PROKOFIEV - Romeo y Julieta - Cinderella

PROKOFIEV’S ROMEO & JULIET AND CINDERELLA:

A COMPARISON OF LEADS

Carolyn Zoe Brouthers

A Thesis

Submitted to the Graduate College of Bowling Green

State University in partial fulfillment of

the requirements for the degree of

MASTER OF MUSIC

August 2011

Committee:

Nora Engebretsen, Advisor

Gene Trantham

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ABSTRACT

Nora Engebretsen, Advisor

Sergei Prokofiev (1891-1953) composed several ballets over the course of his career,

including two based on well-known written works: Romeo and Juliet by William Shakespeare

and Cinderella. Their parallel characters and somewhat parallel storylines allow for comparative

analysis of certain pieces. Because the ballets are both love stories, pieces characterizing the

lovers individually and as couples are considered. The purpose of this work is to determine what

musical structures contribute to characterization, if the use of those structures is consistent across

the ballets, and if/how they match aspects of Prokofiev’s musical language described by other

analysts.

The pieces from Romeo and Juliet examined in this paper are “Romeo,” “Juliet,” and

“Love-Dance.” Parallel pieces from Cinderella are “Cinderella,” “The Prince,” and “Duet – The

Prince and Cinderella.” Form, phrase structure, melodic tendency, motive, tonal center, cadence,

and chromatic displacement are all considered in the analyses. Of these, the structures that

contribute most to characterization are form, phrase structure, motive, tonal center, and cadence.

Melodic tendency sometimes plays a role in defining a character, but not consistently; chromatic

displacement has no significant effect. Few of the structures are used to the same effect in both

ballets.

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For Dr. Snodgrass, without whom I would not have thought to pursue music theory.

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ACKNOWLEDGEMENTS

Dr. Engebretsen, thank you for your dedication, patience, and good humor in helping me

complete this thesis in the short amount of time we had. Dr. Trantham, thank you for reading my

thesis, giving helpful suggestions, and being you.

I would also like to thank all of my theory professors from Appalachian State University

and Bowling Green State University for encouraging my pursuit of music theory.

Mom, your happy dances delight me! Thank you for dancing whenever I succeed.

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TABLE OF CONTENTS

Page

CHAPTER I. INTRODUCTION........................................................................................... 1

CHAPTER II. ROMEO AND JULIET ................................................................................. 5

Romeo…………….................................................................................................... 5

Juliet…………........................................................................................................... 17

Love-Dance………………………………………………………………………… 31

Summary…………………………………………………………………………… 43

CHAPTER III. CINDERELLA ............................................................................................. 47

Cinderella………....................................................................................................... 47

The Prince……… ...................................................................................................... 63

Duet – The Prince and Cinderella………………………………………………….. 73

Summary…………………………………………………………………………… 86

CHAPTER IV. COMPARISON OF ROMEO AND JULIET AND CINDERELLA........... 92

Romeo and the Prince ................................................................................................ 92

Juliet and Cinderella .................................................................................................. 97

Love-Dance and Duet……………………………………………………………… 101

Conclusions………………………………………………………………………… 105

BIBLIOGRAPHY.................................................................................................................. 107

APPENDIX: FORM CHARTS ............................................................................................. 108

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LIST OF EXAMPLES

Example Page

2.1 Beginning of “Romeo” (mm. 1-5) ............................................................................. 6

2.2 New basic idea (b.i. 2) juxtaposed with presumed original basic idea (b.i. 1), “Romeo”

(mm. 7-9)…………………………………………………………………………… 7

2.3 Lyrical theme, beginning of the B section, “Romeo” (mm. 15-17)........................... 8

2.4 Octave displacement of introductory harmonic pattern, “Romeo” (mm. 15-18) ...... 8

2.5 Codetta, “Romeo” (mm. 41-44)................................................................................. 10

2.6 Altered cadences ........................................................................................................ 13

2.6a. Chromatic substitution, altered-PAC; from Romeo and Juliet “Romeo”

(mm. 42-43)

2.6b. Mediant substitute for dominant harmony, altered-PAC; from Romeo and

Juliet “Juliet” (m. 2)

2.6c. Predominant simultaneity with dominant harmony, altered-IAC; from .

Cinderella “Duet” (mm. 5-6)

2.7 IACs with non-chord tones, “Romeo” (mm. 6-7, 13-14) .......................................... 14

2.8 Alternate readings of unaltered IACs, “Romeo” (mm. 22-23, 30-31)....................... 15

2.9 Two-measure group characteristic of the A section, “Juliet” (mm. 1-2)…………... 19

2.10 Beginning of B section, “Juliet” (mm. 9-13) ............................................................. 20

2.11 Antecedent phrase of C couplet, “Juliet” (mm. 27-30).............................................. 21

2.12 First phrase of D couplet, “Juliet” (mm. 43-48) ........................................................ 22

2.13 Antecedent phrase of D couplet, “Juliet” (mm. 48-51) ............................................. 22

2.14 Coda, “Juliet” (mm. 80-89)........................................................................................ 23

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2.15 Variation of antecedent melody in consequent phrase, “Juliet” (mm. 27-34) ........... 25

2.16 Small-scale version of mediant key relationship introduced in harmonic progression,

“Juliet” (m. 2) ............................................................................................................ 26

2.17 Small-scale semitone relationship? “Juliet” (mm. 50-51) ......................................... 27

2.18 Enharmonic VII, at a parallel moment with ex. 2.17; “Juliet” (mm. 62-63) ............. 28

2.19 Altered-PAC; Dominant has raised fifth, “Juliet” (m. 38)......................................... 29

2.20 Leaping PAC, “Juliet” (mm. 29-30) .......................................................................... 30

2.21 Altered-IAC, highest voice resolves by leap, inner voice cannot double resolution,

“Juliet” (mm. 41-42 ................................................................................................... 30

2.22 Elided cadence of (a) theme, “Love-Dance” (mm. 13-16) ........................................ 33

2.23 Theme (d), including predominant half cadence, “Love-Dance” (mm. 18-22)......... 34

2.24 Theme (e), “Love-Dance” (mm. 42-46) .................................................................... 34

2.25 Theme (f), “Love-Dance” (mm. 34-38)..................................................................... 35

2.26 Theme (i), “Love-Dance” (mm. 92-95) ..................................................................... 36

2.27 Beginning of B section, theme (g), “Love-Dance” (mm. 57-60)............................... 37

2.28 Tonic bass displaced to sound under “dominant” ii7, then transformed into submediant

harmony through passing motion, “Love-Dance” (mm. 62-64) ................................ 37

2.29 Similar opening rhythms of themes (a) and (d), “Love-Dance” ................................ 38

2.29a. Opening rhythm, theme (a) (mm. 4-6)

2.29b. Opening rhythm, theme (d) (mm. 18-20)

2.30 Rhythmic and melodic similarities of themes (g) and (h), “Love-Dance” ................ 40

2.30a. End of theme (g) (mm. 62-63)

2.30b. Beginning of theme (h) (mm. 64-65)

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2.31 Melodic motives in themes (g) and (h), “Love-Dance”............................................. 41

2.31a. Beginning of theme (g) (mm. 58-59)

2.31b. End of theme (h) (mm. 66-67)

3.1 Beginning of Cinderella’s first theme (mm. 1-5)....................................................... 48

3.2 Antecedent phrase of Cinderella’s second theme (mm. 11-15)................................. 49

3.3 Altered-IAC, “Cinderella” (mm. 22-23).................................................................... 51

3.4 Beginning of Cinderella’s third theme (mm. 28-29) ................................................. 52

3.5 Two formal interpretations of mm. 40-41, “Cinderella” ........................................... 53

3.6 Sequential, major-mode transition between C and B sections (E major and C major),

“Cinderella” (mm. 68-76) .......................................................................................... 56

3.7 Rhythmic motives across themes, “Cinderella”......................................................... 57

3.7a. Rhythmic motives a and b in A theme (mm. 3-4)

3.7b. Rhythmic motives a and b in B theme (mm. 17-18)

3.7c. Rhythmic motive b in C theme (mm. 41-42)

3.8 Melodic arpeggiation motive across themes, “Cinderella”........................................ 58

3.8a. Melodic arpeggiation motive in A theme (m. 3)

3.8b. Melodic arpeggiation motive in B theme (m. 12)

3.9 Semitone motion from pc 6 in minor and major keys, “Cinderella” ......................... 59

3.9a. Traditional upward resolution of pc 6 to pc 7; raised fourth in a minor key

(mm. 3-4)

3.9b. Downward resolution of pc 6 to pc 5; lowered fifth in a major key

(mm. 13-14)

3.10 Melodic interval content of Cinderella’s first theme (mm. 1-5) ................................ 59

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3.11 Functional pitch-class motive in Cinderella’s B theme (mm. 12-15)........................ 61

3.11a. Score excerpt

3.11b. 5-line motive

3.12 Cross-representation of D♯ and F♯, “Cinderella” (mm. 49-50)................................. 62

3.13 The Prince’s basic idea, offset by one beat (mm. 134-137)....................................... 64

3.14 The Prince’s Introduction (mm. 124-125) ................................................................. 66

3.15 Codetta, “The Prince” (mm. 159-164)....................................................................... 67

3.16 Altered-PAC, “The Prince” (mm. 157-158) .............................................................. 68

3.17 First continuation, “The Prince” (mm. 130-134) ....................................................... 69

3.18 Beginning of second continuation, “The Prince” (mm. 138-142) ............................. 70

3.19 Beginning of third continuation, “The Prince” (mm. 152-155)................................. 70

3.20 Introduction, “Duet” (mm. 1-2) ................................................................................. 73

3.21 Beginning of codetta, “Duet” (mm. 51-53) ............................................................... 74

3.22 Beginning of A section, “Duet” (mm. 3-6)................................................................ 75

3.23 Beginning of B section, “Duet” (mm. 22-25) ............................................................ 77

3.24 Melodic segment of Period 2 also found in Period 3, transposed up and adjusted

metrically, “Duet” ...................................................................................................... 78

3.24a Basic idea (mm. 7-8)

3.24b. Contrasting idea (mm. 24-25)

3.25 Arpeggiated descent (?) to head tone, “Duet” (mm. 3-4) .......................................... 80

3.26 Final descent, including secondary support for scale degree 5 and chromatically displaced

scale degree 4, “Duet” (mm. 48-51) .......................................................................... 80

3.26a. Score excerpt...................................................................................... 80

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3.26b. Final descent ...................................................................................... 81

3.27 Altered-IAC, “Duet” (mm. 5-6)................................................................................. 82

3.28 Partial displacement and altered-IAC, “Duet” (mm. 29-31)...................................... 84

3.29 Shadow structure and surface structure of basic idea in A section of “Duet” reveals

chromatic displacement of scale degree 4 (mm. 3-6) ................................................ 85

LIST OF TABLES

Table Page

2.1 Form chart of “Juliet the Young Girl” ....................................................................... 18

2.2 Form chart of “Love-Dance” ..................................................................................... 32

2.3 Thematic layout of the B section, “Love-Dance”...................................................... 35

3.1 Form chart of Cinderella’s second theme ................................................................. 50

3.2 Form chart of “The Prince”........................................................................................ 64

3.3 Form chart of “Duet” (A B A’) ................................................................................. 76

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CHAPTER I. INTRODUCTION

Sergei Prokofiev (1891-1953) composed several ballets over the course of his career,

including two based on well-known written works: Romeo and Juliet and Cinderella. Both were

composed after Prokofiev’s return to the Soviet Union in 1935. Their parallel characters and

somewhat parallel storylines allow for comparative analysis of certain pieces. Like operas,

ballets have plots and musically defined characters. Unlike operas, ballets have no libretto to

help define the characters. Thus, all characterization is dependent on musical and choreographic

decisions; this paper is concerned only with the former. Because the ballets are both love stories,

pieces characterizing the lovers individually and as couples will be considered. This paper will

show that formal, melodic, and harmonic structures contribute to characterization, sometimes in

a consistent manner and sometimes on an individual basis.

Romeo and Juliet, conceived in 1934 and completed in 1938, received mixed reviews.

Musically, Romeo and Juliet received some criticism for “anti-Romanticism rationalism,”

evidenced by curt rhythms and modern harmonic and melodic tendencies.1 Romeo and Juliet is,

of course, William Shakespeare’s tragic tale of “A pair of star-crossed lovers”2 whose deaths end

the feud between their families. Originally, Prokofiev composed an altered ending in which

Romeo and Juliet live, because as Prokofiev said, “living people can dance, the dying cannot.”3

Such a drastic change to Shakespeare’s play was not acceptable to the audience, so Prokofiev’s

final product retains the tragic ending. Though he did not change the main characters’ themes,

Prokofiev’s decision to retain Shakespeare’s ending is of particular interest in the context of the

present study, as it introduces the possibility of foreshadowing.

1 Simon Morrison, The People’s Artist: Prokofiev’s Soviet Years (Oxford: Oxford University Press, 2009), 35.

2 William Shakespeare, Romeo and Juliet, Prologue line 6.

3 Quoted in Morrison, The People’s Artist, 37.

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Cinderella, which was completed in 1944 after four years of intermittent work, was

generally well-received, perhaps because it was in many ways patterned after Tchaikovsky’s

ballets.4 Prokofiev envisioned the ballet as “‘an updated classical ballet with its particular forms,

like the pas d’action, grand pas, and so forth.’”5 The story is based on the well-known Charles

Perrault version of the fairytale, in which the title character escapes mistreatment by her

stepmother (or stepsisters, in Prokofiev’s ballet) with the help of her fairy godmother, whose

magic enables Cinderella to go to the ball, where she and the Prince fall in love. The loss of one

of her magical glass slippers is the most famous part of the tale, and the clue which allows the

Prince to find and marry Cinderella, resulting in the requisite “happily ever after.”

In both of these ballets, Prokofiev treats the main characters very specifically. The

themes are representative not only of the characters’ actions, but of the “true psychology of the

two protagonists.”6 Romeo’s theme characterizes him as a jaunty young man whose innocence

yet remains. Juliet is “presented as an excitable young girl…a girl on the verge of womanhood,

her thoughts touching a new emotional depth.”7 Cinderella has three themes to define her, “the

first designating Cinderella’s suffering at the hands of her wicked stepsisters, the second her

dreams of a better future, and the third her passion for the Prince.”8 Her Prince “exudes ‘wind

and flame’; rejecting courtly etiquette, ‘he leaps onto the throne like a horseman into the

saddle.’”9 This description provides a basis for his musical characterization.

As each individual is represented by one or more themes unique to him/her, the couples

also are characterized musically through their partner dances. The stories end quite differently, of

4 Daniel Jaffe, Sergey Prokofiev (London: Phaidon Press, 1998), 188.

5 Morrison, The People’s Artist, 260.

6 Claude Samuel, Prokofiev, trans. Miriam John (New York: Marion Boyars Publishers, 2000), 135.

7 Jaffe, Sergey Prokofiev, 136.


9 Ibid, 260.

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course, and for purposes of comparison only partner dances at parallel moments in the ballets

will be considered. Specifically, the duets that follow the lovers’ first meetings seem appropriate.

Romeo and Juliet have a “Love-Dance” following the ball and balcony scene; Cinderella and the

Prince dance a “Duet” after they meet at the ball. There is one partner dance between the Prince

and Cinderella before the duet, but its immediate relationship to the music that comes before and

after it, coupled with the fact that it is not a private dance between the lovers, but observed by the

entire court, renders it less musically, emotionally, and developmentally (in terms of plot)

relevant than the private duet.

Several methods of analysis are necessary to gain a complete picture of each character

and the couples as they are embodied in the music. William Caplin’s theories are the basis for

formal analysis, including large-scale form and phrase structure.10

Melodic analysis, which is

closely related to the formal analysis, will focus primarily on tendencies and motives. Harmonic

analysis, which is also incorporated into the formal analysis, will focus on several distinct topics:

1) Cadences – types, approaches, and alterations; 2) Tonal Centers; and 3) Harmonic Curiosities,

including displacements. Effects of instrumentation and context will also be explored.

Other analyses of Prokofiev’s music generally focus on defining his musical language.

The most comprehensive study of either ballet is Ken Stephenson’s article, “Melodic Tendencies

in Prokofiev’s Romeo and Juliet,” after which some of the melodic analysis in this study is

patterned.11

Pieces from Romeo and Juliet, including part of Juliet’s theme, are discussed in

Deborah Rifkin’s “A Theory of Motives for Prokofiev’s Music.”12

She defines three types of

motives, systemic, functional pitch-class, and nonfunctional pitch-class motives, which are

10

William Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart,

and Beethoven, (New York: Oxford University Press, 1998). 11

Ken Stephenson, “Melodic Tendencies in Prokofiev’s Romeo and Juliet,” College Music Symposium 37 (1997). 12

Deborah Rifkin, “A Theory of Motives for Prokofiev’s Music,” Music Theory Spectrum 26 (2004).

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occasionally present in the ballets. Richard Bass’s article, “Prokofiev’s Technique of Chromatic

Displacement,” provides a basis for some harmonic analysis.13

Very little theoretical work has

been done on Cinderella, especially on the pieces used in this study. One purpose of this work is

to explore what roles, if any, Prokofiev’s musical language, including melodic tendency, motive,

and chromatic displacement, plays in characterizing the lovers of Romeo and Juliet and

Cinderella. Harmonic, melodic, and formal relationships between parallel pieces are established

and/or disproved, from whence the purposes of these relationships are explored. Are the

relationships purely aesthetic? Do they provide musical insight into the characters or plot? These

questions and others are addressed in an effort to round out the analysis.

To facilitate comparison, the ballets will be considered in separate chapters with parallel

structures. Chapter 2 is devoted to Romeo and Juliet, and Chapter 3 is devoted to Cinderella.

Both are divided into sections according to character/dance and each section is further organized

by analytical techniques. Chapter 4 will summarize comparative findings and present

conclusions.

13

Richard Bass, “Prokofiev’s Technique of Chromatic Displacement,” Music Analysis 7/2 (1998).

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CHAPTER II. ROMEO AND JULIET

Romeo & Juliet is, as everyone knows, a tale of star-crossed lovers. The protagonists end

unhappily, but their story does not begin that way. They are first introduced as individuals, going

about their lives without knowledge of each other or their fates. Romeo and Juliet each have their

own representative themes that not only identify the characters, but embody them. This chapter

will examine Romeo’s theme, Juliet’s theme, and the couples’ dance separately, showing how

these themes reflect the characters through adherence to/divergence from traditional formal

types, key relations, and melodic tendencies. It will conclude with a comparison of the

individuals’ and couple themes.

Romeo

Romeo is introduced early in the ballet (rehearsal 5) and his theme characterizes him as a

jaunty, still-innocent young man (see ex. 2.1). The Andante tempo and staccato, slightly march-

like articulation suggest a self-confident person who feels no hurry. Romeo’s theme is in small

ternary form, with the addition of a brief, slower codetta (mm. 41-44). In general it follows

Caplin’s requirements of small ternary form, most particularly in having an exposition (mm. 1-

14), contrasting middle (mm. 15-31), and recapitulation (mm. 32-40).1

1 Caplin, Classical Form, 13.

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Example 2.1: Beginning of “Romeo” (mm. 1-5)

The exposition seems at first to be the section most aligned with Caplin’s definitions. It

totals 14 measures and is made up of a repeated sentence. The first statement is only 7 measures

long, with the traditional two-measure basic idea followed by continuation and cadential

function. The end of the first sentence is elided with the beginning of the second (m. 7), which is

more normatively eight measures in length. Each sentence ends with an altered-IAC, a strong

recurring cadence to be discussed later. The A section modulates from tonic (F major) to

dominant (C major), during the continuation of the second sentence. The modulation takes place

in the part of the continuation that was missing in the first statement, providing an explanation

for the original abbreviation.

One way in which the A section does not conform to Caplin’s definitions, however, is in

the presence of a new basic idea in the second statement of the sentence (see ex. 2.2). In the first

statement, the basic idea is made up of the chordal harmonies played by harp and pizzicato

strings, supported by a tonic pedal. In the second statement, the original basic idea is recast as a

harmonization of a new, more melodic idea played by much lower instruments.

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Example 2.2: New basic idea (b.i. 2) juxtaposed with presumed original basic idea (b.i. 1),

“Romeo” (mm. 7-9)

An alternate reading of the exposition delays the true basic idea until the beginning of the

second phrase (m. 7), which also alters its form. In this reading, the first six measures would be

understood as introductory, not truly a part of the A section. Though the two phrases are very

closely related, the presence of a stronger melodic basic idea in the second suggests the second

reading is correct. So, the A section begins seven measures into the piece, preceded by a related

introduction. Instead of a repeated sentence, the A section is now Caplin’s Hybrid 3, a compound

basic idea followed by a continuation.2

The B section, or contrasting middle (mm. 15-31), is both related to and different from

the A section. In line with Caplin’s theories, it is harmonically contrasting from the exposition in

that the music almost immediately modulates to E major. The melody is different from the

exposition’s basic idea in several ways, most notably in rhythm, register, and articulation. Where

the basic idea of the A section was mostly sixteenth-notes, staccato, and low instruments

(bassoon, cello, and bass), the melody of the B section is made up primarily of eighth-notes,

played legato, and in a higher register (clarinet) (see ex. 2.3).


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Example 2.3: Lyrical theme, beginning of the B section, “Romeo” (mm. 15-17)

Supporting this new melody, however, is a familiar pattern. The chordal, harmonic

pattern first heard in the introduction and maintained in the A section is also in the B section, but

this time in E major. Octave displacement obscures the pattern slightly (ex. 2.4), especially in the

second section of the contrasting middle (mm. 23-31). The use of the introductory pattern as

accompaniment in the B section as well as the A section lends further support to beginning the A

section seven measures into the piece.

Example 2.4: Octave displacement of introductory harmonic pattern, “Romeo” (mm. 15-18)

The B section is clearly divided into two sections by an altered authentic cadence in E

major at m. 23. Not counting the melodic anacruses, each section is eight measures long,

implying another, smaller formal structure. This seems to be an exception to Caplin’s statement

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that “the contrasting middle is less often composed as a conventional theme-type…the B section

has a loose organization in relation to the more tight-knit A section.”3 In fact, though, the

contrasting middle is made up of two hybrid theme types; they are both the same theme type as

the A section, Hybrid 3. The second phrase (mm. 24-31) is a repetition of the first (mm. 15-23),

only in C major instead of E major. Though the B section uses a hybrid rather than a

conventional theme type, hybrids are still considered tight-knit; it is the second part of Caplin’s

statement that proves exceptional, not the first.

The recapitulation (mm. 32-40) is an exact recapturing of the A section, bar two notes.

This poses a problem in terms of harmonic closure, as the A section, and now the A’ section,

ends in the dominant. The codetta (mm. 41-44) that ends Romeo’s piece remedies the situation

by modulating back to F major.

Formally, “Romeo” sets the character up as fairly straightforward, uncomplicated, but

with a few surprises tucked away. The codetta acts as one of those surprises, a romantic side of

Romeo revealed (ex. 2.5). The ascending melody, slower tempo, change in instrumentation, and

thick major chords lend the codetta a dreamier quality than the rest of “Romeo.” One pictures

Romeo looking wistfully into the distance, dreaming of his one true love, but in the context of

“home,” grounded by a return to tonic.


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Example 2.5: Codetta, “Romeo” (mm. 41-44)

“Romeo” shows several melodic tendencies, only a couple of which are reflected in

Stephenson’s discoveries about melodic tendency in Romeo and Juliet in general.4 His study

focuses on melodic tendency of consecutive and non-consecutive pairs of pitch classes in

melodies from Romeo and Juliet, especially in relation to traditional tendencies like resolution of

the leading tone to tonic by stepwise motion. Because Prokofiev’s chromatic pitches can function

in several different ways (for example, Gb and F♯ can mean the same thing functionally in C),

Stephenson refers to notes by pitch class, where tonic = 0. Keeping that in mind, Stephenson

states that “traditional tendency tones 5 and 11 preserve their traditional roles, although they

assume new secondary roles as well.”5 In the case of Romeo’s theme, only the latter pc both

retains traditional tendency and assumes a new role. Pc 11 most often follows the traditional

tendency of resolution to pc 0, but does also move to pc’s 9 and 10, Stephenson’s “new

secondary roles.” Pc 5, on the other hand, does not follow the traditional tendency of moving

directly to pc 4. Instead, it goes first to pc 3 and from there to pc 4. However, the motion away

from pc 5 in “Romeo” does agree with Stephenson’s other findings – it never travels to pc 0 or

pc 11.

4 Stephenson, “Melodic Tendencies,” 116-118.

5 Ibid, 118.

11

Few of the remaining pitch classes move according to the positive tendencies of

Stephenson’s findings. That is, these pitch classes do not necessarily go to the expected pitch

classes, whether those expectations reflect traditional tendencies or new secondary roles. Much

of the melodic motion does, however, reflect the pitch classes’ negative tendencies, meaning the

expectation that a pitch class will not go to specific pitch class is fulfilled. In other words, pc 2 is

not likely to repeat or move by tritone; pc 4 never goes to pc 10; pc 7 is unlikely to go to pc’s 1

or 11; etc. While not all of the negative tendencies are recognized (for example, pc 8 moves to pc

4 as often as it moves to pc 9, a positive tendency), far more negative than positive tendencies

are observed. In general, despite sharing mostly negative tendencies with Stephenson’s results,

“Romeo” does follow his three principles: “(1) that any pitch may be followed by practically any

other pitch, although (2) conjunct motion is preferred, and (3) motion by tritone is avoided.”6

Some of the discrepancies are due to the fact that Stephenson’s study included only the B section

of Romeo’s theme, rather than the complete theme. This study considered the entirety of

Romeo’s theme.

Noticeably absent from Romeo’s theme is any type of Ursatz or derived motive.7 Though

pc 4 (scale degree 3) is one of the most frequent melodic notes, no satisfactory structural descent

occurs. Aside from the fact that the ternary proper does not end in tonic, half of the cadences,

including the cadence in the tonally resolving codetta, have ascending melodic figures. What’s

more, many of the pitches of the Urlinie would, by necessity, be in an inner voice. There are only

two small-scale 3-lines, both of which take place in the B section and overcome ascending

cadences. A larger, parallel descent does not occur, nor do parallel descents occur in any other

6 Stephenson, “Melodic Tendencies,” 118.

7 Because Prokofiev composed in the Modern style, Schenkerian analysis does not always fit with Prokofiev’s

music, or vice versa. This is especially relevant in such pieces as Cinderella’s “Duet,” where Prokofiev’s harmonic

and melodic language affect the Ursatz.

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section. As a result, the only possible motive is actually a repetition of the same motive in a

different key, which matches none of Rifkin’s requirements. The three motives she defines are as

follows: “[systemic] motives are diminutions of first-level middleground progressions; non-

functional pitch-class motives are ordered progressions of pitch classes; and functional pitch-

class motives are ordered progressions of pitch classes with scale-degree functions.”8

Prokofiev uses mainly authentic cadences in “Romeo,” but in a few cases they are altered

in some way. Alterations may take the form of chromatic substitutions for diatonic pitches,

mediant substitution for dominant harmony, or predominant substitution for/simultaneity with

dominant harmony (see ex. 2.6). According to Bass, a chromatic substitution “does not function

as an altered note, but represents a tonic one.”9 In this case, though the substitute functions as if

it were diatonic, it alters the quality of the chord and sound of the cadence, distinguishing it from

true diatonic cadences, which Prokofiev still regards as the strongest cadences. The mediant

substitution is stronger than the predominant substitution because of its typically major quality,

leaping bass, single common tone, and stepwise voice-leading. A predominant simultaneity with

dominant harmony, such as ex. 2.6c, is stronger than both substitution types because of its

retention of dominant harmony (enharmonically spelled), strong dominant-tonic bass motion,

and traditional voice-leading. Both perfect and imperfect cadences can be subject to alteration.

Many of these cadences are obscured by non-chord tones, which are often difficult to

distinguish from altered notes. Harmonic rhythm offers insight into which notes belong to a

chord and which are non-chord tones. The harmonic rhythm set up in the introduction sounds a

new harmony every quarter note. Understanding this to remain unchanged, cadences within the

A sections are all unaltered-IACs with chromatic non-chord tones on the beat (see ex. 2.7).

8 Rifkin, “A Theory of Motives,” 278.

9 Bass, “Chromatic Displacement,” 199.

13

Example 2.6: Altered cadences

2.6a. Chromatic substitution, altered-PAC;

from Romeo and Juliet “Romeo” (mm. 42-43)

Example 2.6: Altered cadences

2.6b. Mediant substitute for dominant harmony, altered-PAC;

from Romeo and Juliet “Juliet” (m. 2)

2.6c. Predominant simultaneity with dominant harmony, altered-IAC;

from Cinderella “Duet” (mm. 5-6)

14

Example 2.7: IACs with non-chord tones, “Romeo” (mm. 6-7, 13-14)

Cadences within the B section may be altered-PACs (mm. 22, 30), if only because they

end on a root-position tonic with scale degree 1 in the top voice (see ex. 2.8). However, there are

two possible harmonic readings of these cadences, both of which reveal the cadences to be IACs.

Though the harmonic rhythm has been the quarter-note, mm. 22 and 30 prolong the dominant

harmonies that fall on the downbeats. The bass arpeggiation ultimately results in an inverted

dominant, thereby creating an unaltered IAC. There is one problem with this reading: the seventh

of the dominant does not resolve down, but up. This suggests that the penultimate chord, though

it still prolongs the dominant, is in fact a leading-tone chord, viio6

. Because of the ascending

scale degree 4 and the lack of a dominant root in the penultimate chord, the best interpretation

considers these cadences unaltered leading-tone IACs.

15

Example 2.8: Alternate readings of unaltered IACs, “Romeo” (mm. 22-23, 30-31)

The single cadence in the codetta (mm. 42-43; see ex. 2.6a) relates closely to those of the

A sections in a few ways and references the B section in one way. The bass motion shows root-

position V to I, as the harmonic rhythm supports in the exposition and recapitulation. Though the

harmonic rhythm has slowed down for the codetta (one harmony per measure), the principle

remains the same. The harmony on top of the dominant bass, however, is E major, or VII in F.

Taking the bass and upper harmony together, a V+7

is formed. The root-position bass motion is

maintained while the upper voices move in the same smooth voice-leading as seen in the A

sections (the left hand of the piano is the exception, as it retains structure over voice-leading).

This forms an altered-PAC, the only “perfect” cadence in Romeo’s theme. The prominent use of

E major references the B section, the only other part of the piece to highlight that harmony as a

tonal center.

There are three tonal centers throughout “Romeo”: F major, C major, and E major. The

relationship between the first two is obvious; relationships between E and the other keys are less

so. As mentioned above, a connection can be made between the tonal center E major and the

penultimate cadential harmony E major. However, the tonal center lies between two C major

phrases while the cadential harmony functions as part of the return to tonic.

16

C and E have a mediant relationship, one that occurs elsewhere in Prokofiev’s ballet. The

use of a mediant relationship can imply maturity, as it is slightly more difficult to achieve than

the F-C modulation and is accomplished quite smoothly; it also might imply a small sense of

rebellion, as the keys are not closely related. In context, the first modulation between C and E

occurs between thematic ideas that characterize Romeo as first a jaunty youth and then a

romantic man. This suggests that the key relationship is indicative of some level of maturity.

Furthermore, the cadences in the lyrical B section are more normative, which argues against the

rebellious characterization.

In addition, the legato thematic idea of the B section sticks most closely to the diatonic

scale, first in E major and then in C major. Though the F major introduction and beginning of the

A section seem diatonic, the fourth scale degree is almost always raised. The only times it

appears diatonically are in cadential or modulating passages. This does not really affect the

stability of tonic, but does create a non-functional descending 5-6 sequence in the introduction.

Harmonic progression in the B section, on the other hand, begins normatively and functionally

(I – V6 – vi – vi

7) which, coupled with the use of primarily diatonic pitches and traditional

unaltered cadences, gives Romeo an aspect of maturity.

The brevity of Romeo’s theme implies a lack of depth, a misleading characterization.

Though Romeo is not too complicated, as portrayed by the form, the varied characters of the

thematic ideas reveal him to have many aspects. He is cocky, youthful, and romantic. The

regular presence of authentic cadences shows him to be sure of himself, while the slow,

ascending codetta provides a glimpse into his dreams. His maturity is portrayed through smooth

harmonic transitions between keys.

17

Juliet

The woman with whom Romeo falls in love is Juliet, and she is in fact little more than a

girl. However, her theme is much more elaborate than Romeo’s:

The most striking portrayal is that of Juliet, first presented as an excitable young

girl…But what follows is quite new for Prokofiev – a tender theme played by flute, with

a richly coloured counter-melody from solo cello; it perfectly captures the guileless

warmth of a girl on the verge of womanhood, her thoughts touching a new emotional

depth.10

Juliet’s theme (rehearsal 50) presents several different but complimentary aspects of her

character, as evidenced by the above quote. As a result, the form is more complex than that of

“Romeo.” “Juliet” is a modified rondo form, as evidenced by the returning refrain (A) (see table

2.1). Accompanying the exchange between refrain and couplet are textural, articulation, and

occasional tempo changes. The only real modification of rondo form is the insertion of a second

C-space after D, where the refrain should return. Without the second C, Juliet’s multi-part piece

would be a clear cut seven-part rondo with coda. As it is, the out-of-place reiteration of C implies

strongly that that particular theme is significant, either in characterizing Juliet or in

foreshadowing future events, or both.

10

Jaffe, Sergey Prokofiev, 136.

18

Table 2.1: Form chart of “Juliet the Young Girl”11

Section A B A C A

Measures 1-4 5-8 9-13 14-19 19-26 27-30 31-34 35-42

Theme Type modified period modified period mod.

period period

mod.

period

Tonal Center C C F-E E-C Ab A

Cadences altered-

PAC

altered-

PAC altered-IAC HC

altered-

PAC PAC PAC

altered-

IAC

Section D C A CODA

Measures 43-48 48-51 52-55 56-60 60-63 64-67 68-71 72-79 80-89

Theme

Type

phrase

group period

presentation + consequent

= uncommon hybrid period

mod.

period

Tonal

Center C F F-E F C

Cadences PC altered-

IAC

altered-

IAC

altered-

IAC PAC PAC

altered-

PAC

altered-

IAC

Aside from the slightly modified rondo form, the only other large-scale formal item of note is the

addition of a coda. The material is almost entirely new, with only one recognizable fragment of

an earlier motive (m. 82), drawn from the lengthy D couplet. Changes in tempo, dynamic,

texture, expressive marking, and instrumentation serve to separate this section from the rondo

proper. There is no harmonic reason to append this coda, as the final refrain ends on tonic.

Thematically, the coda offers no noteworthy material as nothing is developed even on a small

scale. Therefore, its relevance must be found in the interplay between the character of the refrain

and couplets.

The four A sections are almost identical, the most significant difference being tonal

center. The form of the refrain is slightly confused; while obvious relationships between two-

measure groups abound, the order of the groups defies traditional phrase structure analysis. The

11

All tables, excepting reproduced sections, can also be found in the Appendix. These may be helpful as an

overview while reading.

19

two-measure groups consist of an ascending or descending scale followed by a chordal cadential

group (ex. 2.9). However, the four scalar passages form more of an arch form than a traditional

theme type, as the pattern established is this: ascending – descending – descending – ascending.

Rhythmic differences, such as the use of sixteenth- and eighth-notes vs. only sixteenth-notes,

hint at a larger division of four measure phrases. Though the scalar passages beginning each

phrase move in opposite directions, they sound the same scale and harmony, creating a tonal

association in addition to the rhythmic association that determined four-measure phrases.

Leaving directionality aside, all other aspects of the phrases point toward a period structure.

Including directionality forces one to qualify the period as “modified.” The use of a modified

period in which everything is related but in the “wrong” order gives the A sections a sense of

playfulness, one aspect of Juliet’s character.

Example 2.9: Two-measure group characteristic of the A section, “Juliet” (mm. 1-2)

The form of the B section (mm. 9-18) is less unusual, but still imperfect (see ex. 2.10).

Four-measure phrases are easily distinguished and seem to form another, more correct period. A

closer look at the thematic and cadential aspects of each phrase reveals a new difficulty, though.

As shown in table 2.1, the cadence in the middle is an altered-IAC; the end cadence is a half

20

cadence. Furthermore, the two measures preceding the altered-IAC (mm. 11-12) give the

impression of standing on the dominant (they are actually standing on the supertonic) and make

use of a tonic pedal, two traits usually found at the end of traditional theme types. Leading up to

the half cadence is an idea more melodic than cadential, though it serves the latter purpose as

well. In essence, the two phrases of the B section are switched, affecting an even greater

modification of the period than that of the A section, though less motivically apparent. Of the

couplets, B is the most similar to the refrain in terms of tempo, articulation, and instrumentation.

All of these aspects in addition to the formal modification strengthen the impression of a playful,

mischievous, “excitable” young girl.

Example 2.10: Beginning of B section, “Juliet” (mm. 9-13)

The second couplet, C (ex. 2.11), provides the first glimpse of a different facet of Juliet’s

character: mature calm. This is accomplished formally by abandoning childish rearrangement of

phrases in favor of traditional phrase structure. The second couplet is a period, the only

normative period in the entire piece. It is practically a textbook example of the period, with two

four-measure phrases made up of a basic idea and contrasting idea and concluded with a

cadence. It may also be considered a repeated phrase, as the cadences are both unaltered PACs,

except for contextual clues. The first cadence does not sound as strong for several reasons,

including approach by leap and continuation of the preceding accompanimental pattern. For

21

these reasons, C is not merely a repeated phrase, but a period. Subtle alterations in the

consequent phrase, such as a stronger cadence, reveal Juliet’s maturity.

Example 2.11: Antecedent phrase of C couplet, “Juliet” (mm. 27-30)

The D section (ex. 2.12) is the longest section of the piece and also the most formally

haphazard. Most of the phrases are a very standard four measures long. The only exception is the

first phrase (mm. 43-48), which is six measures in length. Those six measures are only somewhat

related to everything that follows, suggesting that it functions in an introductory manner. Elided

with the end of the “introduction” is the beginning of a period (mm. 48-55), which involves a

change in texture but harmonically concludes the “introduction.” Interestingly, the basic idea

(mm. 48-49) is played by the cello while the contrasting idea (mm. 50-51), which involves

fragmentation, is primarily in the flute (see ex. 2.13). The same is true for the consequent phrase

(mm. 52-55), though the fragmentation and cello involvement in the contrasting idea are greater.

Cadences in this period pose more of a problem than those of the C section in that they are

equally strong (or equally weak) in different ways. The first (mm. 50-51) has a stronger, stepwise

approach but is followed by a neighbor figure. The second (m. 54-55) actually resolves first to vi

(a minor), sans fifth, which is quickly transformed to I and succeeded by uninterrupted

22

repetitions of the local tonic (F major). Cadential confusion over an otherwise stable period is not

the most important part of the D section, though.

Example 2.12: First phrase of D couplet, “Juliet” (mm. 43-48)

Example 2.13: Antecedent phrase of D couplet, “Juliet” (mm. 48-51)

The third part of the D couplet (mm. 56-63) has three statements of the basic idea, only

the last of which goes on to state the contrasting idea and cadence. In short, these eight measures

form a presentation and a consequent phrase. Caplin has no name for this hybrid, except to call it

an “uncommon hybrid type,” due to the fact that “the resulting redundancy of material…likely

explains why this potential type of hybrid seldom occurs.”12

However, he does refer to this

hybrid in a Classical harmonic context, not the harmonically freer Modern style in which

12

Caplin, Classical Form, 63.

23

Prokofiev composed. Still, this is the first and only use of a hybrid of any type in “Juliet,”

probably composed in this way to accomplish a smooth modulation from F to E. Formal

complexity, especially in the use of an uncommon hybrid, reflects Juliet as a surprisingly

complex character. She is not just the playful girl with mature moments, but a young woman

who recognizes her various character traits and ponders them.

As has been stated, the coda (mm. 80-89) serves no harmonic or thematic purpose, so

must be related through character. Its Andante tempo, legato articulation, and single referential

fragment relate the coda most closely to the D section, which has been shown to reflect Juliet’s

complexity (see ex. 2.14). The occasional chordal structures, especially at the very end, reference

the chords of the refrain, or Juliet’s girlish qualities. Juxtaposing the two most extreme aspects of

her character makes this the most reflective section of the piece. Ending the entire piece with a

reflective coda forces the listener to recognize that Juliet has depth, something that may have

gone unremarked if the rondo form had been ended normatively, with the refrain.

Example 2.14: Coda, “Juliet” (mm. 80-89);

Reference to D couplet in red box

Melodically, “Juliet” is quite varied. However, there is one functional pitch-class motive

that appears throughout. The most frequent occurrences are at cadential moments in the refrain.

24

According to Rifkin, “in every recurrence [in the key of C], B acts as a dominant agent to C.”13

Even when the supporting harmony is the mediant instead of the dominant, the functional quality

of the seventh scale degree remains unchanged.

The tendency of scale degree 7 to resolve to tonic matches Stephenson’s pitch class

tendencies for that pitch class, pc 11. Other pitch classes adhere to the tendencies noted by

Stephenson, including Prokofiev’s new tendency tone, pc 4. According to Stephenson, “in this

style the pitch shows a single, strong, positive tendency…to move to 2.”14

Indeed, in “Juliet,” pc

4 moves to pc 2 more frequently than any other pitch class. Prokofiev’s second new tendency

tone, pc 10, is one of the rarest melodic pitch classes in the piece, and as such does not provide a

strong example of the supposed new tendency of going to pc 11. In the context of “Juliet,” pc 10

moves twice as often to pc 0 than to pc 11, but the number of occurrences in each case is so low

as to render useless any conclusions concerning tendency.

Like the melodic motion of “Romeo,” most of the tendencies followed by “Juliet” are

negative. Some of the positive tendencies do remain, but are overshadowed by a different

positive tendency not in line with those discovered by Stephenson. For example, pc 0 moves to

pc 11 more often than to pc 4, the tendency noted by Stephenson for Romeo and Juliet as a

whole. Pc 7, though it “expectedly” goes to pc’s 0 and 5, moves to pc 9 just as often, a tendency

not recognized as universal to the ballet. In short, Juliet’s theme, while it includes some

tendencies used throughout the entire ballet, also includes different positive tendencies. Negative

tendencies remain the same, for the most part.

The strongest negative tendency, motion by tritone, is true for most of the pitch classes in

Juliet’s theme. However, two pitch classes in particular are followed by a tritone leap at least two

13

Rifkin, “A Theory of Motives,” 276. 14

Stephenson, “Melodic Tendencies,” 117.

25

times: pc 1 and pc 5. Remarkably, every example of the melodic tritone is at a cadence point,

particularly approaching altered-PACs. The four examples of the pc 5-11 tritone lead into the

recurring altered-PAC in the middle of the A sections and facilitates stepwise resolution. The

two examples of the pc 1-7 tritone occur in mm. 41 and 78-79, before the sections representing

Juliet’s thoughtful maturity (D and the coda) begin. In effect, the latter tritone alerts the listener

to a coming change in character while the former reaffirms Juliet’s playfulness. So, while the

tritone is more common in “Juliet” than in “Romeo,” it is used in a specific context.

The melody of the C section is completely diatonic, unlike several of the previous

melodies, and supported by mostly unaltered diatonic harmonies. The strict diatonicism

represents Juliet’s maturity by showing that she knows and can follow the traditions she has been

taught. What truly reveals her maturity, though, is not the fact that form and tonality are

respected, but the melodic variation of the consequent phrase (see ex. 2.15). It is clearly the same

melody as in the antecedent, but altered rhythms and added notes distinguish it from the first

statement,

Example 2.15: Variation of antecedent melody in consequent phrase, “Juliet” (mm. 27-34)

26

“Juliet” shares the same tonal centers as “Romeo,” with the inclusion of a couple more

(refer to table 2.1). In addition to C, F, and E major, “Juliet” also sounds Ab and A major. All of

the tonal centers can be understood as having mediant relationships (F-A-C-E-Ab=G♯), though

they do not appear in order. Two of the mediant sets do appear together within the music, stating

more explicitly their large-scale relationship through harmonic progression (see ex. 2.16). The

first deviation from the shared tonal centers (F, C, and E), all of which are sounded before a new

key enters, coincides with the beginning of the C couplet (m. 27). There is no transition from C

major (the end of the second refrain, m. 26) to Ab major, emphasizing the mediant relationship

and new thematic idea. Likewise, a transition between Ab and A (beginning of third refrain, m.

35) is lacking. In fact, the only transition between couplet and refrain is after the half cadence in

m. 18, between the B and A sections. There are transitions between keys within sections, though

direct modulations are used as well.

Example 2.16: Small-scale version of mediant key relationship

introduced in harmonic progression, “Juliet” (m. 2)

The only key present in “Juliet” that is not found in “Romeo” or introduced in a

preceding harmonic progression of “Juliet” is A major. Its introduction is preceded by Ab major,

27

which is a semitone distant, mimicking another semitone relationship already established: F to E.

Unlike the direct modulation from Ab to A, those from F to E are mediated by common and

altered chords. However, the motion from F to E is a semitone down while that of Ab to A is a

semitone up. The one upward E to F modulation (between the D and C sections, mm. 63-64) is

direct, linking the four keys more closely. Unfortunately, there is no consistent progression

matching the semitone relationship as there is sounding the mediant relationship. The only

possible example is in the D section, a single altered-IAC cadence of VII7–I (see ex. 2.17).

Example 2.17: Small-scale semitone relationship? “Juliet” (mm. 50-51)

Another possible explanation for this cadence that would negate its relationship to the

semitone tonal shift is its function in e minor. Out of context, the example suggests a sudden

shift to e minor, creating a deceptive cadence. However, the music preceding and immediately

following the cadence is strongly in C major, supported by tonic arpeggios, primarily diatonic

accompaniment, and the insistence of the melodic leading tone, B. Also, the same phrase returns

in a different key in mm. 60-64, where the melody follows the exact same pattern, culminating

on tonic. The cadential harmony is also the same, but looks quite bizarre because of enharmonic

28

spelling. Prokofiev may simply have spelled the penultimate harmony enharmonically for easier

reading, but the resulting appearance does not suggest a dominant (ex. 2.18). Due to the lack of

any significant progressions including A major before the tonal center is established, it is the

most tenuously connected to the tonal structure of the piece. Also weakening consideration of the

cadence as a small-scale representation of the tonal relationship is the lack of recurrences and the

presence of a seventh. Though unusual, this progression is more functional than the mediant

relationship outlined in example 2.16.

Example 2.18: Enharmonic VII, at a parallel moment with ex. 2.17; “Juliet” (mm. 62-63)

Cadences in “Juliet” are more varied than those of “Romeo,” due in part to the length and

complexity of the piece. Altered-PACs are the most common cadence, followed closely by

altered-IACs. Unaltered cadences are used periodically throughout, most particularly in the C

sections, but also within the other couplets. The use of complete, unaltered cadences in the

couplets only emphasizes their representations of Juliet’s mature characteristics. Along the same

lines, though the B section is further elaboration of Juliet’s childlike qualities, the only unaltered

cadence in that section is a half cadence – an incomplete cadence, just as the child Juliet is

incomplete and the representation of her as a girl provides an incomplete picture of her character.

29

The altered cadences take many forms, including the use of a raised fifth, mediant-tonic

resolution, Neapolitan-tonic resolution, and more. Of these, the first two (raised fifth, mediant-

tonic resolution) are used most frequently. Example 2.19 shows a typical raised fifth cadence (for

one example of the mediant resolution, see ex. 2.16). This is a familiar type of altered cadence,

as it is also found in “Romeo.” Like the altered cadences in “Romeo,” the bass motion reflects

root-position dominant-to-tonic harmony. Bass motion of the mediant cadences reflects root-

position harmonies, as well.

Example 2.19: Altered-PAC; Dominant has raised fifth, “Juliet” (m. 38)

Unlike Romeo’s cadences, however, the highest voice does not always resolve by step,

even in unaltered PACs. This is not always the case, and often a high inner voice provides the

stepwise motion avoided by the highest voice. The majority of these leaping resolutions are

found at the end of the A sections, though there is one within the otherwise traditional C section

(ex. 2.20). That cadence is less unusual than it looks because, though the melodic voice resolves

immediately by leap, it is from scale degree 7 to scale degree 1, an inverted resolution. Scale

degree 1 is then repeated an octave higher, in the same register as scale degree 7. It is actually a

compound melody, in which the G5 resolves up to Ab5 and the downbeat Ab4 is approached

30

from Bb4. There are a couple of leaping cadences in which the sparse texture forces the inner

voice that would normally resolve to a doubled tonic to move elsewhere, so that the leaping

resolution stands out (see ex. 2.21). This is possibly the result of the unusual second-inversion

cadential harmonies, as well as the C passing tone. The passing tone subverts the expected

downward resolution of Bb, allowing the highest voice to leap up to the root. It also results in

different yet smooth voice-leading for the inner voice. The bass, too, moves by semitone, which

leaves the highest voice no option but to leap up to the root, or form an incomplete chord.

Though tonic harmony is achieved on the downbeat of measure 42, the true resolution occurs on

the third beat. These leaping resolutions produce a feeling of exuberance, a joyful, small-scale

abandonment of tradition. Of course, the presence of such cadences almost exclusively in the

refrain adds to the already established girlish, untrained side of Juliet’s character.

Example 2.20: Leaping PAC, “Juliet” (mm. 29-30)

Example 2.21: Altered-IAC, highest voice resolves by leap,

inner voice cannot double resolution, “Juliet” (mm. 41-42)

31

Cadences, thematic ideas, form, and instrumentation all influence the musical depiction

of Juliet. Her character is more deeply explored than Romeo’s, as evidenced by the number,

variations, and order of themes. She is a complex character with many facets; part child, part

woman, and completely unique.

Love-Dance

Romeo and Juliet’s “Love-Dance” (rehearsal 142) is the first time the couple dances

together and follows the famous balcony scene. The dance has many unique, recognizable

thematic ideas that convey different aspects of the main characters’ love, including exuberant

passion, sweetness, playfulness, and its ultimately tragic end. Thematic portions and characters

from both “Romeo” and “Juliet” appear in this piece, binding the two lovers together.

The form of the piece is bizarre in several ways. Elided beginnings and endings of

phrases, a lack of clear cadences, and seemingly haphazard order of thematic ideas all distort the

large-scale formal structure. A change in tempo, tonal center, accompanimental pattern, and

thematic ideas occurs a little over halfway through (m. 57), suggesting a two-part form. None of

the themes from the first half return after that point. However, there is no divisive cadence

between the two sections, complicating an already confused form.

Phrase structure is equally unclear, as phrases could be anywhere between three and

seven measures long, depending on cadences, elisions, and thematic idea (see table 2.2). Due to

the plethora of thematic ideas and the complexity of the phrase structure, different themes are

identified by lowercase letters instead of Caplin’s basic idea, contrasting idea, and continuation.

Study of the table reveals that not only are phrase lengths unequal (though consistent – themes

(d) and (e) are always four measures long), the cadences at the ends of phrases are inconclusive.

32

That is to say, what cadences there are, though they work harmonically and in terms of phrase

length, do not sound final. Oftentimes this is due to one or more added notes, an ambiguous key

area, a continuous melodic line, metrically weak placement, or elision.

Table 2.2: Form chart of “Love-Dance”

A Section Continued

Thematic Idea d e F d e a trans.

Measures 27-30 31-34 35-38 39-42 43-46 47-52 53-56

Tonal Center C? Ab? E C? a?

Cadences (HC) (HC?) ?? (HC) (HC?) altered-

PAC

B Section

Thematic Idea g h g i trans g i i

Measures 57-63 64-68 69-75 76-79 82-84 85-91 92-95 100-103

Tonal Center Eb B E Eb E Eb Bb

Cadences (IAC) HC (IAC) altered-

PAC (IAC)

altered-

PAC

altered-

PAC

The clearest example of elision is in mm. 15-16, shown in example 2.22. According to

the first and third statements of the (a) theme (mm. 5-7, 16-18), the theme is three measures long

and any cadence, inconclusive or otherwise, falls in the third measure. While the bass of m. 15

looks like dominant-tonic motion, neither the upper nor inner voice agrees. The addition of a

melodic slur across the barline indicates that even if the third beat of m. 15 were a possible

A Section

Thematic Idea Introduction a b c a a d d

Measures 1-4 5-7 8-10 10-12 13-16 16-18 19-22 23-26

Tonal Center C C-E F a? C C-E

Cadences (altered-

IAC?) (HC?)

altered-

PAC?

altered-

IAC (HC)

(altered-

IAC?)

33

cadential harmony, it is related more to what follows than what came before. As a result, the

cadence falls in the next measure, functioning not only as a cadence but as the harmonic

underpinning of another restatement of the (a) theme.

Example 2.22: Elided cadence of (a) theme, “Love-Dance” (mm. 13-16);

Circled area indicates where the cadence should fall, boxed area indicates actual statement,

which coincides with the beginning of the next phrase

The pseudo-half cadences at the end of statements of the (d) theme are examples of

metrically weak cadences (ex. 2.23). In almost every case the melodic note is the supertonic,

supported by ii7 over a tonic pedal. Despite its predominant quality the harmony has a dominant

feel due to the dominant-associate function of scale degree 215

, interrupted melodic descent from

scale degree 3, and previously sounded predominant harmony. The use of any type of half

cadence is unusual for Prokofiev, as established in both Romeo’s and Juliet’s themes, and yet in

“Love-Dance” nearly every statement of the (d) theme ends with this predominant-as-dominant

half cadence. This affects an aural sweetness, a pause and intention less offensive to the ear for

its gentle predominant harmony than the pushier dominant counterpart. As the (d) theme is the

most tender one in the love dance, such a cadence seems appropriate.

15

In Rifkin, “A Theory of Motives,” 274.

34

Example 2.23: Theme (d), including predominant half cadence, “Love-Dance” (mm. 18-22)

Uncertain cadences are also caused by ambiguity of tonal center, as in the (e) and (f)

themes (theme (e), ex. 2.24). These are the only two flat-side themes of the A section, the former

making its way to the minor dominant of C major, a dominant established through repetition and

crescendo, not resolution. C major is present only briefly in the (f) theme (ex. 2.25), which itself

moves to the unprecedented harmony of eb7 and proceeds back to a theme in E major! The

second statement of (e) is resolved more promptly (m. 47), but that resolution is also quickly

transformed. These minor sections with ambiguous key centers and cadences serve a purpose

other than moving away from or back to a major key; they foreshadow the lovers’ unhappy end.

Example 2.24: Theme (e), “Love-Dance” (mm. 42-46)

35

Example 2.25: Theme (f), “Love-Dance” (mm. 34-38)

The B section has clearer phrase structure, though still unusual. There are more cadences,

especially altered and unaltered authentic cadences, fewer thematic ideas, and more

straightforward key areas. The pertinent section from table 2.2 has been reproduced below, as

table 2.3. Interestingly, the only theme that contains an even number of measures is also the one

that ends most conclusively, with a V+7

- I altered-PAC, a familiar strong cadence. This is theme

(i), which sounds remarkably like the codetta from “Romeo” (ex. 2.26). Romeo’s codetta and the

love dance’s theme (i) are identical in terms of melody and cadence, though the predominant

harmony is different. In “Romeo,” the codetta represented the hero’s romantic dreams; in “Love-

Dance” the same thematic idea represents the achievement of the romantic dream. The repetition

of theme (i) at the end of the piece reinforces such an interpretation.

Table 2.3: Thematic layout of the B section, “Love-Dance”


Measures 57-63 64-68 69-75 76-79 82-84 85-91 92-95 100-103



PAC (IAC)

altered-

PAC

altered-

PAC

36

Example 2.26: Theme (i), “Love-Dance” (mm. 92-95)

Other themes in the B section vary in length and cadence type, from three to five to seven

measures long. The longest theme, (g), is the most definitive of the section and represents the

playful side of Romeo and Juliet’s love (ex. 2.27). Aside from opening the B section,

establishing a new key and faster tempo, and returning as often as theme (i), it also changes the

“real” measure. Whereas the A section has an identical real and notated measure, the real

measure of the themes in the B section, except for (i), is every two measures. This causes some

difficulty in determining phrase structure, as most of the themes are uneven in length. Even

discounting phrase length, the location of cadences presents a problem. If one considers mm. 57-

79 a period, the leading-tone IACs within the phrases (mm. 63, 75) are too many. However,

these are very weak cadences for several reasons, the most prominent being inversion. In both

cases the tonic arrival is initially supported by a first-inversion tonic chord, and in the second

case is transformed, only very briefly, into a root-position chord. A tonic pedal sounds under the

whole phrase, pushing the harmonic progression to resolve. Partial displacement16

of tonic

harmony so that it sounds more fully under the dominant-functioning ii7 weakens the sense of

16

Bass, “Chromatic Displacement,” 209.

37

arrival (see ex. 2.28). Still, there is no doubt that Eb major is the controlling harmony, as the

uppermost voice arpeggiates tonic in m. 63.

Example 2.27: Beginning of B section, theme (g), “Love-Dance” (mm. 57-60)

Example 2.28: Tonic bass displaced to sound under “dominant” ii7, then transformed into

submediant harmony through passing motion, “Love-Dance” (mm. 62-64)

After the bass and upper voices seem to coincide halfway through the measure, the

expected root-position tonic is thwarted by passing bass motion that converts it into the

submediant, shown above. The same transformation does not occur in mm. 75-76, though. Still,

partial displacement and retention of first-inversion harmony weaken the latter cadence enough

that it may be discounted, thereby forming a modulating period of uneven phrase lengths and

changing real measure. As for the remaining portion of the B section (mm. 85-103), the best

explanation is that it forms another consequent phrase with a repeated cadential idea. So, though

the B section is more organized than the A section, the form remains highly unusual.

38

The themes used most often in the A section, (a) and (d), have one quality in common,

namely rhythm. As example 2.29 shows, the beginning of themes (a) and (d) are almost exactly

the same in terms of rhythm, the most notable aspect being the triplet on the fourth beat of the

first full measure. Aside from the shared rhythm, though, themes (a) and (d) have little else in

common. The former is made up of a three-measure phrase while the latter is made up of a four-

measure phrase. In both cases this excludes the pickup, which does not always appear,

particularly in restatements of the first theme. Melodically, the phrases are also quite different.

Example 2.29: Similar opening rhythms of themes (a) and (d), “Love-Dance”

2.29a. Opening rhythm, theme (a) (mm. 4-6)

2.29b. Opening rhythm, theme (d) (mm. 18-20)

Contour alone provides evidence of their divergent qualities, as theme (a) is almost entirely

ascending, with a final downward step, and theme (d) is much more fluid, with many changes in

direction. Melodies with different contours could still sound the same scale degrees, but this is

not the case.

Though constantly changing key areas and a lack of cadences make determining exactly

which pitch classes are used difficult (where 0 = tonic), the intervals used allow some

39

conclusions to be drawn. Both themes show a preference for stepwise motion, in line with

Stephenson’s findings for Romeo and Juliet. However, theme (a) uses more semitone motion

than whole tone while theme (d) is the opposite. Also, in the rhythmically similar portions of the

themes, theme (d) has only one instance of a leap larger than a major third: an octave.

Considering its inversion, the “leap” does little to interrupt the primarily stepwise motion. The

intervals in the corresponding section of theme (a), on the other hand, range anywhere between

unison and perfect fourth. In conjunction with the opposing directional tendencies, the intervallic

differences create unrelated melodies.

Of course, not all iterations of each theme are exactly the same, and in fact those of

theme (a) are often varied. However, its character of exuberant joy does not change, just as the

sweeter character of theme (d) remains the same. The general contours of the themes are also

unchanged, despite intervallic alterations, which themselves are altered only slightly. Because

the varied restatements of each theme are still recognizably related to the original statements, the

only exact relationship between them is rhythmic.

Themes of the B section seem more closely related to each other than those of the A

section. Theme (h) draws on moments from theme (g), particularly in terms of rhythm but also

melodically. Example 2.30 shows rhythmically identical and melodically similar excerpts of

themes (g) and (h). Unchanged accompanimental patterns help reinforce the relationship between

the end of theme (g) and the beginning of theme (h). The melodic similarity between the two

excerpts is twofold. The first part is the rising semitone motion of the pickup, boxed in red in the

example. Because the pitch classes serve different scale degree functions in their respective keys,

the first motive does not form a true functional pitch-class motive. The second motive is less

specific but no less present – a rising arpeggio (blue box). In (g) it is approached by downward

40

skip and sounds the notes of a second-inversion tonic chord. The arpeggio in theme (h) is

approached by rising semitone and sounds a first-inversion dominant in the new key. This

motive is even less related to any of Rifkin’s types, but nonetheless creates an aural connection

between the two themes.

Example 2.30: Rhythmic and melodic similarities of themes (g) and (h), “Love-Dance”

2.30a. End of theme (g) (mm. 62-63)

2.30b. Beginning of theme (h) (mm. 64-65)

Another relationship between the melody of (h) and that of (g) can be found in example

2.31. The contours of these melodic excerpts are identical, though overall interval content is not.

Again, this melody is made up of two motives. This time, however, it is the first motive that least

corresponds to Rifkin’s motives. The scale degrees do not match, nor does the harmonic support.

In the second motive the scale degrees do match (♯4 – 5) and the harmonic support at least

41

sympathizes (some sort of VII to some sort of V), thereby forming a functional pitch-class

motive.

Example 2.31: Melodic motives in themes (g) and (h), “Love-Dance”

2.31a. Beginning of theme (g) (mm. 58-59)

2.31b. End of theme (h) (mm. 66-67)

One motive is not found in the melody, but in the bass. The passing motion of example

2.28 that transforms a tonic harmony and potential IAC into submediant harmony can be seen

elsewhere in “Love-Dance.” In all of its bass appearances it is used, not unexpectedly, to

destabilize one harmony or tonal center on its way to another. Most of the time the passing

motion is diatonic and moves from tonic harmony to some form of submediant harmony (mm.

63-64, 82-83). Occasionally the passing motion is chromatic, the most effective in traveling to a

new key (mm. 84-85). There are also examples of an extended passing motion from one tonal

42

center to another that includes both diatonic and chromatic pitches when considered in both keys

(mm. 76-77, 92-93). While this technique is deployed several times in the B section, it is used

only once in the A section (mm. 36-37). This is somewhat surprising, as many of the key areas in

the A section have a mediant relationship. Due to the fact that the harmonic context is not always

the same and there is no large-scale deep middleground passing figure, this is another functional

pitch-class motive.

As previously stated, the passing motive often links two tonal centers. Several times in

the B section it links two particular tonal centers: E major and Eb major. The proximity of the

two keys and the statement of the important theme (g) in both keys suggest a tonal chromatic

displacement. However, the tonal goal of the piece is neither of those keys, but Bb major. As it

is, the B section begins in Eb major and could legitimately stay there until the final statement of

(i) (mm. 100-103), where scale degree 5 of Eb becomes scale degree 1 of Bb. The turns to E

major do not help the piece arrive at Bb major. Were the B section organized harmonically so

that E major was introduced first and the goal remained Bb major, a displacement to Eb major

would be much more likely.

The alternation between Eb and E major does play into the character of the B section,

whose main theme (g) represents the playful side of the main characters’ newfound love. Where

the A section travels between slightly more sober themes in part defined by mediant-related key

centers, the B section throws that “tradition” to the wind. Instead of stepping gracefully between

closely related keys, it skips joyfully (but no less smoothly) between distantly related keys. The

playful character of the B section is reminiscent of Juliet’s child-like themes, though they have

little in common aside from quick tempo. Placing the theme with Juliet’s youthful playfulness

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(g) immediately next to Romeo’s romantic dream theme (i), and in fact concluding it with the

latter, provides a musical depiction of their mutual love.

Romeo and Juliet’s love for each other as portrayed in the love dance is multi-faceted,

unpredictable, and expansive. Its unpredictability is most apparent in the lack of a traditional or

stable large-scale form and the disregard for normal phrase structures. Its expansiveness is best

characterized by the absent and weak cadences of the A section and the ongoing melodic ideas of

both sections. The various thematic ideas provide windows into the many different aspects of

their love, from sweetness to playfulness to passion.

Summary

In this chapter, Romeo and Juliet’s themes were shown to reflect their individual

characters through their form, phrase structure, thematic content, and harmonic decisions.

Romeo’s straightforward small ternary formal structure shows him to be an uncomplicated

person, though thematic ideas reveal emotional depth. Juliet’s more complex modified seven-

part rondo form characterizes her as a multi-faceted young woman, whose many attributes –

playful, thoughtful, and mature – combine to form a complete, unique whole. Both themes

include a coda/codetta after the form proper, adding another layer of depth to the characters.

Phrase structure adds a little more insight into each character. All of the theme types in “Romeo”

are Caplin’s Hybrid 3, revealing the hero to be slightly bold. Theme types in “Juliet” vary, but

are mostly periodic. The greater variety of theme types supports the complex aspect of Juliet’s

character, while the overarching use of periodic construction provides a unifying structure.

Melodic tendencies are similar in the main characters’ themes, though “Juliet” makes

greater use of pc 4’s new tendency while “Romeo” is more traditional. Both show a preference

44

for stepwise motion. Romeo’s theme lacks motives of any significance, but a functional pitch-

class motive appears in “Juliet.” The functional pitch-class motive, though it appears most often

in the playful refrain, does show up in other sections of her theme, creating further connections

between disparate thematic ideas. Rather than motivic connections, Romeo’s thematic ideas are

drawn together by the unchanging accompanimental pattern that runs throughout; the texture and

articulation indicate his masculinity and jauntiness.

As with formal and melodic structures, harmonic aspects name Juliet the more complex

character, though Romeo has his share of the fun. Romeo’s maturity is evident in the

relationships of tonal centers F, C, and E major, and the smoothness of motion between them.

Particularly illustrative is the mediant relationship of C and E major. Juliet’s theme includes

several other key areas, introducing not only dominant and mediant relationships, but semitonal

key relationships as well, particularly F-E major and Ab-A major. Again, Juliet is more complex,

but is often less mature in the transition between tonal centers. Direct modulations are common,

revealing the untrained, child-like side of her character. Neither piece uses tonal chromatic

displacement, but smaller examples of chromatic displacement result in certain altered cadences.

Various types of altered and unaltered cadences are used in both “Romeo” and “Juliet” to

reinforce character-defining phrase structure, form, and thematic ideas. Unaltered cadences

usually accompany themes depicting maturity. Altered cadences tend to complete themes

representing more youthful aspects.

Romeo and Juliet’s partner dance, “Love-Dance,” is more formally complex than either

of the main characters’ pieces. It may be divided into two large sections (A and B), each of

which uses particular thematic ideas that do not cross sections. There is no cadence between the

two sections, creating a formal fluency comparable to the joining together of Romeo and Juliet.

45

Phrase structure is also unusual, due to the lack of conclusive cadences. The B section has the

clearest theme types, forming a period and another consequent phrase. The periodic structure is

reminiscent of Juliet’s theme.

The character of the (g) theme is derived from Juliet’s playful theme, while the cadential

portion (i) replicates Romeo’s codetta, merging their themes together. Both of these themes

appear in the B section, making that section the most descriptive of Romeo and Juliet’s love.

Themes from the A section, particularly (a) and (d), characterize different aspects of their love:

the euphoric discovery of love (a) and its tenderness (d). The A section also includes minor mode

and flat-side themes, foreshadowing the tragic end.

Tonal centers are often not fully established because of missing, elided, and weak

cadences. All of the keys used in “Romeo” and “Juliet” appear in “Love-Dance,” with the

alteration of A major into a minor and the addition of Eb major and Bb major. The latter two

keys are used exclusively in the B section, new tonal areas in which aspects of the individuals’

themes can join to form a theme characterizing their mutual love.

Cadences from “Romeo” and “Juliet” also appear in the love dance, though the range of

strong and weak cadences is expanded. Unlike Romeo and Juliet’s cadences, the majority of

those in the love dance are weakened by elision, alteration, or displacement. Elisions appear

primarily in the A section, as do the weakening alterations, which often take the form of

predominant-as-dominant cadences. Partial displacement, in which tonic harmony arrives

slightly too early, under dominant-functioning chords, weakens cadences in the B section.

There are many more motivic parallels between themes in “Love-Dance” than in either

“Romeo” or “Juliet.” These include rhythmic similarity between themes (a) and (d); functional

pitch-class motives, between themes (g) and (h), and in bass passing motion between tonal

46

centers; and melodic similarities that do not match any of Rifkin’s motives. The use of

connective motives unifies seemingly disparate parts of the love dance.

47

CHAPTER III. CINDERELLA

As a popular fairytale in practically every culture, the plot of Cinderella should be

familiar enough to forego rehashing. Let it be enough, then, to say that Sergei Prokofiev is one of

many composers who have dealt with the story of a woman who loses her shoe and finds true

love. Prokofiev’s ballet tells the story through music, characterizing Cinderella, her Prince, and

their love through individual themes and dances. This chapter will explore how formal, melodic,

and harmonic structures characterize Cinderella and the Prince in their individual themes, as well

as how those structures and the individuals’ themes affect characterization of their love in the

partner dance. A summary will be provided at the end.

Cinderella

Cinderella is portrayed in the most depth with the use of three themes, symbolizing her

mistreatment at home, her happier dreams, and her love for the Prince. These are all presented in

the number entitled “Cinderella” (rehearsal 20). Though all three defining themes are present, the

first theme (ex. 3.1), representing Cinderella’s unhappiness with her home life, appears only

once and comprises the first eleven measures of the piece. Her unhappiness is revealed through

the form in several ways. First, its phrases are unequal in length. The basic idea and contrasting

idea are neatly presented in the first five measures and should, according to conventions of

symmetry, be followed by another five-measure group, presumably a restatement of the basic

idea. Instead it is followed by a six-measure phrase beginning with new material. This poses

quite a contrast to the succeeding B section, in which all four phrases are of equal length.

Second, as an eleven-measure theme that begins like a period but ends like a sentence, this

48

phrase group resists traditional labels. However, it does match Caplin’s Hybrid 1.1 This, too,

contrasts with the proceeding section, in which no hybrids make an appearance. Third,

fragmentation and repetition in the continuation portion provide a sense of increasing agitation

born out of the antecedent phrase. In other words, the antecedent phrase represents a sort of

resigned lament while the continuation describes the abandonment of resignation in favor of

frustration.

Example 3.1: Beginning of Cinderella’s first theme (mm. 1-5)

These ideas of resignation and frustration are supported by the presence or absence of

cadences. There is no concluding cadence at the end of the A section, hampered by a thin texture

and unison ending. However, there is a sense of closure at the end of the antecedent phrase.

Calling it a cadence would place too much importance on the sense of closure because, like the

end of the continuation, the voices are playing in unison. Also, a tonic pedal under the entire

antecedent, the use of only two melodically outlined harmonies (vii(7)

and i in g minor), and the

melodic conclusion on scale degree 5 weaken its function as a cadence. Still, because all voices

settle on tonic harmony in m. 5, those opening measures sound more complete than mm. 6-11. If

one is resigned to one’s fate, there is no reason to look beyond that fate, a sentiment echoed by


49

the tonic closure of m. 5. As soon as that resignation changes to frustration, though, the future is

less certain, as evidenced by a complete lack of closure (m. 11).

In contrast, the B section (mm. 12-27) (ex. 3.2) represents Cinderella’s hopes and dreams.

Her dreams are more orderly than her reality, at least in terms of form. This section is made up of

four four-measure phrases, forming two related but not identical periods. Surprisingly, the basic

idea is less recognizable in its several forms than the contrasting idea, which is exactly the same

for three out of four statements. This suggests that the “real” measure2 might be larger than the

notated measure, resulting in a four-measure basic idea. If this were the case, section B would

form one large, 16-measure period. However, according to Caplin, in a 16-measure period “the

first theme (built as either a simple sentence or a hybrid) acquires an antecedent function by

closing with a weak cadence…The second theme (also a sentence or hybrid) becomes a

consequent by repeating the first theme but concluding with the stronger perfect authentic

cadence.”3 The B section of Prokofiev’s “Cinderella” follows none of these conventions,

especially concerning cadences.

Example 3.2: Antecedent phrase of Cinderella’s second theme (mm. 11-15)


3 Ibid, 65.

50

The B section includes four authentic cadences, three of which are altered in some way

(see table 3.1). At first glance there seems to be no distinction between strong and weak

cadences, as there are altered-IACs in the middle of the periods and IACs (altered and unaltered)

at the ends. A closer look at the music reveals that in some ways the end IACs are the stronger

cadences.

Table 3.1: Form chart of Cinderella’s second theme

Period 1 Period 2

Phrase Antecedent Consequent Antecedent Consequent

Motivic Idea b.i. c.i. b.i.' c.i. b.i." c.i. b.i.' c.i.

Measures 11-13 13-15 15-17 17-19 19-21 21-23 23-25 25-27

Tonal

Center C

Cadences altered-

IAC

altered-

IAC

altered-

IAC IAC

Prokofiev uses three different modifications to create the altered cadences of this section,

one of which is used nowhere else in the piece, but can be found in another of the three pieces

from Cinderella examined in this paper. The altered-IAC in mm. 22-23 (shown in ex. 3.3) retains

dominant and tonic harmony accompanied by root-position bass motion. However, the

traditional dominant-seventh chord is transformed into a major-seventh chord by raising the

seventh (F) a semitone. As a result, the raised seventh resolves up, creating smooth parallel

voice-leading that appears elsewhere in Prokofiev’s compositions, though in different harmonic

contexts. The other two alterations involve augmenting the dominant (mm. 14-15) and inserting

an incomplete mediant before the tonic (mm. 18-19), both of which are common for Prokofiev.

51

Example 3.3: Altered-IAC, “Cinderella” (mm. 22-23)

Though the strongest cadence is the only unaltered IAC in the B section, the altered-IACs

can be classified on a scale of strength, as well, verifying the stated phrase structure. Changes to

the quality of the dominant in an IAC (through augmentation of the fifth or seventh) weaken the

aural perception of the dominant-to-tonic resolution even when strong stepwise voice-leading is

maintained. The altered-IAC using an inserted mediant harmony does not change the quality of

either cadential chord, but merely delays the sounding of the final tonic’s root. Were the mediant

harmony removed from the cadence, it would be almost identical to the strong, unaltered final

IAC (mm. 26-27).

The use of authentic cadences seems like an attempt on Cinderella’s part to erase the

memory of her frustrating reality by firmly reinforcing her happier dreams. That all of the

cadences are imperfect underlines that her dreams are as yet unfulfilled.

Following the dream theme of section B is the third and final of Cinderella’s themes (ex.

3.4), representing what Prokofiev called “her passion for the Prince.”4 At this point in the ballet,


52

it may more correctly be named simply “her passion.” The form most characterizes Cinderella’s

passion in its lack of strong authentic cadences, which creates an overflow of incomplete new

ideas, as if she were always excitedly interrupting herself when speaking of her passion. Due to

this lack of authentic cadences, the form of the C section is unusual. Changes in tempo,

character, instrumentation, and tonal center help distinguish three larger parts of the section.

Example 3.4: Beginning of Cinderella’s third theme (mm. 28-29)

The first section (mm. 28-35) is eight measures long and includes two half cadences. It is

characterized by staccato articulation, a moderate tempo, and a thicker texture. Because the four-

measure phrases both end with half cadences, it must be considered two parallel phrase groups

rather than a period. The second section (mm. 36-41) is six measures long and includes both a

half cadence and an altered-IAC, the first authentic cadence of the C section. Sentential structure

is truncated by foregoing continuation and skipping straight to the cadential function.

Undermining the sentential aspect is the presence of a half cadence at the end of the presentation;

however, it is very weak, even for a half cadence. This section is clearly distinguished from the

preceding ideas by a faster tempo, the use of woodwinds, and a thinner texture. The third section

(mm. 42-49) is eight measures long and concludes with an altered-IAC. Unlike the other

53

divisions, this separation is defined primarily by the presence of an authentic cadence. Also

unlike preceding divisions, the cadence is weakened by the use of similar material – staccato

articulation and the same rhythmic pattern – immediately following. The third section initially

appears to be a complete sentence, but a closer look at the supposed presentation reveals that the

basic idea is not repeated anywhere near exactly, even taking transposition into account. Instead,

the phrase behaves more like a continuation. In conjunction with the maintained articulation and

rhythmic pattern from the cadential figure at the end of the second section, interpretation of the

third section as a continuation suggests that the cadential figure actually functions as an

abbreviated presentation for the third section (ex. 3.5). Cinderella’s passion is played out in mm.

40-41 through the passage’s abbreviated nature and ambiguous formal function, both of which

reinforce the notion of excitedly interrupting her own ideas.

Example 3.5: Two formal interpretations of mm. 40-41, “Cinderella”;

Abbreviated continuation/cadential function (red) or abbreviated presentation phrase (blue).

The return of C material provides insight into the form (mm. 59-70). When the C section

returns, it does not come back in full; only the second half returns, and that is “corrected.” There

54

is no cadence at the end of the presentation. In fact, the presentation runs right into the

continuation, which is considerably expanded. One of the rhythmic ideas used initially in the

cadential idea (static sixteenth-notes bracketed by eighth-notes) reappears, but as part of the

continuation, not cadential function. This leads to the most romantically passionate moment of

the piece, characterized by sweeping parallel arpeggios in the flute/piccolo and violins.

Parts of the B section return, as well, in each case only one of the two periods. The only

section that never returns in “Cinderella” is the A section, as though Cinderella does not want to

dwell on her present circumstances. Because A never returns, the overall form is not a traditional

form of any sort, as it looks like this: A B C B C B. Were there no A section, this would be a

modified rondo form, and in fact may be perceived as such, due to the periodic return of B. As it

is, modified rondo may be the best explanation.

The rationale for not restating the A section has already been explored, but this does not

explain the frequent recurrence of B. At this point in the ballet the only characters who have been

introduced are Cinderella and her family. Because Cinderella would rather not think about her

reality, she turns instead to her dreams and passions. She knows nothing of the Prince, and so her

dreams remain unfocused, and yet her dreams are the most consistent and rewarding of the

themes, the reason they return most often.

Cinderella’s dreams are established as preferable over reality and vague passion not only

in the frequent recurrence of the B section, but in the stable tonal center and regular statements of

authentic cadences. Cinderella’s three themes touch on many key areas, but most of them either

are not established with an authentic cadence or are quite brief. The only tonal center that is both

firmly established and sounded for a significant amount of time C major, the tonal center of the

recurring B section. After that, the only other long-sounded key is E major, encompassing the

55

entire second C section. However, E major is established primarily through repetition, not

cadential figures.

Other key areas include g minor, Ab major, Db major, F major, and c♯ minor. Of these,

only two are established with an authentic cadence at the end of a theme type, and in both cases

the cadence is an altered-IAC. F major and c# minor are the only authentic cadences outside of

the B section, and can be found ending the second and third parts of the C section, respectively

(mm. 41, 49). The two flat keys (Ab and Db) are implied through half cadences in the first part

of the C section but are never fully realized. As has already been discussed, the opening key of g

minor is recognizable not because the A theme cadences in g, but because of a tonic pedal and

small sense of closure in the antecedent phrase. The continuation that follows lacks cadential

function, effectively weakening that tonal influence.

The minor keys are used to represent a negative remembrance of Cinderella’s foul

treatment. The first case is, of course, the theme representing “Cinderella’s suffering at the hands

of her wicked stepsisters.”5 It should come as no surprise that a theme signifying suffering is in a

minor key. However, the c♯ minor end of an otherwise major-key C section seems out of place.

Consideration of the music before and after the c♯ minor material suggests that it acts as a

transition between the C and B themes. The actual cadence (m. 49) is accompanied by a

ritardando, implying a calming-down or return to reality after Cinderella’s passionate segment.

At the parallel moment near the end (mm. 69-73) there is no turn to minor. Instead, Cinderella’s

passion has reached such heights (B7, no less!) that any intrusion of unhappy thoughts is

impossible. There is another calm-down transition, but it avoids turning to minor through a

sequential modulation (see ex. 3.6).


56

Example 3.6: Sequential, major-mode transition between C and B sections

(E major and C major), “Cinderella” (mm. 68-76)

The similarity of parts of the A and B themes is noteworthy. Intellectually, one would

imagine them to be contrasting in almost every way – after all, Cinderella would not dream of a

future in which she is mistreated. But melodic aspects of the unhappy A theme show up in the

hopeful B theme. The relationship is chiefly rhythmic, and in that sense is related also to parts of

the C theme, as well. Example 3.7 shows samples of the same rhythmic motives in all three

sections. Along the same vein, a melodic motive outlining a triad also appears in both the A and

the B themes (see ex. 3.8). Although they outline different quality triads and the A theme motive

lacks harmonic support, this motive is recognizable in both themes. Prominence in register and

metric placement help bring out the melodic relationship. In the first theme, the minor quality,

doubled octaves, and archi violins generate an impression of emotional pain. Successive

fragmentation and repetition of pitches add to this impression, sounding an image of Cinderella

turning in circles, searching for a way out of her cage. In the second theme, interpretation of this

melodic motive takes a lighter turn. Alteration to a major harmony, reduction of texture, and

57

change of instrumentation (flute) all affect the second presentation of the motive. An increase in

tempo also changes the motive’s effect. No longer is it an outpouring of emotional pain, but a

light-hearted appreciation of life, or in Cinderella’s case, her dreams. The fact that the motive

appears in both themes but with different hermeneutics implies that Cinderella herself does not

change, though her circumstances might. She remains the same essential person, represented by a

rising triadic arpeggiation, whose oppressive or uplifting circumstances affect the quality,

instrumentation, and texture of her character. At heart she is a simple character, as the

uncomplicated triadic presentation shows.

Example 3.7: Rhythmic motives across themes, “Cinderella”

3.7a. Rhythmic motives a and b in A theme (mm. 3-4)

3.7b. Rhythmic motives a and b in B theme (mm. 17-18)

3.7c. Rhythmic motive b in C theme (mm. 41-42)

58

Example 3.8: Melodic arpeggiation motive across themes, “Cinderella”

3.8a. Melodic arpeggiation motive

in A theme (m. 3)

3.8b. Melodic arpeggiation motive

in B theme (m. 12)

Cinderella’s theme evinces several melodic tendencies, some in line with traditional tonal

tendencies, and some not. Following Stephenson’s methods, pitch class numbers will be used for

clarity, with 0 = tonic instead of C. In general, notes of the tonic triad have a strong tendency to

follow one another and particularly to move to pc 7; Pc 7 follows itself more frequently than any

other note. As the strongest traditional tendency tone, pc 11 (the leading tone) should resolve to

pc 0 more often than not. In the case of “Cinderella,” pc 11 shows a slightly greater tendency to

move down to pc 10, though its next-most-frequent goal is pc 0. As it is, pc 11 is more likely to

move by semitone than any other interval.

Semitone motion is preferred by pc 6, as well. Like the leading tone, pc 6 moves down a

semitone more often than it follows traditional upward resolution. A glance at the music reveals

why this is the case. In minor sections, such as Cinderella’s first theme and the c# minor

intrusion into her passionate theme (mm. 45-49), pc 6’s tendency is to resolve up to pc 7. It is

usually notated as a raised fourth (ex. 3.9a). In the major key sections, comprising most of the

piece, pc 6 is notated as a lowered fifth, whose downward resolution matches the notational

implication and the direction of the line (ex. 3.9b).

59

Example 3.9: Semitone motion from pc 6 in minor and major keys, “Cinderella”

3.9a. Traditional upward resolution of pc 6 to pc 7; raised fourth in a minor key (mm. 3-4)

3.9b. Downward resolution of pc 6 to pc 5; lowered fifth in a major key (mm. 13-14)

Another notable tendency applies to all melodic motion: pitch classes are almost never

left through tritone motion. Cinderella’s first, minor theme representing her unhappiness

provides the sole exception. Triadic arpeggiation and leaps of a perfect fourth are the most

common disjunct motions (see ex. 3.10).

Example 3.10: Melodic interval content of Cinderella’s first theme (mm. 1-5);

Triadic/P4 disjunct motion in bold, tritone motion in red

60

By far the most prevalent melodic note is pc 7, or scale degree 5. In Schenkerian terms,

this suggests a structural descent from scale degree 5, a descent that is ultimately not present.

However, higher-level motivic iterations of the implied 5-line appear throughout, especially in

the B theme. Because the 5-line motive does not extend into the deeper-level voice-leading, it

represents what Rifkin calls a functional pitch-class motive, which “has a tonal ‘feel’ to it,

despite the fact that it is not a diminution of a deep middleground tonal paradigm.”6 It may also

be considered a non-functional pitch-class motive7, as the pitches of the contrasting idea are

almost always identical and the melody may be understood separately from harmonic

progression. However, the strong sense of scale-degree function and the presence of some

harmonic function indicate that function plays a role in the motive. This motive appears in both

the antecedent and consequent phrases of the B theme, primarily as a result of the unchanging

contrasting idea (see ex. 3.11). Despite chromatic embellishments and alterations, the melodic

descent “feels” tonal because it has a clear melodic goal, supported at times by the harmonic

progression. The greatest harmonic support is the dominant-tonic cadence at the end. There is no

strong harmonic support for scale degrees 4 and 3, though they are recognizable as having scale

degree function. In fact, scale degree 3 behaves more as a passing tone than a structurally

important note, especially considering the lack of harmonic support and its reversion to minor.


7 Ibid, 271.

61

Example 3.11: Functional pitch-class motive in Cinderella’s B theme (mm. 12-15)


3.11b. 5-line motive

The use of a chromatically altered pitch is by no means unusual for Prokofiev, and in fact

does not necessarily negatively affect one’s perception of its true function. According to Bass,

“A chromatically displaced, or so-called ‘wrong’, note is also a kind of substitution…It does not

function as an altered note, but represents a diatonic one; the diatonic note it represents is present

as a ‘shadow’ cast by the displacement itself…A displaced note is treated exactly as its diatonic

counterpart would be.”8 This is true of the flat-third scale degree in the functional pitch-class

8 Bass, “Chromatic Displacement,” 199.

62

motive above. Its diatonic shadow, E-natural, is just as present as the actually sounded Eb. Thus,

though Eb is not supported harmonically, it retains its scale degree function and its place in the

higher-level motivic presentation.

On a larger scale, the only seemingly significant harmonic displacement occurs between

the first C theme and the second B theme (mm. 45-51). This is the harmonic shift from c# minor

to C major, the intrusion of reality into Cinderella’s passion and her subsequent turn to more

pleasant dreams. The actual shift from minor to major is accomplished through the use of a

monophonic melodic line that allows D♯ and F♯ to function as diatonic scale degrees in c♯ minor

and chromatic neighbor tones in C major, in what Bass calls “cross-representation”9 (see ex.

3.12). This is a very small example of the concept of tonal displacement and cross-

representation, as c♯ minor was not preceded by C major (it does not displace C, but is

displaced) and the thematic ideas are completely different. However, the cross-representation

remains, as does the irrefutable semitone shift.

Example 3.12: Cross-representation of D♯ and F♯, “Cinderella” (mm. 49-50)

9 Ibid, 203.

63

Cinderella’s three themes represent different aspects of her character through formal

organization, the establishment or disestablishment of tonal centers and their qualities, cadential

choices and alterations, melodic tendencies, motivic connections, displacements, and

instrumentation, articulation, and tempo. She is a simple character with multiple facets; a woman

who is hurt by familial abuse, dreams of something better for the future, and has great depths of

passion within her.

The Prince

Cinderella’s Prince is not given a name in Charles Perrault’s fairytale or in Prokofiev’s

ballet, but Prokofiev does provide him more depth of character through his musical portrayal.

The Prince’s theme (beginning m. 124 in “Mazurka and Entrance of the Prince”), though only 41

measures long, depicts him as a vigorous, athletic royal with unrevealed depths.

The form of the Prince’s theme has both normal and abnormal qualities. The phrases are

mostly four measures long, but they are offset by one beat. The easily recognizable returning

basic idea (shown in ex. 3.13) announces formal divisions and provides an example of the one-

beat offset. As a result of the offset, a diagram of the form appears to have many elisions. In fact,

though, the offset is in play for every part of the theme except the introduction and codetta. The

Prince’s theme is made up of three sentences, of 8, 12, and 12 measures, accounting for the

offset (see table 3.2). The thematic ideas most likely were offset so that cadences would fall on

the strong beat, resulting in characterization of the Prince as both different from the norm (offset)

and stronger because of it (strong-beat cadence).

64

Example 3.13: The Prince’s basic idea, offset by one beat (mm. 134-137)

Table 3.2: Form chart of “The Prince”

Sentence 1 Sentence 2

Phrase Intro Presentation Continuation Presentation Continuation

Thematic

Idea b.i. b.i. c.i. b.i. b.i. c.i.

Measures 124-125 126-128 128-130 130-134 134-136 136-138 138-146

Tonal Center C

Cadences altered-IAC altered-PAC? altered-PAC IAC

Expanded Sentence 3

Phrase Presentation Continuation Codetta

Thematic Idea b.i. b.i. b.i. c.i.

Measures 146-148 148-150 150-152 152-158 159-164

Tonal Center C

Cadences altered-IAC altered-PAC PAC

One abnormality is the presence of a few too many cadences to match the true definition

of a sentence, in which no cadence is achieved at the end of the presentation phrase. In this way

the first phrase of each sentence behaves more like an antecedent than a presentation. Another

way in which these sentences behave more like periods is the varied continuation phrases. They

are all different and each begins with new material that has little to do with the basic idea, except

on one occasion. Fragmentation is somewhat apparent, but mostly at the ends of the phrases.

However, for these parts to be considered the contrasting ideas of periods, the real measure must

65

be altered so that the basic idea becomes four measures long. Another problem with trying to fit

the music into a periodic mold is that there are three presentations of the basic idea followed by

new material. One period might be formed, but another full period cannot. Instead, one is left

with one and a half periods, a form even more unlikely than three sentences.

The overall form has no name, but does resemble rondo form, if one considers the basic

idea to be the refrain (A) and the continuations to be the couplets (B, C, and D). Such an

interpretation is a direct contradiction of the sentential structure, however. As a result, the large-

scale form is ambiguous. Its internal tripartite quality is a vague reflection of Cinderella’s three

themes. Aside from being made up of three sentences, the contrasting ideas provide three

possible characteristic themes in addition to the Prince’s basic idea. The seemingly extraneous

introduction and codetta do not play a part in the true formal structure, but are important in

several other ways.

The two-measure introduction (ex. 3.14), though it uses harmonies not found in the basic

idea, provides a basis for the basic idea. It introduces the rhythmic pattern (quarter-eighth-eighth-

quarter) that sounds throughout the entire basic idea and through parts of the contrasting ideas.

This is the basic mazurka rhythmic pattern, which typically accents the weak beats. Because of

the one-beat offset, the accents remain true to traditional triple meter, indicating the Prince’s

simultaneous conformity and individuality. The mazurka that precedes the entrance of the Prince

and the relationship of his theme with the mazurka also define the Prince as fierce. Mazurkas are

often “fiery and warlike in character,”10

and the former attribute agrees with Prokofiev’s

intention in characterizing the Prince.

10

Don Michael Randel, ed. The Harvard Concise Dictionary of Music and Musicians (Cambridge, Massachusetts:

Harvard University Press, 1999), 407.

66

Example 3.14: The Prince’s Introduction (mm. 124-125)

The introduction also starts the piece with rising energy, an energy that the rest of the

piece must uphold to truly illustrate the Prince as “fiery.” Octave doubling and the melodic

arpeggiation of triads indicate an active character that moves in leaps and bounds. Where in

Cinderella’s themes this melodic outlining of triads represents her uncomplicated, unchanging

core, in the Prince’s theme it represents his assertive, ambitious personality. As if the outcome of

this ballet were at all uncertain, the use of an established Cinderella motive in the Prince’s

introduction, characterizing him as one who pursues his heart’s desires, foreshadows his

ultimately successful pursuit of Cinderella.

With its rapidly descending unison triplets, the codetta (ex. 3.15) provides the best

example of the Prince’s “wind and flame.”11

It sounds like a forceful twist of wind, and its

culmination in the Prince landing “legs astride, on the throne”12

only reinforces the impression

that the Prince blew in, full of energy, to command the room. This final reiteration of the

Prince’s energy, status, and confidence is the hermeneutic purpose of the codetta, but it serves a

more practical purpose, as well.

11

Morrison, The People’s Artist, 260. 12

Sergei Prokofiev, Cinderella, Op. 87 (Hamburg: Musikverlag Hans Sikorski, 1957), 76.

67

Example 3.15: Codetta, “The Prince” (mm. 159-164)

The cadence preceding the codetta (m. 158) is somewhat unusual. The most sensible

analysis, and the one most consistent with “standard” resolutions, is an analysis that considers

the downbeat of m. 158 to mark a suspension, making the cadence a Neapolitan-tonic figure. The

third of the Neapolitan (F) is still aurally present from its three-octave sounding on the second

beat of m. 157, and resolves in all three octaves on the downbeat of m. 158 (see ex. 3.16). While

the stepwise resolutions and suspension create smooth voice-leading, it does not match the

strength of previous cadences. For the supposed final cadence of a piece depicting an energetic,

passionate Prince, this is not nearly strong enough. The codetta corrects this weak cadence first

by restating the tonic chord in various permutations (as a major-seventh and added flat-second,

to name two) and finally by the “windy” unison descent of four octaves that lands on tonic. By

reiterating tonic in so many ways, most particularly through the four-octave descent, the codetta

completes the cadential and musical portrait of the Prince.

68

Example 3.16: Altered-PAC, “The Prince” (mm. 157-158)

Between the introduction and codetta, formal repetition and emphasis on the basic idea

characterize the Prince as a man who is sure of his place in society, though he may not always be

comfortable there. The number and types of cadences support this interpretation. All of the

cadences in the Prince’s piece are authentic, with about an even number of imperfect and perfect

cadences. By far the most common cadence is the altered cadence involving a VM7

-I. Both the

altered-IACs and -PACs use this type of dominant, though not in every case.

Harmonically, this piece makes almost exclusive use of major chords, most particularly

in the basic idea. What’s more, due to the repetitive nature of the basic idea, the same major

chords are used throughout: C-D7-Db

M7, with the cadential addition of g

7-G

M7-C. The one

common note in the chords of the basic idea is C, tonic. Its universal presence characterizes the

Prince as either a stable person, sure of himself and his place, or one locked in place by societal

strictures. The latter interpretation, while tempting for its drama, does not fit with the depiction

of the Prince provided by the rest of his music, including the introduction and codetta. However,

it remains a possibility, as the basic idea and the continuations are quite different in character.

Because all of the chords of the basic idea are major and include tonic, the progression is highly

abnormal. Except for the cadences, the same may be said of the entirety of the Prince’s theme –

69

traditional harmonic progression is abandoned. This is yet another way in which the Prince is

different from his subjects, whose preceding mazurka makes use of familiar (modern)

progressions.

In accord with the repetitive harmonic progression of the basic idea, the melodic idea is

also highly repetitive. It is focused on G, or scale degree 5, with semitone diversions to either

side. Such a restricted basic idea supports the interpretation of the basic idea representing the

Prince as a man forced into a societal role. At the same time it sounds majestic, like a fanfare

simply announcing his presence. However, the announcement was accomplished with the

introduction, suggesting that the static nature of the basic idea is more representative of his

relationship to the court in which he lives. His discomfort with the restrictions of the court is all

the more obvious when compared to the continuations that reveal his individuality.

The use of various continuations emphasizes the Prince’s singularity in a palace full of

courtly clones. Not only does the Prince receive the first unison texture of significant length in

the piece, he receives two lengthy unison phrases, neither of which has been sounded previously

(examples 3.17 and 3.18).

Example 3.17: First continuation, “The Prince” (mm. 130-134)

70

Example 3.18: Beginning of second continuation, “The Prince” (mm. 138-142)

The third continuation (ex. 3.19), while not another unison phrase, is also unique in its

suddenly thick texture and complete disregard for harmonic progression, even the unusual

progression of the basic idea. Though there are three separate ideas, they do not actually follow

the example of “Cinderella” by defining three different aspects of the Prince’s character. Instead,

they expand upon his already established character points. The first and shortest continuation

does little more than reinforce his individuality with a unison texture and unpredictable melodic

course. The second augments the depiction of the Prince as a unique individual with a new

longer idea, somewhat related to both the basic idea (pitch repetition) and the previous

continuation (eighth-note rhythms). Finally, the third continuation develops his individuality

even further by returning to a thick texture with no underlying progression or recognizable

melodic relationship.

Example 3.19: Beginning of third continuation, “The Prince” (mm. 152-155)

71

Melodic tendencies in the Prince’s theme are quite different from those of “Cinderella.”

For example, the leading tone (pc 11) never moves down a semitone to pc 10, but is equally

willing to travel to the traditional pc 0 and the less common pc 9. Likewise, pc 6 most often

moves to pc 8, a tendency at odds with tradition and Cinderella’s theme. Stepwise motion is still

preferred, though the semitone inclination is lessened outside of the basic idea. In fact, stepwise

motion is far more prevalent in general.

In “Cinderella,” any note of the tonic triad could be found to move most often to another

note of the tonic triad. In “The Prince,” tonic triad pitches are more likely to move by step (semi-

and whole-tone) or to repeat themselves than to go to another tonic triad pitch. Pitch classes 0

and 7 in particular like to be repeated, while pc 4 favors a step down to pc 2.

This is not to say that disjunct motion is absent. The tritone, which in “Cinderella” made

only one appearance in 82 measures, is here sounded twice in half as many measures. Both

occurrences are in the third continuation (mm. 154-155, 157). The increased use of melodic

tritones in one of the Prince’s defining phrases corresponds with his passionate nonconformity.

Yet the Prince’s theme has at least one thing besides the arpeggiated triad in common

with Cinderella’s: 7 is the most common pitch class. As has been stated, the static nature of the

basic idea characterizes the Prince as a man stuck in a societal position that does not always suit.

The melodic emphasis of pc 7, or the dominant, plays into that characterization. It is the least

important pitch of the tonic triad; unlike the third, it does not determine quality; unlike the root,

it is not conclusive. Such emphasis on scale degree 5 alludes to dominant harmony and strong

base function within that harmonic context as opposed to the weaker associate function in

tonic.13

As the base of a dominant, the melodic pc 7 becomes more searching – it is looking for

13

In Rifkin, “A Theory of Motives,” 274.

72

its place of (tonic) rest. This is only achieved melodically at the end of the first and third

continuation and the codetta, none of which include dominant-tonic bass motion.

Despite the melodic emphasis on scale degree 5, there is no structural descent from that

pitch. In every instance where a structural descent seems to be formed, some note is missing. At

the end of the third continuation there is either no third (m. 157) or no second (m. 158),

depending on where the cadence actually begins. Even in the codetta’s triplet descent, the final

diatonic melodic descent is missing scale degree 4, not to mention harmonic support. As a result,

any deep-level voice-leading structures are flawed and relevant motivic diminutions are dubious

at best. There is also a distinct lack of both functional and non-functional pitch-class motives, as

scale degree function, except for scale degree 5, is obscured by chromaticism and only the

restated basic idea has a pattern of pitch-classes.

Displacement of individual pitches is difficult to establish, though it seems that some of

the chromaticism of the Prince’s theme should be such. The difficulty arises due to a lack of

indicative harmonic support. The extreme abnormality of the few harmonic progressions makes

determining diatonic shadows a crapshoot. As the Prince’s theme is entirely in C major, no large-

scale tonal displacement occurs.

In short, the Prince’s theme declares him an incredibly unique, active, strong, and

passionate character who is not completely comfortable following the rules of the court. His

oppression is revealed in the repetitive, restricted harmonic and melodic aspects of the basic idea.

His individuality is characterized by a lack of traditional harmonic progression, distinct

continuation phrases, and disregard of formal and structural concerns.

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Duet – The Prince and Cinderella

“Duet” is the first dance that Cinderella and the Prince dance together without an

audience and the first that is unrelated to previous group numbers; it is, in essence, the “Love

Dance” of Cinderella. The main characters’ love is portrayed contrastingly as gentle and strong,

grand and simple. Aspects of both the Prince and Cinderella are included through formal,

melodic, and textural means.

The form is reminiscent of the Prince’s theme in its use of an introduction and codetta.

Excluding those sections, it is more generally related to the Prince and Cinderella’s themes by

virtue of its three-part structure. However, the tripartite structure of “Duet” is completely

different from that of the main characters’ themes. Where “Cinderella” evinces three distinct

themes and “The Prince” has three distinguishable sentences, “Duet” has three larger formal

sections: A B A’. As an example of rounded binary, it is the most formally normative of the three

pieces.

The introduction, like that of the Prince’s theme, is only two measures long (ex. 3.20).

Unlike the Prince’s introduction, this one sets up the principal tonal center, C major, and the

waltz-like accompanimental pattern. It serves little purpose besides establishing accompaniment

and key, as it lacks any melody or progression.

Example 3.20: Introduction, “Duet” (mm. 1-2)

74

The codetta (ex. 3.21) is comprised almost entirely of linear intervallic patterns and

counterpoint, with the occasional full harmony thrown in. As per Caplin’s definition of

“codetta,” it is preceded by a PAC, on the same structural level as the parts of a phrase, focused

on tonic, and short. In fact, there are several codettas within the final four measures, implying

that this section may be a coda. According to Caplin this is not the case, as a coda “is a relatively

large unit: it contains one or more complete coda themes, each ending with a perfect authentic

cadence.”14

Not only is this section definitely small, literally and hierarchically, but two of the

three cadences complete linear intervallic patterns, resulting in imperfect cadences. Though

Prokofiev often treats IACs as strong cadences almost equal to PACs, they are usually full

cadences at the end of a progression. The use of linear intervallic patterns instead of harmonic

progression effectively impedes perceiving the IACs within the codetta as strong enough to stand

for PACs.

Example 3.21: Beginning of codetta, “Duet” (mm. 51-53)

As for the codetta’s hermeneutic purpose, elements from the codetta have been heard

before, particularly in the interlude interrupting the first two periods (mm. 10-13). Due to its

placement within a larger formal structure (the A section), it takes on some of the same

14

Caplin, Classical Form, 179.

75

characteristics as its encompassing section. The A section represents one side of the Prince’s and

Cinderella’s love for each other: a tender, uncomplicated side, discussed in more detail below

(see ex. 3.22).

Example 3.22: Beginning of A section, “Duet” (mm. 3-6)

The interlude, and by default the codetta, reflect this side of their romance through a primarily

two-voice texture, use of linear intervallic patterns, disuse of harmonic progression, and tonic

emphasis.

Another smaller formal relationship is evident in the overwhelming use of periods in the

duet, relating most strongly to the B section (second theme) of “Cinderella.”15

Recall that

Cinderella’s second theme represents her dreams for the future and is characterized by even

phrase lengths and frequent authentic cadences. Her dreams are reflected in her dance with the

Prince through the use of periods and cadences, though not every period is made up of equal-

length phrases.

The A sections of the duet contain one or more periods comprised of four-measure

phrases (see table 3.3). The periods of the B section, on the other hand, possess expanded

consequent phrases, a musical decision that results in a slightly different perception of the

couples’ love for one another than is offered in the A sections. Regular phrase lengths and

15

The forms of both Cinderella’s second theme and the duet may be found in the Appendix.

76

cadences lend the A section a gentle, simple character, supported by a thin texture and slow

harmonic rhythm. In contrast, the expanded consequent phrases found in the B section (see ex.

3.23) create a grander depiction of the characters’ love. This is upheld by a thick texture, faster

harmonic rhythm, and by less final antecedent cadences.

Table 3.3: Form chart of “Duet” (A B A’)

Period 3 Period 4


Thematic

Idea b.i. c.i. b.i.’ c.i.’ b.i. c.i. b.i.’ c.i.’

Measures 22-23 24-25 26-27 28-31 32-33 34-35 36-37 38-43

Tonal

Center C

Cadences (altered-

IAC)

altered-

IAC

(altered-

IAC)

altered-

IAC

Period 5 Codetta

Phrase Antecedent Consequent

Thematic

Idea b.i.” c.i.’ b.i.’ c.i.”

Measures 44-45 46-47 48-49 50-51 51-55

Tonal

Center F-C C

Cadences HC? PAC PAC

Introduction Period 1 Period 2


Thematic

Idea b.i. c.i. b.i.’ c.i. Interlude b.i.” c.i.’ b.i.’ c.i.”

Measures 1-2 3-4 5-6 7-8 9-10 10-13 14-15 16-17 18-19 20-21

Tonal

Center C F-C C

Cadences altered-

IAC

altered-

IAC altered-IAC HC? PAC

77

Example 3.23: Beginning of B section, “Duet” (mm. 22-25)

The cadences of the B section, while very similar to those of the preceding section,

behave differently in context. In the first period of the A section, which cadences are most like

those of the B section, the altered-IAC concluding the antecedent phrase is solidly established

through strong metric placement and duration. The tonic chord falls on the downbeat of m. 6 and

is sustained for the full measure. The same cadences in the B section, however, fall on an offbeat

halfway through the measure (mm. 25, 35) and last only the remainder of the measure, for the

duration of a quarter-note. Even that is undermined by the bass, which alters the quality of the

tonic immediately after sounding the cadence by lowering the third. By placing the cadence in

such a weak metric position for so brief an amount of time, made shorter by quality-altering bass

motion, one’s perception of the phrase structure, and thus its meaning, is altered. Instead of a

period whose constituent parts are separately and easily recognized, it sounds like one long

(albeit repetitive) idea, expanding the scope of the characters’ love. What began as a simple,

tender, perhaps short-sighted idea has become a more far-reaching, mature, eloquent theme.

The A section must return, though, if only because the grandeur of the B section

somehow makes it unable to produce a conclusive, root-position authentic cadence. As if the

love of the Prince and Cinderella has reached such great heights that it cannot be sustained, the

78

simpler, everyday love returns to ground and complete them. Their everyday love does not

completely abandon the mature, passionate love of the B section, though; or rather, their

passionate love is closely related to the gentler version. Melodically as well as formally, the

themes of the B section resemble those of the A section.

The most obvious melodic relationship of the A and B sections is actually between

different ideas. Example 3.24 compares the basic idea of the second period with the contrasting

idea of the third period. As the example shows, the relationship is not exact. The interval of

transposition is at first a fifth, but three notes in becomes a fourth, at which interval it holds.

Also, due to a change in meter from compound triple (9

8) to compound duple (6

8), the metric

placement of component parts of the melody is slightly different. The addition of a non-chord

tone at the end of the contrasting idea further displaces the metric location of the final note.

Despite all of these alterations, the melodic relationship remains and is easily recognizable.

Example 3.24: Melodic segment of Period 2 (3.24a) also found in Period 3 (3.24b),

transposed up and adjusted metrically, “Duet”

3.24a. Basic idea (mm. 7-8)

3.24b. Contrasting idea (mm. 24-25); added appoggiatura circled

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“Duet” shares melodic tendencies with both “Cinderella” and “The Prince.” The one

common factor shared by all three is the extreme presence of pc 7. Pc 7 is slightly less present in

the duet compared to Cinderella’s theme, as it accounts for about 21 percent of the notes versus

Cinderella’s nearly 30 percent. This is still a greater presence than in the Prince’s theme, which

is around 17 percent pc 7. However, the more concentrated presentations of pc 7 in “The Prince”

play a larger hermeneutic role than does the greater percentage of pc 7 in “Duet.”

Melodic similarities between “Cinderella” and the duet besides the prevalence of pc 7 are

few. Though any pitch of the tonic triad may be followed by another pitch of the tonic triad, they

may also be followed by practically any other pitch. The only tonic triad pitch that seems to

prefer motion to another note from the triad is pc 4, which goes to pc 7 more often than to any

other pitch class. Both pieces share a dearth of pc 1’s, but show no real similarity in the

infrequent use of that pitch class.

“The Prince” and “Duet” share a few more melodic tendencies, including the tendency

for pc 3 to move to pc 6, for pc 8 to go to pc 7, and for the piece to include more than one tritone.

There are two tritones in the duet, and they, like the tritones in the Prince’s theme, are in close

proximity (mm. 39-40, 40-41). In both cases the tritone leaps appear in climactic sections.

Unlike both “Cinderella” and “The Prince,” the duet’s melodic preference for pc 7, or

scale degree 5, presents a legitimate candidate for a structural descent. The fact that most of the

piece and all of the cadences are in C major makes the presence of a structural descent more

likely. However, if the Urlinie is a 5-line, the initial scale degree 5 is approached by an unusual

mixture of stepwise motion and arpeggiation down to the head tone (ex. 3.25). As the example

shows, while everything is clearly anchored in tonic harmony, the prolonged B, which appears as

an incomplete neighbor to C, and the subsequent B-G skip anticipate the dominant. A deeper-

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level graph would show only the C-G arpeggiation. In the final descent (excluding the codetta),

scale degree 5 is supported first by an inverted dominant, then by a secondary dominant (C:

V7/ii, or VI

7), and finally by a questionable dominant-seventh, after which there is only a brief

mention of a chromatic scale degree four, supported by a VII6

(ex. 3.26). The dominant-seventh

is not immediately apparent from the texture; a look ahead a ex. 3.29 reveals why it applies.

Example 3.25: Arpeggiated descent (?) to head tone, “Duet” (mm. 3-4)

Example 3.26: Final descent, including secondary support for scale degree 5 and

chromatically displaced scale degree 4, “Duet” (mm. 48-51)


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3.26b. Final descent

As a 3-line, the head tone is produced almost immediately via an “arpeggiated” ascent

(skip from scale degree 1 to 3). The problem with a 3-line appears in the final descent, in which

the harmonic support begins as a secondary dominant (C: V7/ii), the same secondary dominant

that supported scale degree 5 after it had received dominant support. More importantly, the 3-line

does not reappear throughout the piece.

There are smaller reproductions of the 5-line throughout the piece resulting from

restatements of the theme and frequent cadences. These are examples of Rifkin’s systemic

motive, which “links the pitches of a motive to tonal functions, and asserts that a motive is

defined by the repetition of a function, and not by the repetition of pitch classes.”16

In the linear

intervallic progressions of the interludes and codetta, however, the 3-line is most common. As

these do not play a decisive role in the rounded binary proper and only serve to prolong tonic,

their presence does not argue for a 3-line overall. Still, this miniature 3-line is a motive, though it

does not necessarily adhere to any of Rifkin’s systemic or pitch-class motives.

16

Rifkin, “A Theory of Motives,” 267.

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As mentioned previously, the majority of the cadences in the duet are altered-IACs.

These take many different forms, from each other and from those seen in “Cinderella” and “The

Prince.” One type of cadence, found exclusively in Period 1, makes little sense in terms of

traditional cadential figures (ex. 3.27). Taking the notes that fall on the beat as the most

important, the penultimate cadential harmony (mm. 5, 9) is C♯7 over a sustained dominant scale

degree, an enharmonically respelled Neapolitan chord with an added seventh. However, with the

dominant pedal, preceding dominant harmony, and sustained scale degree 7 in the top voice,

dominant harmony is clearly underlying the predominant Neapolitan. Furthermore, the third of

the Neapolitan (E♯) may also function as an enharmonic dominant seventh. The fact that it

resolves traditionally supports its dominant function. Thus, the predominant does not substitute

for the dominant, but acts in simultaneity with the dominant.

Example 3.27: Altered-IAC, “Duet” (mm. 5-6)

Even disregarding the underlying dominant functions, every single pitch of the N7

resolves by semitone to a tonic triad note and the dominant pedal resolves, as expected, by fifth,

though it arrives one beat late. This type of semitone voice-leading in place of the traditional V-I

cadential figure has been used before by Prokofiev, in both Cinderella’s theme and the Prince’s.

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Such exclusive use of motion by semitone has not been the case, but the pairing of semitone

voice-leading and dominant-tonic bass motion has. The one example of a N-I cadential figure in

the Prince’s theme (see ex. 3.16) is disrupted by the insertion of a set of non-chord tones,

breaking up the smooth voice-leading.

The almost-cadences of the B section antecedents have been explored already, but their

consequent cousins have not. Because the harmonic rhythm of the B section is faster than that of

the A sections, the chord that immediately precedes the cadential tonic should be a dominant-

functioning chord. Instead of a dominant chord, however, Prokofiev uses a Gr+6

with a non-

chord tone (mm. 30-31, 42-43). Again, replacing a dominant with a predominant harmony results

in very smooth voice-leading in which two of the voices do not even move. That is, two of the

voices should not move; in actuality, the bass, which had been sustaining the tonic scale degree,

drops out. Looking back past the cadential measures, the bass motion revealed is dominant to

tonic; the harmony supported by a dominant bass is V+7

, a variation of V that has been used

many times before (ex. 3.28). The tonic bass underlies several different harmonies, all of which

are a semitone distant from tonic, which also appears. However, the tonic harmonies are

metrically weak and in the midst of a rising melodic progression. An effect of extreme

displacement is produced, in which either the tonic bass arrives one measure too early or the

melodic resolution arrives one measure too late. Bass refers to this as a “partial displacement.”17

17

Bass, “Chromatic Displacement,” 209.

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Example 3.28: Partial displacement and altered-IAC, “Duet” (mm. 29-31)

These predominant cadential figures serve a purpose greater than the generation of

semitone voice-leading. They draw from cadential actions in the themes of the Prince and

Cinderella, connecting the lovers in an abstract way. To be even more abstract, these cadences

may be seen as a musical depiction of the unexpected ease (resolution by semitone) with which

two people (Cinderella and the Prince) from different social circles (working class/predominant

vs. royalty/tonic) fall in love.

Tonally, the duet never travels far from C major. There are two instances of F major

material (mm. 14-15, 44-45), but there are no corresponding cadences. In this respect “Duet”

takes after the Prince’s theme, which is also entirely in C major. Given that the Prince’s theme,

representing him as a strong, certain individual, is in C and that every statement of Cinderella’s

second theme, representing her dreams for the future, is also in that key, the fact that their duet is

also in C major is important. Their love, as evidenced by the tonal stasis, is a unification of the

Prince’s self-confidence and Cinderella’s dreams.

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Though key areas are not displaced, internal harmonies and melodic pitches of phrases

are chromatically displaced. Almost all of the chromatic pitches in the first period (and any

restatements thereof) can be understood as displaced diatonic pitches. The goal of the melody is

clearly tonic, supported by an established tonal center, unambiguous cadence, and primarily

stepwise descending contour. Thus, even though several pitches are chromaticized, they still

function as the diatonic shadow would. In particular, ♯4 functions as the diatonic scale degree 4

would by resolving down to scale degree 3 (ex. 3.29).

Example 3.29: Shadow structure (top) and surface structure (bottom) of basic idea in A section

of “Duet” reveals chromatic displacement of scale degree 4; mm. 3-6 (refer to ex. 3.22)

Melodic displacements and chromatic pitches lend the diatonic theme a slight thrill by

blurring the line between the two. Though the displacements behave as would their diatonic

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counterparts, the certainty that they are displacements arrives with the resolution. The same may

be said for the truly chromatic pitches, such as the sharp tonic in m. 5. Because the following

note determines a pitch’s displaced or chromatic quality, the uncertainty of which it might be

provides a little melodic adventure. The main characters’ love is not dull or predictable, but

exciting and changeable.

“Duet of the Prince and Cinderella” gives voice to their love for one another. It is both

tenderly simple and powerfully grand, two portrayals made evident by formal divisions and

changes in tempo and texture. Cadence types and strengths affect characterization as simple or

grand, as does harmonic rhythm. The use of motives, including reproductions of the structural

descent, and chromatic and displaced notes creates connections between the two classes of love.

Cinderella and the Prince are further joined by the inclusion and melding of aspects of each of

their character-defining themes.

Summary

In this chapter, the themes of Cinderella and the Prince were shown to characterize them

individually through the use of particular formal, melodic, and harmonic structures. The

modified rondo form of “Cinderella” reflects her individuality through its modifications: the A

section is “extra,” and the five-part rondo that results includes two thematic ideas, not three. The

Prince’s theme does not fit into any formal mold, as it is made up of an introduction, three

sentences, and a codetta. He is established as a strong, unique character who follows some

formal principles but is not bound by tradition. The formal principles that he does follow are

small-scale, namely phrase structure.

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Phrases in “The Prince” vary in length, particularly the sentential continuations; the

presentation phrases are more regular. Distinct differences between presentations and

continuations, especially texture, reveal two sides of the Prince’s character. He is both a Prince,

with all the societal duties that entails (basic idea), and a vigorous young man who revels in his

individuality (continuations). Cinderella’s phrases are less defined due to misplaced/missing

cadences, possible dual functions, and expansions. In contrast to the rest of the piece, the B

section, representing her dreams for the future, is always made up of even-phrased periods. The

use of a traditional theme type and regular phrases separates this section from the others,

characterizing her dreams as more stable than her reality and her passion. Cinderella and the

Prince have little in common in terms of phrase structure, except that the sentences in

“Cinderella,” modified and expanded though they may be, are in only the theme representing her

passion for the Prince. Thus there is a small-scale formal connection between the main

characters’ themes.

Tonal centers play a large role in determining characterization, as they inform both large-

and small-scale form and affect mood. “Cinderella” travels through several keys, almost all of

which are major. Minor keys are used specifically to reference Cinderella’s rotten home life

while C major always represents her dreams. Her passionate theme uses several different major

keys and does not always fully establish them before moving on. The Prince’s theme is entirely

in C major, as evidenced by the cadences. Interestingly, Cinderella’s passion theme, which uses

similar phrase structures to the Prince’s, is not the one that is tonally associated with the Prince’s

theme. Her entirely-in-C dream theme refers ahead to the Prince’s entirely-in-C theme,

indicating that the Prince is the man to fulfill her dreams.

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Cadences support the characterizations provided by tonality and form, especially in

“Cinderella.” Not surprisingly, the strongest and most consistent cadences are in the B section.

Those of the A section are either misplaced and weak (mm. 4-5) or entirely absent (m. 11),

emphasizing Cinderella’s unhappiness – she can find no true place of rest. The C section

cadences are varied in type and strength, indicating the less restrained nature of her passionate

side. The Prince’s cadences are all authentic and often altered. They confirm him as both a

Prince and a man. All of the cadences concluding the basic idea are the same and further

illustrate his unchanging role as Prince; all of the cadences concluding the continuations are

different, reinforcing his uniqueness. The Prince’s surety is apparent in the use of only authentic

cadences.

Melodic tendencies in “Cinderella” generally match traditional tendencies, except for the

traditional tendency tones. While pc 11 and pc 6 do resolve up, following traditional tendency, in

Cinderella’s theme they more often resolve down by semitone. Conjunct motion is preferred and

disjunct motion is usually triadic. The slight alterations of traditional tendency tones in a

primarily conventional context give Cinderella a small level of independence. Like the tendency

tones, she does not always do what is expected of her. Tendencies in “The Prince” are quite

different. The leading tone, which appears much less frequently, is equally willing to resolve up

to tonic as it is to resolve down, not to pc 10, but pc 9. As for pc 6, it occasionally resolves

traditionally, up to pc 7, but much more often moves to pc 8. The Prince’s theme shows a much

stronger preference for stepwise motion, but at the same time is less partial to traditional

tendencies. This reveals him to be freer than Cinderella.

The use of motives, or lack thereof, supports the idea that the Prince has more freedom

than Cinderella. The only connective motive between parts of the Prince’s theme is rhythmic,

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established in the introduction and used throughout the basic idea and seldom used in the

continuations. There is no structural descent and no suggestive small-scale descents.

“Cinderella,” on the other hand, has several motives that appear throughout her themes,

including rhythmic, melodic, and functional pitch-class motives. Like “The Prince,” “Cinderella”

ultimately does not have a structural descent, which is thwarted by the final cadence. However,

the possibility of an overarching structural descent is mimicked by the functional pitch-class

motive of her B theme. In addition to the connective melodic motive that appears in two themes

and the rhythmic motive that appears in all three themes, the hint of a large-scale descent pulls

everything together.

“Duet” draws from the main characters’ themes to depict their love, but also uses

structures unique to itself for the same purpose. Formally, it is similar to both themes primarily

in its tripartite structure, and to the Prince’s theme in its use of an introduction and codetta.

Rather than three sentences or a modified rondo form, the duet is in rounded binary form, the

most normative form of the three pieces. Cinderella’s and the Prince’s individualized forms are

abandoned in favor of a more traditional, settled form, as if love provides the most secure home

for both. The phrase structure is almost entirely periodic, excepting a three-measure interlude in

the A section. Phrases in the A sections are regular, four-measure phrases; those of the B section

are subject to expansion, particularly in the consequent phrases. Like the rounded binary form,

the use of mostly regular periods implies a certainty and satisfaction in Cinderella and the

Prince’s love and references Cinderella’s dreams, also periodic. Still, their love is unique in that

the contrasting ideas of the antecedent and consequent phrases are more alike than the basic

ideas.

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Cadences are also regular, though many are altered. Mostly authentic cadences are used,

in keeping with both “Cinderella” and “The Prince.” Some of the altered cadences, such as the

Neapolitan-tonic figure, are drawn from the Prince’s theme, while others, like the VII-I

cadences, are not found in either characters’ themes. Tonal centers are clearly related to both

“Cinderella” and “The Prince,” as the primary tonal center is C major and the only other key is F

major. C major was the tonal center of Cinderella’s dream theme and the Prince’s theme; F

major was one of the established keys of Cinderella’s passionate theme. Her dreams and passion

find fulfillment in loving and being loved by the Prince.

Melodic tendencies provide the greatest reference to the Prince besides the tonal

emphasis. “Duet” shares more melodic tendencies with “The Prince” than with “Cinderella,”

though they all share a proclivity for pc 7. Stepwise motion is preferred and traditional

tendencies are less observed. The combination of these ideas results in chromatic displacement

of pitches and partial harmonic displacement. Chromatic displacement is particularly apparent in

the phrases of the A section, in the thematic idea representing the tender side of the main

characters’ love. The partial displacement occurs at two cadence points in the B section, which

represents the grander aspect of their love.

Both aspects of Cinderella’s and the Prince’s love, the tender and the grand, are

connected through the use of a melodic motive. Though transposition, change in meter, and

addition of a non-chord tone alter the motive in the B section, the relationship is readily apparent.

The fulfillment of Cinderella’s dreams and passion, evident in the tonal emphasis on C major, is

also represented by the presence of not only small-scale 5-line descents, but a corresponding

structural descent. Where neither “The Prince” nor “Cinderella” could complete a structural

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descent alone, their mutual love makes such a descent possible. The higher-level replicas

reinforce locally the completion that is achieved overall.

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CHAPTER IV. COMPARISON OF ROMEO AND JULIET AND CINDERELLA

The leads in Prokofiev’s Romeo and Juliet and Cinderella are unique individuals in

different love stories. Each individual, Romeo, Juliet, Cinderella, and the Prince, has a theme that

characterizes him/her through the use of form, phrase structure, melodic tendencies, motives,

tonal centers, cadences, and other harmonic aspects. Their partner dances, the love dance and

duet, provide musical illustrations of their love for each other, often through the combination of

elements from the individuals’ themes as well as through new formal, melodic, and harmonic

elements. The previous chapters explored the individuals’ and couples’ themes and the

relationships of these pieces in each ballet. This chapter will compare and contrast the findings

concerning parallel characters/dances to determine if and how they are related.

Romeo and the Prince

Though Romeo and the Prince share few character traits save self-confidence, their

musical depictions show many similarities. To begin with, both of the heroes’ themes are fairly

short, especially in comparison with the themes of their leading ladies. The notated tempos are

observed through almost the entirety of their themes, the exception being Romeo’s codetta.

However, the tempo of “Romeo” is quite different from that of “The Prince.” Where the former

is Andante, characterizing Romeo as confident and unhurried, the latter is piu mosso ben ritmato,

indicating a confident, energetic character. Both characters’ themes emphasize rhythm as much

as melody, as evidenced by Romeo’s introduction and the Prince’s basic idea. The introduction

of “Romeo” sets up the accompanimental pattern that underlies the whole of the piece. Though

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harmonic aspects change with the melody, the rhythm never alters. The Prince’s basic idea is

even more static, never changing rhythmically or harmonically in any of its iterations.

In addition to rhythmic emphasis, both themes make use of chordal melodic textures as

often as, if not more than, contrapuntal or melody and accompaniment structures. This serves to

distinguish Romeo and the Prince as men, especially in contrast to the lyrical, melody-focused

themes of Juliet and Cinderella. However, the men do have sides of themselves that lean towards

sentimentality, especially Romeo. His legato B section and dreamlike codetta reveal a softer side

of his personality. The Prince’s nod to lyricism is less obvious, as it is established by borrowing

a motive from his yet-to-be-met love.

Despite sharing surface details like rhythmic and chordal emphasis and steady tempos,

many deeper details do not correspond. The form of “Romeo” is small ternary with a bookending

introduction and codetta. Its phrase structure is fairly straightforward, as well, forming several

examples of Caplin’s Hybrid 3, a compound basic idea and continuation. At first glance the form

of “The Prince” seems similar, and in fact it has the introduction and codetta in common, as well

as a three-part internal structure.1 However, the three parts between the introduction and codetta

are three sentences that all use the same basic idea. There is no name for such a form.

The different applications of returning ideas in “Romeo” and “The Prince” imply

different interpretations. For “Romeo,” the A’ section is a return from a lyrical melodic idea to a

more “manly,” jaunty, staccato basic idea. It is as if Romeo wants to hide his sentimental side

from the world at large, which is accomplished by restating his more masculine-sounding theme

(and subsequently negated by the codetta). In “The Prince,” the basic idea represents his societal

role, which, though it gives him assurance, is slightly repressive. Its frequent return after the

more individualized continuations indicates how the Prince’s responsibilities continually pull

1 See table 3.2 or Appendix.

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him from being completely himself. While “Romeo” affects a return to A for purposes of public

appearance, showing him to be a little vain, the return of the Prince’s basic idea is reluctantly

dutiful, revealing his integrity.

Melodically, the heroes’ themes are similar and different. Generally, both themes match

Stephenson’s discoveries for Romeo and Juliet: “(1) that any pitch may be followed by

practically any other pitch, although (2) conjunct motion is preferred, and (3) motion by tritone is

avoided.”2 In some ways the melodies of Romeo’s theme behave more classically than those of

the Prince’s. For example, Stephenson’s new tendency tones, pcs 4 and 10, do not follow their

new tendencies (motion to pc 2 and 11, respectively) in “Romeo,” but surprisingly do enact them

in “The Prince.” On the other hand, pc 5, a traditional tendency tone, behaves normatively in the

Prince’s theme but non-normatively in Romeo’s. Interestingly, pc 5 also does not observe the

general trends of the rest of Romeo and Juliet, but tends to precede pc 3 instead of pcs 4 or 6. In

both cases the leading tone prefers its traditional resolution over any other, showing more

flexibility in “Romeo.” In general, though the pitches of “Romeo” are just as likely to be

followed by any other pitch class, “The Prince” follows more of the tendencies noted by

Stephenson. As those tendencies often diverge from or expand upon established Romantic and

Classical tradition, the Prince is characterized as forward-looking and modern. Romeo’s melodic

tendencies prove him to be more rooted in tradition.

“The Prince” shows a melodic preference for scale degree 5 and “Romeo” shows a

slightly lesser preference for scale degree 3, each suggesting a structural descent from that pitch.

However, neither piece actually accomplishes a structural descent, nor do they make consistent

use of the descent as a small-scale motive. Without an Ursatz or derivative motives, or any other

recurring motivic idea, the different aspects of each character must be fused by another means.


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“Romeo” travels through more tonal centers than “The Prince.” All of these tonal centers

are established with authentic cadences. The Prince’s theme is entirely in C major, whereas

Romeo’s theme moves between F major, C major, and E major. While the majority of Romeo’s

B section is diatonic (in both E and C major) and the introduction and A section seem diatonic

(in F major), the latter always uses a raised fourth scale degree – that is, until the modulation to

the dominant begins. As a result, a non-functional 5-6 sequence is formed. In “The Prince” there

seems to be no attempt to establish the diatonic scale at all, through melodic or harmonic means.

However, all of the chromatic pitches in the basic idea circle around notes of the tonic triad, as

do most of the chromatic pitches of the contrasting ideas. Harmonically, major qualities are

emphasized, resulting in a non-traditional progression. Again, Romeo is presented as the more

traditional hero, though he does have his own quirks.

Cadences present no contradictions to the conclusions drawn from melodic and harmonic

characteristics. Both pieces use only authentic cadences of some sort, but the chords functioning

as the dominant are unique to each piece. Depending on the harmonic rhythm, cadences in

“Romeo” tend to be a chromatically altered dominant to tonic (see ex. 2.7) or a root-position

leading tone IAC. In “The Prince,” all of the cadences completing the basic idea use a major-

seventh dominant. The contrasting idea cadences of the Prince’s theme are more varied, but two

of the three suggest a Neapolitan-tonic cadential figure (see ex. 3.16), a cadence that is not found

in “Romeo.” Each piece makes use of one type of semi-traditional cadence and one non-

traditional cadence. While the leading tone IACs of Romeo’s piece are different from normal

leading tone IACs only in that they are in root position, the VM7

-I cadences of the Prince’s piece

merely change the quality of the traditional dominant seventh. Neither can be counted as more

traditional than the other. The truly altered cadences prove less comparable. On one hand is the

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ambiguous dominant, still recognizable as a dominant because of root motion by fifth, though the

split third and fifth obscure the harmony itself. On the other hand is the pre-dominant harmony

functioning as a dominant, in one case with no harmonic support and in another with intervening

non-chord tones. In both cases the altered dominant results in very smooth voice-leading

between pertinent chords. Because Romeo’s cadence retains its dominant identity, no matter the

semitone adjustments, it is less unusual than the dominant-functioning Neapolitan of the Prince’s

theme.

Neither piece makes notable use of displacement, either small- or large-scale. Key

relationships are fairly traditional and follow established patterns; no tonal centers a semitone

apart appear beside each other. Large-scale displacement is a moot point in “The Prince” due to

its tonal stasis. This lack is particularly interesting, as chromatic displacement would add another

level of flouting tradition to either character, were it used. Perhaps further disregard for tradition

would force the heroes to be seen as too rebellious, especially the already adventurous Prince.

Romeo and the Prince are similar in that they are both the heroes of their respective tales,

their music focuses on chordal texture and rhythmic quality, they are characterized as self-

confident, and the forms of their pieces are tripartite, but deeper formal, melodic, and harmonic

considerations reveal them to be quite different. The Prince’s melodic chromaticism, disregard

for harmonic progression, altered cadences, and unnamable form describe him as more

adventurous, forward-looking, and individual than Romeo. Romeo is not characterized as a man

governed by tradition, but one still connected to it.

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Juliet and Cinderella

The heroines of Prokofiev’s ballets both have complex pieces made up of several

defining themes. Juliet’s themes present her as playful, thoughtful, and mature, all of which

interact to form a character who is navigating the Neverland between childhood and adulthood.

Cinderella’s three themes – representing her suffering, dreams, and passion – define her as a

woman with untapped depths. Preferences for melody and accompaniment or contrapuntal

textures distinguish these themes as feminine, as opposed to the more chordal themes of the

Prince and Romeo. The rhythmic emphasis found in the heroes’ themes is absent in those of

Juliet and Cinderella.

Both “Juliet” and “Cinderella” are best described as having modified rondo forms,

though the modifications are unique to each piece.3 Juliet’s modified rondo results from an extra

statement of the C section before the final A section (ABACADCA), without which it would

form a seven-part rondo. The modified rondo of “Cinderella” results from the repetition of the B

section instead of the A section, which never returns (ABCBCB). Were the A section not present

it would be a modified five-part rondo. In terms of traditional forms, “Cinderella” is the most

abnormal because even without the A section it would not form a normative five-part rondo,

whereas removing an appropriate section from “Juliet” does create a normative rondo form.

Formal modification indicates a complex character who does not always follow the rules. Juliet’s

complexity is evident in the use of a number of different themes and their organization.

Cinderella’s complexity is determined more by the unusual order of themes than by their

number.

Phrase structure plays a role in the depth of complexity, as well. Almost all of the theme

types in “Juliet” are periods of some sort. That is, periods, modified periods, and parts of periods

3 Tables of Juliet’s theme and part of Cinderella’s piece are available in the Appendix.

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are used throughout. The modified period is the most common, appearing not only in the

recurring A section, but also in the B section. If there is a “most common” theme type in

“Cinderella,” it must be the periods of the B section, by virtue of the modified rondo form. There

is no consistency of theme type across formal sections, as each section is defined in part by its

different phrase structure. The A section’s theme type is Hybrid 1 with uneven phrases,

representing the discordance of Cinderella’s home life. The part of the C section that returns is

sentential, depicting her passion through the longer phrases and delayed closure. So, while Juliet

is portrayed as complex primarily through the variation of one theme type, Cinderella is depicted

as complex through the variation of theme types.

Cadences play a role in phrase structure, of course, and in doing so help to define the

characters further. In “Cinderella,” weak and misplaced cadences combine with thematic ideas to

create an irregular, inconclusive A section; consistent, strong, and regularly sounded cadences in

the B section augment the stability of her dreams; a variety of cadence types and strengths, in

combination with phrase structure, support the less restrained passion of Cinderella’s theme C.

“Juliet” uses authentic cadences primarily, the strongest, unaltered versions of which can be

found in the C section, representing her maturity. Similar cadences are used to represent different

characteristics in the two heroines’ themes. The V+(7)

-I altered cadence, for instance, is used in

“Juliet” to represent her playfulness; in “Cinderella” it is representative of the consistency of her

dreams.

There are few similarities in melodic tendencies between the heroines’ themes. Though in

both cases the leading tone retains its traditional tendency and also has a secondary tendency, the

secondary tendencies are slightly different. Cinderella’s pc 11 prefers stepping down to pc 10,

while Juliet’s pc 11 moves a little further down, to pc 9. This suggests that “Juliet” is more

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diatonic than “Cinderella,” a suggestion supported by the tendency of pc 6, as well. In “Juliet,”

pc 6 resolves traditionally, up to pc 7. In “Cinderella,” it more often resolves down to pc 5.

Neither piece treats pc 10 as the new tendency tone that Stephenson found it to be, though

“Juliet” does evidence the new tendency of pc 4 to move down to pc 2. Melodic tritones are used

very specifically in both pieces, again to refer to very different characteristics. The single

melodic tritone in “Cinderella” is evocative of her suffering, due to its prominent appearance in

the minor-key A theme. It is never used in a major-key context, and is thus reserved for

portraying unhappiness. There are two specific melodic tritones in “Juliet,” both at cadence

points, which serve different purposes: to reaffirm Juliet’s playfulness and to alert the listener to

a coming change in character.

Motivically, “Juliet” is less varied than “Cinderella.” The functional pitch-class motive

discovered by Rifkin, in which “B acts as a dominant agent to C,”4 appears to be its only

consistent motive. There is a fragment of the D theme that appears in the coda, but the

relationship is not exact, being primarily rhythmic. Connections between themes are somewhat

tenuous with only the functional pitch-class motive to indicate they are connected. Motives in

“Cinderella” take several forms, including rhythmic, melodic, and functional pitch-class. Of two

particular rhythmic motives, one can be found in themes A and B and the other is apparent in all

of Cinderella’s themes. Similarly, the melodic arpeggiation motive appears at the beginning of

both the A and B themes. Both of these types of motives, while not adhering to any of Rifkin’s

definitions, are readily audible and serve as recognizable surface-level connections between

themes. The functional pitch-class melody, a small-scale 5-line, mimics the anticipated structural

descent, which does not actually occur. All of these motives bind together the different aspects of

Cinderella’s character in a way that is not paralleled in “Juliet,” effectively characterizing Juliet


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as one transitioning into adulthood and Cinderella as an established personality with several

facets.

Both “Juliet” and “Cinderella” travel through many tonal centers in the course of their

themes. Those established in “Juliet” are: C, E, Ab, A, and F major, not necessarily in that order.

By using only major keys, Prokofiev characterizes Juliet as a generally happy person, or at least

one unaccustomed to negative circumstances. In contrast, tonal centers established by authentic

cadences in “Cinderella” include g minor, C major, F major, and c# minor (E major is

established as well, but by repetition, not cadence). The inclusion of minor keys characterizes

Cinderella as a woman who knows both joy and misery.

While all of the tonal centers of “Juliet” may be related by mediant, the order of their

appearance does not always recognize that relationship. Twice, a semitonal relationship is

exploited instead, though in neither case (Ab-A, F-E) is chromatic displacement used to achieve

the shift. Many of the modulations are direct, showing Juliet’s childlike side through the lack of

finesse. Modulations in “Cinderella” are smoother, often moderated by brief monophonic

passages. One such passage occurs between c# minor and C major, utilizing Bass’ cross-

representation to execute the switch efficiently. Aside from this small example of chromatic

displacement, the concept is otherwise apparent only in the substitution of b4 in the functional

pitch-class motive. The use of transitions to move between keys shows Cinderella to be self-

aware and mature.

Juliet and Cinderella share some general musical characteristics, such as a preference for

melody and accompaniment or contrapuntal texture, that name them feminine. They do,

however, have formally complex pieces with multiple themes sounding different aspects of their

characters. However, the characters are quite different from one another. Many times this results

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in the use of different structures, formal, melodic, and harmonic, but sometimes it results in the

different use of the same structure. “Juliet” and “Cinderella” have disparate large-scale forms,

use of phrase structures, melodic tendencies, and number and use of motives. They also have

similar tonal centers and cadences that are used to represent differing aspects of their characters.

Though they are parallel figures in their respective ballets, their characters are distinct enough to

warrant often dissimilar musical representations.

Love-Dance and Duet

In both Romeo and Juliet and Cinderella, the main characters have at least one partner

dance that characterizes their newfound love. This study considered only those dances that

closely follow the lovers’ first meetings and which are unobserved by any other character,

namely “Love-Dance” and “Duet.” Both characterize the love of the main characters through

formal, phrase, melodic, and harmonic structures, as well as through reference to the hero’s and

heroine’s themes. The love dance presents Romeo and Juliet’s love as unrestrained, with

passionate, sweet, and playful aspects, and offers hints of their unhappy end. The duet

characterizes the love of Cinderella and the Prince as consistent and uncomplicated, with gentle,

simple, grand, and strong aspects.

Formally, the two pieces are incredibly different, which plays into interpretation.5 “Love-

Dance” has no normative form, though changes in thematic ideas, tempo, key, and texture urge a

modified binary form. Much of the difficulty in assigning a formal label arises from the lack of

conclusive cadences, such as the missing cadence between the A and B sections. The resulting

form of the love dance represents Romeo and Juliet’s love as unrestrained, insensible to

boundaries or constraints. There is no formal similarity between the love dance and the main

5 Forms of both themes are available in the Appendix.

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characters’ themes. “Duet,” on the other hand, is in rounded binary form, the normative nature of

which depicts their love as constant and uncomplicated. It refers to the Prince’s theme in the use

of an introduction and codetta, and abstractly to both lovers’ themes in its use of three parts. In

both cases, the use of a form different from those used for the lovers’ individual themes suggests

that their mutual love creates a new entity unique not to an individual, but to the couple.

Phrase structures in “Love-Dance” and “Duet” support the formal interpretations of

unrestraint and consistency, respectively. Normative theme types are nowhere to be found in the

A section of the love dance, hampered by a profusion of thematic ideas in apparently random

order and missing, elided, or otherwise confused cadences. As the most recurrent themes, (a) and

(d), of the A section represent the passionate and sweet sides of Romeo and Juliet’s love, the fact

that normal theme types are forgotten is unsurprising. The lovers are simply too engrossed in

each other to care about phrase structure. The B section represents the playful side of their love

(referencing a character of Juliet’s theme) and is more orderly in terms of phrase structure. Still,

it is not quite normative in that the real measure changes partway through the first period and the

piece ends with an extended consequent phrase not preceded by an antecedent phrase. The

overall lack of consistent phrase lengths and theme types and changing real measure adds to the

impression of passionate unrestraint. Phrases in “Duet” are much more normative in length,

function, and cadences, forming five periods through the course of the piece. The use of periods

refers back to Cinderella’s dream theme, implying that her dreams are fulfilled in the Prince. By

using only periods and primarily four-measure phrases, Prokofiev characterizes Cinderella and

the Prince’s love as consistent and fulfilling.

As formal analysis has revealed, cadences also influence characterization, particularly in

their presence or absence. However, types and uses of cadences also affect interpretation. Most

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of the cadences in “Duet” are altered-IACs, many of which use a predominant in place of the

dominant cadential harmony to create smoother voice-leading. The uniform type and smooth

motion of the cadences characterize Cinderella and the Prince’s love as not only consistent, but

effortless. Cadences in “Love-Dance” come in many types, including half cadences, and are

treated in a variety of ways. There are no unaltered authentic cadences, and many of the altered

cadences retain some sort of dominant-tonic harmonic motion, or substitute a mediant for the

dominant. Most of the cadences, half or authentic, are weakened by elision, metric placement,

uncertain key areas, or a continuous melody. This results in a piece that seems to overflow with

passion and joy. The use of different types of cadences and the dissimilar treatment of cadences

in “Duet” and “Love-Dance” support diverse interpretations of consistency and passion.

There is also a great deal of difference in the tonal centers of each piece. To begin with,

Cinderella and the Prince’s duet encompasses only two key areas: C and F major, the latter of

which is not established with a cadence. The love dance includes both of those tonal centers as

well as A minor, E, Ab, Eb, B, and Bb major. Again, consistency and unrestraint are apparent in

the expected pieces. Many of the tonal centers reference one or both of the main characters’

themes. The emphasis on C major in “Duet” refers to Cinderella’s dreams and the Prince’s

theme, while the mentions of F major refer to Cinderella’s passion theme; the combination of all

of those in the duet represents the coming together of the two characters as well as the fulfillment

of Cinderella’s dreams and passion. “Love-Dance” refers to Romeo (F, C, and E major) and

Juliet (C, E, Ab major and the minor-mode of A) but also uses new tonal centers (Eb and Bb

major) to characterize their love.

Despite the use of chromatically related tonal centers, especially in the B section, there is

no large-scale chromatic displacement in the love dance. The same is true of the duet, by virtue

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of the predominant/dominant relationship between C and F. However, chromatically displaced

pitches are apparent in the thematic ideas of the duet as well as in the structural descent and

replica 5-lines. The most prominently displaced pitch is scale degree four, which is raised in all

cases but retains the function of the diatonic scale degree.

There are two particular motives in “Duet,” one of which, the 5-line replica, is an

example of Rifkin’s systemic motive. The other is more surface-level, relating the thematic ideas

of the A and B sections. Though slight intervallic adjustments, a non-chord tone, and a change in

meter affect the B section appearance of the motive, the rhythmic and melodic similarities are

pronounced, connecting the sections characterized as sweet and strong. Motives in the love

dance appear primarily in the B section. Melodic and rhythmic similarities between different

themes, particularly themes (g) and (h), form surface-level motives as well as one functional

pitch-class motive. One of these functional pitch-class motives, a passing bass motion from tonic

to submediant, can be found throughout the piece. Motives, both surface-level and deeper,

provide connections between thematic ideas with different characters and draw together multiple

sections. The duet’s systemic motive lends further weight to the consistency of Cinderella and

the Prince’s love by relating the whole to the parts. Romeo and Juliet’s love, though passionate,

does not have such overarching motivic support.

In general, the partner dances examined here have different characterizations that are

established musically through dissimilar forms, phrase structures, and cadences and through the

distinct use of tonal centers and motives. Romeo and Juliet’s love is passionate and unrestrained,

as evidenced by an abnormal two-part form, unequal phrases, weak cadences, multiple and

ambiguous tonal centers, and mostly surface-level motives. Cinderella and the Prince’s love is

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consistent and uncomplicated, characterized by traditional rounded binary form, periodic

structure, consistent cadences, tonal surety, and motives across multiple levels.

Conclusions

Though Romeo and Juliet and Cinderella are both love stories with themes characterizing

the heroes, heroines, and their love, the parallels do not go much further than that. Each character

is unique and many of the defining musical structures are, too. However, some of the same

structures are used to different purposes. Form is one of the musical characteristics that may be

used to distinguish individual characters and dances, as no two pieces share the same form.

Prokofiev seems to use traditional forms to indicate steadiness and surety, modified forms to

indicate individuality, and abnormal forms to indicate a forceful personality/emotion. Phrase

structure falls along similar lines, though the abnormal phrase structures refer less to forceful

emotion than overflowing emotion.

Melodic tendencies are less straightforward. In general, melodic tendencies agreed with

Stephenson’s findings: “(1) that any pitch may be followed by practically any other pitch,

although (2) conjunct motion is preferred, and (3) motion by tritone is avoided.”6 Whether a

piece follows mostly traditional tendencies, some new tendencies, or many new tendencies does

not greatly influence characterization. When the rare tritones are used in “Cinderella” and

“Juliet,” they contribute to completely different characterizations of suffering and playfulness.

Motives are used slightly more specifically to create connections at various levels. Deeper

connections such as the systemic motive generates completion, higher-level connections like the

functional pitch-class motive only imply completion, and surface-level connections like rhythmic


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motives establish continuity. However, a dearth of motives does not necessarily mean that the

character lacks continuity or completion.

Harmonic structures are the least indicative of any particular characterization, except for

the use of minor keys. Among the six pieces examined here, all of the minor-mode moments are

representative of something distressing, be it Cinderella’s treatment at home or a foreshadowing

of Romeo and Juliet’s tragic end. Motion between mediant-related keys sometimes suggests

maturity, but motion between chromatically related keys could be read as immaturity, joyfulness,

or determination. While in the pieces from Cinderella the key of C major is representative of her

dreams, the Prince, and the fusion of those two, there is no corresponding relationship of tonal

centers in the pieces from Romeo and Juliet. Similar cadences are used in many of the pieces, but

often to different effects.

While these well-known characters have been described in studies of Prokofiev’s ballets,

no theoretical work exists that explores what musical features Prokofiev uses to define the

characters and tell their stories in this untexted medium. This study has demonstrated that

Prokofiev characterizes the lead characters of Romeo and Juliet and Cinderella through melodic,

harmonic, and formal means. Aspects of his musical language are used to define them, but much

of the characterization is on an individual basis. Future research might consider characterization

of secondary characters in Romeo and Juliet and Cinderella and/or comparison of character-

defining pieces from different ballets by Prokofiev and others, in search of a more

comprehensive understanding of musical characterization.

107

BIBLIOGRAPHY

Bass, Richard. “Prokofiev’s Technique of Chromatic Displacement.” Music Analysis 7, no. 2

(1988): 197-214.

Caplin, William. Classical Form: A Theory of Formal Functions for the Instrumental Music of

Haydn, Mozart, and Beethoven. New York: Oxford University Press, 1998.

Jaffe, Daniel. Sergey Prokofiev. London: Phaidon Press, 1998.

Prokofiev, Sergei. Cinderella (Aschenbrödel), Op. 87. Hamburg: Musikverlag Hans Sikorski,

1957.

———. Cinderella. DVD. Directed and choreographed by Frederick Ashton. West Long Brach,

New Jersey: Kultur, 1969.

———. Romeo and Juliet (Romeo und Julia), Op. 64. Hamburg: Musikverlag Hans Sikorski,

1958.

———. Romeo & Juliet. London Symphony Orchestra. Valery Gergiev. 2010. LSO0682.

Morrison, Simon. The People’s Artist: Prokofiev’s Soviet Years. Oxford: Oxford University

Press, 2009.

Narmour, Eugene. The Analysis and Cognition of Melodic Complexity: The Implication-

Realization Model. Chicago: University of Chicago Press, 1992.

Perrault, Charles. “Cinderella, or, The Little Glass Slipper” In Classic French Fairy Tales.

Illustrated by Janusz Grabianski. New York: Meredith Press (1967): 40-47.

Randel, Don Michael, ed. The Harvard Concise Dictionary of Music and Musicians. Cambridge,

Massachusetts: Harvard University Press, 1999.

Rifkin, Deborah. “A Theory of Motives for Prokofiev’s Music.” Music Theory Spectrum 26, no.

2 (Autumn 2004): 265-290.

———. “Tonal Coherence in Prokofiev’s Music: A Study of the Interrelationships of Structure,

Motives, and Design.” PhD diss., University of Rochester, 2000.

Samuel, Claude. Prokofiev. Translated by Miriam John. New York: Marion Boyars Publishers,

2000.

Shakespeare, William. Romeo & Juliet. Cambridge University Press, 1955.

Stephenson, Ken. “Melodic Tendencies in Prokofiev’s Romeo and Juliet.” College Music

Symposium 37 (1997): 109-128.

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APPENDIX: FORM CHARTS

Table 2.1: Form chart of “Juliet the Young Girl”

Section A B A C A

Measures 1-4 5-8 9-13 14-19 19-26 27-30 31-34 35-42

Theme Type modified period modified period mod.

period period

mod.

period

Tonal Center C C F-E E-C Ab A

Cadences altered-

PAC

altered-

PAC altered-IAC HC

altered-

PAC PAC PAC

altered-

IAC

Section D C A CODA

Measures 43-48 48-51 52-55 56-60 60-63 64-67 68-71 72-79 80-89

Theme

Type

phrase

group period

presentation + consequent

= uncommon hybrid period

mod.

period

Tonal

Center C F F-E F C

Cadences PC altered-

IAC

altered-

IAC

altered-

IAC PAC PAC

altered-

PAC

altered-

IAC

Table 2.2: Form chart of “Love-Dance” (continued on next page)

A Section Continued

Thematic Idea d e f d e a trans.

Measures 27-30 31-34 35-38 39-42 43-46 47-52 53-56

Tonal Center C? Ab? E C? a?

Cadences (HC) (HC?) ?? (HC) (HC?) altered-

PAC

A Section

Thematic Idea Introduction a b c a a d d

Measures 1-4 5-7 8-10 10-12 13-16 16-18 19-22 23-26

Tonal Center C C-E F a? C C-E

Cadences (altered-

IAC?) (HC?)

altered-

PAC?

altered-

IAC (HC)

(altered-

IAC?)

109

Table 2.2: Form chart of “Love-Dance” (continued from previous page)

B Section


Measures 57-63 64-68 69-75 76-79 82-84 85-91 92-95 100-103



PAC (IAC)

altered-

PAC

altered-

PAC

Table 3.1: Form chart of Cinderella’s second theme

Period 1 Period 2


Motivic Idea b.i. c.i. b.i.' c.i. b.i." c.i. b.i.' c.i.

Measures 11-13 13-15 15-17 17-19 19-21 21-23 23-25 25-27

Tonal

Center C

Cadences altered-

IAC

altered-

IAC

altered-

IAC IAC

Table 3.2: Form chart of “The Prince”

Sentence 1 Sentence 2

Phrase Intro Presentation Continuation Presentation Continuation

Thematic

Idea b.i. b.i. c.i. b.i. b.i. c.i.

Measures 124-125 126-128 128-130 130-134 134-136 136-138 138-146

Tonal Center C

Cadences altered-IAC altered-PAC? altered-PAC IAC

Expanded Sentence 3

Phrase Presentation Continuation Codetta

Thematic Idea b.i. b.i. b.i. c.i.

Measures 146-148 148-150 150-152 152-158 159-164

Tonal Center C

Cadences altered-IAC altered-PAC PAC

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Table 3.3: Form chart of “Duet” (A B A’)

Period 3 Period 4


Thematic

Idea b.i. c.i. b.i.’ c.i.’ b.i. c.i. b.i.’ c.i.’

Measures 22-23 24-25 26-27 28-31 32-33 34-35 36-37 38-43

Tonal

Center C

Cadences (altered-

IAC)

altered-

IAC

(altered-

IAC)

altered-

IAC

Period 5 Codetta

Phrase Antecedent Consequent

Thematic

Idea b.i.” c.i.’ b.i.’ c.i.”

Measures 44-45 46-47 48-49 50-51 51-55

Tonal

Center F-C C

Cadences HC? PAC PAC

Introduction Period 1 Period 2


Thematic

Idea b.i. c.i. b.i.’ c.i. Interlude b.i.” c.i.’ b.i.’ c.i.”

Measures 1-2 3-4 5-6 7-8 9-10 10-13 14-15 16-17 18-19 20-21

Tonal

Center C F-C C

Cadences altered-

IAC

altered-

IAC altered-IAC HC? PAC

PROKOFIEV - Romeo y Julieta - Cinderella

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