulation in
which
the
elements we have so far considered
as
separate categories
- tonality, formal
ambiguity,
and the structural use of t xtu -
are all operative.
As
is usually
the
case in his later works, Schubert s techniques
of exposition
are
directed towards furnishing his expansive melodies
with
all the space they
demand. On
this occasion, Schubert does not
separate tonic from
dominant
with a new theme in a parenthetical
key area; he instead integrates
primary
material and
transition into
a long double period, as follows:
A: measures
1-12:
The first theme, in B-flat; closed.
measures 12-18: A sequential modulation to V of vi.
measures 18-25: An extension of V
of
vi,
returning
to B-flat
in
measures
24-25 through its
dominant.
A : measures 26-37: The first theme again, rescored, and this time modulating
to a closed ending in
V.
measures 37-51: An extension
of
the modulation of measures
12-18,
lead
to V
of
iii.
measures 51-58:
An
extension
of
V or iii,
at
the
end of
which A·natural be
comes the third of F major, and the first note of the secondary theme.
For the
purposes
of
our discussion,
the
instrumentation
of the
primary
theme is ultimately the most crucial aspect of the passage.
The
return
of the theme
at
measure 26,
with
the figuration of strings
and piano interchanged,
the
dynamics reduced from forte to piano,
and repeated piano attacks replaced by plucked strings, is, in terms
of
sonority,
the complement of
the
first measures
of the movement
(see Ex. 4).
10 Hans
Hollander, Die
Beetho\ en-ReHexe
in
Schubert's grosser C-dur·Sinfonie,
Die n u Zeitschrift filr Musik CXXVI (May, 1965), 18 1-95.
Schubert's Recapitulations
579
n both these movements, the weight of the
return to
the tonic
brings
about the transformation of the entire primary texture.
t
is
a
mark
of
Schubert's
strong individuality
that
in
such recapitula
tions one is hardly aware of Beethoven s presence. Even in
the
Great C Major Symphony, which has been cited as a clear dem
onstration of Beethoven s influence,lO Schubert s pianissimo re
capitulation is at once
the
antithesis of Beethoven s grand style,
and
one
of the
most
brilliant
uses
of
dynamics to
articulate
structure in
the symphonic literature. n fact,
after
1820, texture and dynamics
play essential roles in delineating Schubert's recapitulations.
For
a final example,
let
us
turn
to
the
recapitulation of the
first
movement of the Piano Trio in B-flat, D. 898, a recapitulation in
which
the
elements we have so far considered
as
separate categories
- tonality, formal
ambiguity,
and the structural use of t xtu -
are all operative.
As
is usually
the
case in his later works, Schubert s techniques
of exposition
are
directed towards furnishing his expansive melodies
with
all the space they
demand. On
this occasion, Schubert does not
separate tonic from
dominant
with a new theme in a parenthetical
key area; he instead integrates
primary
material and
transition into
a long double period, as follows:
A: measures
1-12:
The first theme, in B-flat; closed.
measures 12-18: A sequential modulation to V of vi.
measures 18-25: An extension of V
of
vi,
returning
to B-flat
in
measures
24-25 through its
dominant.
A : measures 26-37: The first theme again, rescored, and this time modulating
to a closed ending in
V.
measures 37-51: An extension
of
the modulation of measures
12-18,
lead
to V
of
iii.
measures 51-58:
An
extension
of
V or iii,
at
the
end of
which A·natural be
comes the third of F major, and the first note of the secondary theme.
For the
purposes
of
our discussion,
the
instrumentation
of the
primary
theme is ultimately the most crucial aspect of the passage.
The
return
of the theme
at
measure 26,
with
the figuration of strings
and piano interchanged,
the
dynamics reduced from forte to piano,
and repeated piano attacks replaced by plucked strings, is, in terms
of
sonority,
the complement of
the
first measures
of the movement
(see Ex. 4).
10 Hans
Hollander, Die
Beetho\ en-ReHexe
in
Schubert's grosser C-dur·Sinfonie,
Die n u Zeitschrift filr Musik CXXVI (May, 1965), 18 1-95.
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580 The Musical Quarterly
x 4a. Piano Trio in B flat D . 898 1st mvt. mm.
1 5
~ l f e ~ r o
oderato.
x
4b.
m 26-30
The primary theme, with its first scoring, recurs@ the begin-
ning of the development, and, in paraphrase, near the end of the
movement measures 293-306), but not in the recapitulation. But
the absence of this full sonority serves only to strengthen the force
of its complement; it is the second version of the primary theme that
becomes the structural pivot in the recapitulation.
The approach to the recapitulation is prepared by an extended
pedal on F
measures 161-187); that is, by what would seem to be
the most conventional way of returning to B-flat. However, in the
ten measures preceding the return of the primary theme, it becomes
clear that the music is n F, not on it. In fact, Schubert is recalling
the close of the exposition, where the tonic was unequivocally F
major, and here the cadential six-four chord at measures 178 and
182 ensures that
F
still has this function.
In any event, Schubert is not preparing B-flat major at all.
Measures 184-187 are a paraphrase of the last four measures of the
exposition, which in their original version had made a crescendo
into either the repeat of the exposition or the beginning of the
development. Now these measures, with a decrescendo, modulate
into G-flat major as the primary theme returns see EX. 5).
580
The Musical Quarterly
Ex.
4a.
Piano Trio
in B fiat, D. 898, 1st mvt., mm. 1-5
Allegro moderato.
egro moderato.
Ex.4b.
Mm. 26-30
.... ... ..
.. ... ....
1 'I 'I 'i rT'T l rT'T l r T' I '\
p
u....L.J I
~
~
I P pin.
-
" ~
_ : ; ~
H ' ~ :
II
---
..
3 0>-
,..
_
L
' I '
pp
....
t I
~ ' It.
~ ~ .
..
;
..
..
-
The primary theme,
with
its first scoring, recurs,.jlt
the
begin
ning of the
development
and in paraphrase, near the
end
of the
movement
(measures 293-306),
but
not
in the
recapitulation.
But
the
absence of this full sonority serves only to strengthen
the
force
of its
complement;
it is the second version of
the
primary theme
that
becomes
the structural
pivot
in the
recapitulation.
The
approach to
the recapitulation is
prepared
by an extended
pedal
on
F (measures 161-187);
that
is, by what would seem
to
be
the
most conventional
way of returning
to
B-fl.at. However, in
the
ten measures preceding
the
return
of
the
primary theme, it becomes
clear that
the
music is
n
F, not on it. In fact,
Schubert
is recalling
the
close of
the
exposition, where the tonic was unequivocally F
major and here the cadential six-four chord at measures 178 and
182 ensures that F still has this function.
In any event, Schubert is
not
preparing B-fl.at major at all.
Measures 184-187
are
a
paraphrase
of
the
last
four
measures
of the
exposition,
which
in their
original
version had made a crescendo
into
either
the repeat of the
exposition
or the
beginning
of the
development. Now these measures,
with
a decrescendo, modulate
into
G-fl.at major as the primary theme
returns
(see Ex. 5).
580
The Musical Quarterly
Ex.
4a.
Piano Trio
in B fiat, D. 898, 1st mvt., mm. 1-5
Allegro moderato.
egro moderato.
Ex.4b.
Mm. 26-30
.... ... ..
.. ... ....
1 'I 'I 'i rT'T l rT'T l r T' I '\
p
u....L.J I
~
~
I P pin.
-
" ~
_ : ; ~
H ' ~ :
II
---
..
3 0>-
,..
_
L
' I '
pp
....
t I
~ ' It.
~ ~ .
..
;
..
..
-
The primary theme,
with
its first scoring, recurs,.jlt
the
begin
ning of the
development
and in paraphrase, near the
end
of the
movement
(measures 293-306),
but
not
in the
recapitulation.
But
the
absence of this full sonority serves only to strengthen
the
force
of its
complement;
it is the second version of
the
primary theme
that
becomes
the structural
pivot
in the
recapitulation.
The
approach to
the recapitulation is
prepared
by an extended
pedal
on
F (measures 161-187);
that
is, by what would seem
to
be
the
most conventional
way of returning
to
B-fl.at. However, in
the
ten measures preceding
the
return
of
the
primary theme, it becomes
clear that
the
music is
n
F, not on it. In fact,
Schubert
is recalling
the
close of
the
exposition, where the tonic was unequivocally F
major and here the cadential six-four chord at measures 178 and
182 ensures that F still has this function.
In any event, Schubert is
not
preparing B-fl.at major at all.
Measures 184-187
are
a
paraphrase
of
the
last
four
measures
of the
exposition,
which
in their
original
version had made a crescendo
into
either
the repeat of the
exposition
or the
beginning
of the
development. Now these measures,
with
a decrescendo, modulate
into
G-fl.at major as the primary theme
returns
(see Ex. 5).
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Schubert's Recapitulations 581
Ex 5 P i a n o T r i o i n B-flat, D . 8 9 8 ,
mm
181-199
As Felix Salzer has pointed out, the first phrase of this theme
now begins exactly as it had in the exposition, thematically and
harmonically, even repeating the opening measures on the
supertonic. I1 Yet the passage is delicately ambiguous. This am-
biguity is not caused by the G-flat tonic in itself; as we have seen
already, any well-prepared key can serve in Schubert's music
as
a
stable framework for the return of primary material. T he point is
that G-flat has ot been well prepared; by preventing the F in the
bass at measure 184 from moving down to D-flat, Schubert deprives
G-flat of the authoritative stability that only a root-position authentic
cadence could have provided. This tonal instability becomes more
pronounced in the next few measures, as the consequent primary
Die Sonatenform bei Schubert , Studien zu Musik wissensch aft, XV 192 8). 123.
Schubert's
Recapitulations
581
Ex. 5 Piano Trio in B-flat, D. 898, mm. 181-199
As
Felix
Salzer has
pointed out,
the first phrase of this theme
now begins exactly as it
had
in the exposition, thematically and
harmonically, even repeating
the
opening measures on
the
supertonic. ll Yet the passage
is
delicately ambiguous.
This
am
biguity
is not caused by
the
G-flat tonic
in
itself; as we have seen
already, any well-prepared key can serve in Schubert's music as a
stable framework for the return of primary material.
The
point
is
that G-flat has ot been well prepared; by preventing the F in the
bass at measure 184 from moving down to D-flat, Schubert deprives
G-flat
of the authoritative
stability
that
only
a root-position
authentic
cadence
could
have provided. This tonal instability becomes more
pronounced in the next few measures, as the consequent primary
Die
Sonatenform bei Schubert,
Studien zur Musikwissenschaft
XV (1928). 125.
Schubert's
Recapitulations
581
Ex. 5 Piano Trio in B-flat, D. 898, mm. 181-199
As
Felix
Salzer has
pointed out,
the first phrase of this theme
now begins exactly as it
had
in the exposition, thematically and
harmonically, even repeating
the
opening measures on
the
supertonic. ll Yet the passage
is
delicately ambiguous.
This
am
biguity
is not caused by
the
G-flat tonic
in
itself; as we have seen
already, any well-prepared key can serve in Schubert's music as a
stable framework for the return of primary material.
The
point
is
that G-flat has ot been well prepared; by preventing the F in the
bass at measure 184 from moving down to D-flat, Schubert deprives
G-flat
of the authoritative
stability
that
only
a root-position
authentic
cadence
could
have provided. This tonal instability becomes more
pronounced in the next few measures, as the consequent primary
Die
Sonatenform bei Schubert,
Studien zur Musikwissenschaft
XV (1928). 125.
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58 T h e Musical Quarterly
phrase in A-flat minor fails to parallel the analagous phrase in the
exposition, and modulates into D-flat major at measure 198.
Whatever little decisive strength the return to primary material
in G-flat may have had has now been considerably diluted, and mat-
ters become still more confused when the primary theme, complete
with its supertonic phrase, begins all over again in D-flat; but at
last Schubert is ready to return to the true tonic. In the middle of
the consequent phrase in E-flat minor the music hesitates, and, with
the substitution of G-natural for G-flat, E-flat major is revealed as
the subdominant of B-flat major. With the arrival of the tonic Schu-
bert restates the primary theme yet again, but now restored to the
second of its two settings from the exposition. He this time allows
the theme to the stay in the tonic the analogous measures in the
exposition had modulated to the dominant), and by so doing he is
able to transpose the remainder of the exposition material without
further alteration.
Words can express the logic of this synchronization of tonal and
textural parameters, but not the feelings of crystallization, of finely
adjusted machinery clicking gently into place, that accompany
measure 211. Here is one of those moments of controlled under-
statement that even the most accomplished composers can hope to
achieve only a few times in their lives.
58
The Musical Quarterly
phrase
in
A-flat minor fails to parallel the analagous phrase
in
the
exposition,
and
modulates into D-flat
major at
measure 198.
Whatever little
decisive
strength the
return
to primary material
in
G-flat may have
had
has now been considerably diluted,
and
mat
ters become still more confused when the primary
theme, complete
with its supertonic phrase, begins all over again
in
D-flat; but at
last Schubert
is
ready to return to the true tonic.
In
the middle of
the consequent phrase
in
E-flat minor the music hesitates, and, with
the substitution of
G-natural
for G-flat, E-flat
major
is revealed as
the
subdominant
of B-flat major. With the arrival of the tonic Schu
bert
restates
the primary theme
yet again,
but
now restored
to
the
second of its two settings from the exposition.
He
this time allows
the theme to the stay in the tonic the analogous measures
in
the
exposition had modulated to the dominant ,
and
by so doing he is
able to transpose the
remainder
of the exposition material
without
further
alteration.
Words can express the logic of this synchronization of tonal and
textural
parameters,
but
not the feelings
of
crystallization,
of
finely
adjusted machinery clicking gently into place, that accompany
measure 211. Here is one of those moments of controlled under
statement that even the most accomplished composers can
hope
to
achieve
only
a few times in their lives.
58
The Musical Quarterly
phrase
in
A-flat minor fails to parallel the analagous phrase
in
the
exposition,
and
modulates into D-flat
major at
measure 198.
Whatever little
decisive
strength the
return
to primary material
in
G-flat may have
had
has now been considerably diluted,
and
mat
ters become still more confused when the primary
theme, complete
with its supertonic phrase, begins all over again
in
D-flat; but at
last Schubert
is
ready to return to the true tonic.
In
the middle of
the consequent phrase
in
E-flat minor the music hesitates, and, with
the substitution of
G-natural
for G-flat, E-flat
major
is revealed as
the
subdominant
of B-flat major. With the arrival of the tonic Schu
bert
restates
the primary theme
yet again,
but
now restored
to
the
second of its two settings from the exposition.
He
this time allows
the theme to the stay in the tonic the analogous measures
in
the
exposition had modulated to the dominant ,
and
by so doing he is
able to transpose the
remainder
of the exposition material
without
further
alteration.
Words can express the logic of this synchronization of tonal and
textural
parameters,
but
not the feelings
of
crystallization,
of
finely
adjusted machinery clicking gently into place, that accompany
measure 211. Here is one of those moments of controlled under
statement that even the most accomplished composers can
hope
to
achieve
only
a few times in their lives.