Beethoven's Piano Sonatas: An Analysis of Compositional Trends from 1795-1822

Chelsea Bloomberg Spring 2007

Dr. Gerald Berthiaume, Advisor School of Music

College of Liberal Arts

Honors Thesis ************************* PASS WITH DISTINCTION

TO THE UNIVERSITY HONORS COLLEGE:

As thesis advisor for O\~\setb EJOOMb2CC\•

I have read this paper and find it satisfactory.

Thesis Advisor

.;1. / t -;;).. / 0 7 Date

TO THE UNIVERSITY HONORS COLLEGE:

As thesis advisor for O\Q.,k'tb- EjOOr1'\~rt\ (

,

I have read this paper and find it satisfactory.

Thesis Advisor

107 Date

Precis

Ludwig van Beethoven (1770-1827) is widely recognized as one of the most

important composers in music history and his thirty-two piano sonatas are arguably the

most significant pieces in their genre. There is an audible distinction between the first and

last sonatas, and curiosity about the cause of this disparity, and a love for the music itself,

inspired the conception of this study.

Research for this project was focused on analysis of the written music, looking at

six specific sonatas chosen from each of the three periods into which Beethoven's music

is commonly divided. This is a standard method of finding out what events motivate a

musical work. However, even using a typical approach, the results reached by an analyst

may differ significantly from those of other researchers, due to the subjectivity inherent

in music. In music, chords (three or more notes sounding simultaneously) frequently

govern the forward motion of the piece and the order of chords affects this motion; this

was the first aspect examined. Treatment of melody is another important part of music

which was studied in detai1. The order in which specific themes appear, referred to as

"form," also figures promjnently in music and was another emphasis of the study.

Harmonic analysis proved difficult in some sections of works where there are few

explicit chord progressions. In these instances, the main motivator was determined to be

the relationship between individual, concurrent melodic lines.

Upon completion of research, it was determined that there are several differences

between the works of each period, as well as specific techniques that remain constant

throughout all of his sonatas. Initially, the harmonies employed are largely traditional but

over time they become more adventurous. Beethoven's treatment of melody also changes

over Lime. In the first sonatas, the melodies tend to be lengthy, but by the last sonata the

melodic ideas are reduced to only a few notes. From the early sonatas Lo the later sonatas

therc is a noticeable shift in volume and thickness of sound. When Beethoven began

writing, the piano was a delicate instrument, not nearly as powerful as the modern piano

and his first sonatas reflect this. As he continued writing, however, he demanded more

volume than the instruments could provide, inspiring changes in the instrument that

eventually resulted in today's piano. Throughout all Lhirty-two sonatas, however,

Beethoven retains a highly logical ordering of themes.

Every composer after Beethoven was somehow affected by his works. Some, like

Johannes Brahms (1833-1897) considered Beethoven the greatest master and sought to

continue in a similar style. Others, such as Frederic Chopin (] 810-1849) and Franz Liszt

(1811-1886), felt that the classicism expressed in the music of Beethoven had reached its

ultimate conclusion and thus broke from this style, creating a radical new ideal in their

own music. Without Beethoven's adjustments to harmony, melody, and texture, neither

of these responses could have occurred and the music of today would be markedly

different. The potential methods for expanding this study are numerous. Ideas include

performing a full analysis of all of the piano sonatas, analyzing other works of Beethoven

(the symphonies, Lhe quartets, etc.), and studying the works of earlier and later composers

to acquire an understanding of precisely how composers approached writing before and

after Beethoven.

Table of Contents

List of figures

Illlroduction

Methodology

Analytical Considerations

The Early Period (1795-1802)

Op. 2, No.2

Op. 13 "Grande Sonate Patherique"

The Middle Period (1802-1812)

Op. 53 "Waldstein"

Op. 57 "Appassionata"

The Late Period (1812-1827)

Op. 106 "FiirdasHammerklavier"

Op. 110

Conclusion

Glossary

Bibliography

6

7

8

9

10

11

14

18

18

23

29

30

37

39

41

44

List of Figures Figure 1. Op. 2, No.2, III: m. 1-3 13

Figure 2. Op. 13, I: m. 6 15

Figure 3. Op. 13,1: m. J31-J33 16

Figure 4. Op. 13,1: m. 59-61; III: m. 1-2 17

Figure 5. Op.53 I: m. 1-4 19

Figu re 6. Op. 57, I: m. 1 23

Figure 7. Op. 57, I: m. 10 23

Figure 8. Op. 57, III: m. 1-7 28

Figure 9. Op. 57, III: m. 20-22 28

Figure 10. Op. 106, 1: m. 1-2 30

Figure 11. Op. 106, 1: m. 385-387 31

Figure J2. Op. 106, l: m. 4-8 32

Figure 13. Op. 106, IV: m.17-21 35

6

Introduction. Ludwig van Beethoven (1770-1827) completed thirty-two piano sonatas between

1795 and 1822. When he published the first opus, a set of three (Op. 2), few could have

imagined the extent to which his writing would evolve by the time he published the last

sonata, Op. Ill, twenty-seven years later in 1822.

When Beethoven started out as a fresh, young talent from Bonn, Gennany, the

world was enamored of classicism, the foci of which are clean lines, clear textures, and,

above all, balance. The art, music, and literature of the time looked back to the

architecture and sculpture of ancient Greece to find inspiration. Musical classicism

reached its pinnacle in the works of Wolfgang Amadeus Mozart (1756- I791). Beethoven

adored the genius' music, and found in his works inspiration and a model to emulate as

well as a shadow from which he must escape. In October of 1790, the young composer

copied out a musical excerpt in his sketchbook, writing, "This entire passage has been

stolen from the Mozart Symphony in C, where the Andante in six-eight from the ...

[writing breaks off].'" Further down the page, he rewrote the passage, signing it

"Beethoven himself.,,2 This desire to break from the earlier master's style was never fully

effected in practice, however, and the influence of Mozart shows even in Beethoven's

latest sonatas.

Despite remaining evidence of Mozartean ideals of balance, by the end of

Beethoven's life, he had strayed from the classical ideal fulfilled in Mozart's music. Even

the most casual listener can easily discern the difference between Op. 2, No.1 (1795) and

Op. I II (1822). However, hearing the difference is a matter far removed from knowing

I Lewis Lockwood. Bee/hoven: The Music and /he Life (New York, N.Y.: W.W. Norton & Company, 2005) 57. 2 Lockwood. 57.

7

what precise changes occurred over time to create two works of such disparate character

and construction. The purpose of this research is to discover and describe the changes in

composition style and technique made throughout the twenty-seven years during which

Beethoven composed the thirty-two piano sonatas.

Methodology.

In order to answer the research question, I chose six of the thirty-two piano

sonatas to analyze. These sonatas represent the three standardized divisions of

Beethoven's compositions, including two works from each period. The early period

consists of music written between 1792 and 1802, and includes sonatas Op. 2 through

Op. 49. The middle period lasted from 1802 to 1812 and includes sonatas Op. 53 through

Op. 90. The late period lasted from 1812 to Beethoven's death in 1827 and includes the

last fi ve sonatas, Op. 101 through Op. Ill. The sonatas chosen for this study are as

follows:

Early period:

Piano Sonata in A Major, Op. 2, No.2 (1795)

Piano Sonata in C Minor, Op. 13 "Pathetique,,3 (1798/99)

Middle period:

Piano Sonata in C Major, Op. 53 "Waldstein" (1803/04)

Piano Sonata in F Minor, Op. 57 "Appassionata" (1805/05)

Late Period:

Piano Sonata in B-flat Major, Op. 106 "Fur das Hammerklavier" (1817/18)

Piano Sonata in A-flat Major, Op. 110 (1821)

} The tilles of Beethoven's sonatas were generally added by the publisher, not by the composer. An exception is Sonata Op. 81 a "Das Lehewohl" ("The Farewell"), which the publisher altered by translating it into French ("Les Adieux").

8

Analysis of these six sonatas included a study of harmonic structure, formal structure,

motivic and melodic elements, phrase style, texture, and relationships between

movements. While studying these pieces, 1 compared findings with the analyses of

Donald Francis Tovey and Charles Rosen, both of whom are weJl-respected for their

studies of Beethoven.

In addition to the study of these works specifically, I also compiled generalized

information on all thirty-two sonatas; this information includes key relationships between

movements, particular points of interest, general formal structures, number of

movements, and use of repeats.

Analytical Considerations.

There are several things to consider when approaching the works of Beethoven

from an historical and analytical perspective. First, we must be careful not to rashly label

a once-used technique as a rule that must be found in subsequent works; Beethoven

sometimes experimented with an idea for one work and never used it again. For example,

after an analysis of Op. 106, it would be an error to declare that all late works of

Beethoven are constructed using third relationships as the basis for harmony and melody.

Second, we must take care not to throw out early ideas as possibilities for his later works;

something that was laid aside for several years could suddenly be resurrected to achieve a

desired effect; Lhis principle applies to the clean textures of Op. I 10. When examining

Beethoven's works in terms of three main periods, it is vital to remember that the reality

of any man's work is that it is a continuous flow. Charles Rosen warns against using the

period di visions as a hard rule, saying that there is no distinct break beLween the first two

9

periods and that the second and third periods contain many similar elements. He does not

discard the idea entirely, however:

"Whl:n the division into three periotls is retained, it should be clear that it is a fiction for the purposes of

analysis, a l:onvenience for understanding, and nOI a biographical reality. The steady development

tliscernibJc in Beelhoven's career is as important as its discontinuities even if these are easier to describe.

11 is only in comparing works several years apart that the discontinuities assume a demonstrable and

. "~persuasive sense.

This caution should be kept in mind whenever considering the progression of

composition technique in Beethoven's works.

The Early Period (1795-1802).

Even though the early works of Beethoven are somewhat imitative of Mozart, he

was already disinclined to follow on the heels of convention. Beginning with the first set

of sonatas, published in 1795 as Op. 2, he shocked his audiences-and would continue to

do so until his death thirty-two years later. Prior to these works, a group of sonatas

published together would begin in a major key; the first of the three sonatas from Op. 2 is

in F Minor. Also, the sonatas of Mozart and Haydn generally have three movements.

Each of the opus 2 sonatas has four movements. Of course, Beethoven did not add an

extra movement for no reason; rather he drew from symphonic literature, the works of

which tended to have four movements in the following pattern:

I. Fast, probably in sonata form.

II. Slow, often in simple ternary, but could be in any form.

III. Stylized dance, usually a minuet form. s

·1 Charles Rosen, The Classical Style: Haydn, Mozart. and Beethoven. (New York: W.W. Norton & Company, (972) 1R9. 5 In Beethoven's works, the label of this movement is often scherzo. However, these scherzi are usually in the same three-phrase form as the minuel.

10

IV. Fast, often a rondo or sonata form.

Each of the three opus 2 sonatas follows this format, showing Beethoven's early

inclination to expand the scope of piano literature.

Opt 2, No.2.

In the first movement of Op. 2, No.2, the second thematic group (beginning

measure 58) wanders into surprising tonalities that would not have been seen in Mozart,

and the sound of which our twenty-first century ears simply cannot understand as

revolutionary in the way that Beethoven's contemporary audience would have. The chord

changes, beginning in E minor and tonicizing G major, B-flat major, D major, and F-

sharp minor,6 are dictated by a rising bass line that is used to increase intensity; the

ascending bass used in this fashion is an innovation that began with Beethoven and that

he used extensively through all three periods. 7 At the time, it was the norm to maintain a

fairly simple harmonic structure in the exposition of a sonata form movement and this

progression so near the beginning of the exposition confounded the expectations of

Beethoven's audience. In the larger harmonic and formal framework, however, the work

is fairly conventional; it modulates to the major dominant by the end of the exposition,

spends time in closely related keys during the development section, and returns to the

material of the exposition without any thematic changes while maintaining the tonic-key

framework. 8

6 The chord actually progresses to an F-sharp diminished triad in root position, which is diatonic to the kcy or E minor, ralher than resolving on a chromatically altered chord. 7 Exampks include the first movement or Op. HIa (m. 21-28) and the first movt:rnent of Op. 57 (m.1 09­123). 8 It stays in tonic with the exception of the necessary visitation of the tonic minor (a minor) that parallds the dominant minor section in the exposition. This modulation to the dominant minor hefore, or instead of, the dominant major is common in Beethoven's expositions. Reference Op. 10 No.3, second movement (m. 17-29), Op. 27, No.2, third movement (21-64), and Op. 31, No.2, tirst movement (m. 41-74).

11

The whole of the first movement is mainly constructed from ideas found in the

first twenty measures of the work. Though this main idea is long, the treatment of it in the

development is more motivic in nature, predicting how Beethoven would treat thematic

materiaJ in future works. The development of smaller motives derived from the first

group is paI1icularly noticeable in measures 181 and foJlowing, where the two elements

from measures 8 and 9 are laid out in Slretto. For the most part, however, Beethoven

quotes larger sections of thematic material, as in measures J22-157.

The texture of the first movement is thin, not often using more than three vertical

pitches9 on a given beat, and more frequentJy using only two. The marked articulations

generaJly indicate lightness; much of the work is marked staccato or is simply unmarked,

implying a detached sound. Where slurs are marked, they are lIsually written near a

section with a detached sound, which suggests that they are there to enhance dramatic

contrast. For example, the first thematic grou p (m. I-57) contains much staccato, whereas

the second thematic group (beginning m. 58) contains no staccato at all; the melody line

is instead heaviJy slurred.

In the second movement, Largo appassionato, we again see the transference of

symphonic tradition to the piano. The bass part of the main theme is marked staccato

sempre, and in performance sounds much like pizzicato on a ceJlo or bass; it accompanies

a stateJy, hymn-Jike meJody. As in the first movement, there are few unexpected

harmonies, though the sudden explosion of the theme in 0 minor (parallel to 0 major, the

main key of the movement) is made by dynamics, marked fortissimo.

Contrasting the grandeur of the sJow movement, the third movement is a bright

9 "Verlical pitchcs" refers 10 pitches that sound simultaneously.

12

scherzo and trio. lo The brief movement is essentially classicist, with a light, clear touch

and the two-note slurs typical of the works of Mozart and Haydn.

Its form is the standard three-phrase minuet that was so often used by the earlier

masters. The first section is in A major, and the second starts in the dominant key (E

major). Aside from a brief interruption in this second section, outlining a new melody in

the mediant key of G-sharp minor (utterly remote from the tonic, A major), the harmony

is unremarkable.

The fourth movement is labeled Rondo Grazioso. Like the third movement, this

delicate rondo ll employs the classical two-note slur extensively, as in measures 2, 8, and

10; these are only a few examples from the 187-measure movement. Another decidedly

classicist element is the nearly constant presence of Alberti bass, 12 which was widely

used by Beethoven's precursors and contemporaries:

3

espreJl.

i

Fig. I. Op. 2, No.2, IV: m. I-l.

It runs through most of the rondo theme (m. 1-16) and through the entire first episode

(m. 26-40) and the subsequent repetitions of these sections. The only feature that may

have caused serious L:Oncern on the part of the contemporary audience is the bombastic

10 These are landed Scherzo and Minore in Ihe score. II II may arguably be in sonala-ronuo form, though in analysis it is important 10 remember thai the form came after Ihe work; allempting to fit a musical work into a specific box can lead 10 useless and often counlerproduciive argumcnlS. 12 Alberli bass is a style of accompanimelll cnaraeleri7.ed ny a nroken chord with ilS members in Ihe pallern 1-5-3-5.

13

middle section, in A minor (parallel of the original key). It initially bursts forth in ful1

chords in the left hand played against highly chromatic right hand triplets. The patterns

formed by the chromatic right hand are, despite the shocking contrast against the elegant

outer sections, fairly simple, strictly organized figurations.

Op. 13 "Grande Sonate Pathetique."

Three years after Op. 2, Beethoven published Sonata Op. 13 in C minor. It begins

with an entirely different character than his previous works, which included the three

opus 2 sonatas and six other sonatas. 13 According to Donald Francis Tovey, the publisher

bestowed the title Patherique, declaring that the tone of the work "utterly eclipsed,,14 the

keyboard style of al1 earlier masters, including Mozart. However, Tovey points out that,

despite its external grandeur, its actual core ideas are not as profound as those of

Mozart's works in the same key. IS

The first movement begins with an introduction, marked Grave, in the tempo of a

French overture l6 and much of its material is expressed in the French style's

characteristic dotted rhythms. The harmony in this section is somewhat unstable, though

it primarily uses tonic and dominant in C minor. Several measures briefly tonicize the

mediant (E-flat major), the subtonic (B-flat major), and the dominant (G major) by use of

secondary dominants. However, these borrowed dominant chords do not always resolve,

instead progressing to the next chord in stepwise motion and with shared tones:

13 These eighl works include lwo thaI were published laler in his career, Op. 49, Nos. I and 2. 14 Donald Francis Tovcy, A Companion to Beethoven's Pianoforte Sonatas (Complete Analyses) (New York: AMS Press, 1931) 68. I~ Tovey, 68. 16 This is a style that began in the 1650s with Jean Baptiste Lully (J 632-1687), the distinguishing features of which include a slow tempo, dolled rhythms, and suspensions.

14

I •,,~,I-'.... ~ ~

Fig.2. Op. 13, I: m. 6.

A major motivator of this introduction is the contrast betweenj(me and piano. The first

chord is marked jjJ, indicating that the notes following the j(nte chord should be much

softer; this indication also occurs on the downbeats of measures 3 and 9. Other measures

in the introduction have crescendos followed by piano, implying suhito piano.

The exposition is marked Allegro di molto e con brio and begins softly. The

opening phrase is a standard eight-bar phrase with a symmetrical rising and falling

contour (four bars ascending, four bars descending). To modulate to the second thematic

group, Beethoven uses a secondary dominant of the subtonic in the home key of C minor

(an A diminished chord resolving to a B-flat major chord, beginning in m. 42). In turn,

the subtonic becomes the dominant of the new key, E-flat minor (m. 51). As in many of

his sonata expositions, Beethoven here tonicizcs the parallel of the final exposition key

area, the relative major 17 (E-flat major), in the first section of the second group, saving

the strength of the destination key for greater effect at the end of the exposition.

Rosen calls the beginning of the development "novel" IR in that it brings back a

segment of the Grave introduction, this time in G minor, coming from E-flat major by

way of a 0 dominant seventh chord; at the first ending of the exposition this chord

progressed to V7NI in E-flat major (a G dominant seventh chord), leading back to the

17 The final key area of the exposition eould also be the dominanl in either major or minor key works. 18 Charles Rosen, Beethoven's Piano Sonatas: A Short Companion (New Haven and London: Yale University Press, 2002) 142.

15

-- ­- ­- ­

fI r~ (J

tf~ !!U-­ =

original key. At the second ending, instead of proceeding elsewhere, it simply repeats an

octave lower to prepare for the restatement of the introduction:

l h~.11. " 4 . 'fl~mp~ __:0 G

~3 1":\ b~f r.'\~ "

0" J~;~o;; ~;; Fig. 3. Op. 13,1: rn. 131-133.

Later in the development, there are passages that lack thematic development, using

arpeggios, broken octaves, and tremolos to heighten tension and drive toward the next

segment of thematic development (e.g., m. 160- 171). The recapitulation is orthodox,

moving briefly to the subdominant (F minor) in the second group before reaching the

home tonic. Unlike the first movement of Op. 2, No.2, this sonata-form movement has a

small coda (m. 295-310) that begins with a brief restatement of the introduction, a device

that Rosen suggests was borrowed from Mozart's viola quintet in D major. 19

The second movement, a slow rondo in A-flat major, provides a contrast to the

minor-key drama of the first movement. The form is simple, consisting of the rondo

theme three times with two episodes and a coda. As is often the case in this form, the last

occurrence of the rondo theme is varied, in this instance changing the steady sixteenth

accompaniment in the middle voice to sixteenth-note triplets. The keys to which the

movement modulates include the relative minor (F minor) in the first episode (m. 16/17­

28) and the parallel minor in the second episode (m. 36/37-50); neither key would be

considered unusual by Beethoven's contemporaries. The movement ends with an eight-

bar coda (m. 66-73).

1\1 Rosen, Companion 143.

16

The third movement rondo theme is based on a direct quote from the beginning of

the second thematic group in the first movement:

First movement m 59-61. TIurd movement, m. ~-2~,

~'1'~ .'- ­¥-zrt sf p

'0" ;l ...I'''' ,.

Fig. 4. Op. 13, [ and III.

Though set in the melancholy key of C minor, this movement tends toward a lighter and

sometimes even humorous or sprightly tone. This is due to the quantity of material

written in the major mode. The first episode (m. 25-50) is in E-f1at major (III), the second

episode (m. 78-120) is in A-flat major (VI), and the return of thc first episode (m 134­

170) is in C major (I, parallel to the original tonic). The coda (m. 182-210) of this rondo

is nearly twice as long as the rondo theme. Unlike the codas in the previous two

movements, instead of simply confimling the tonic by repeating dominant and tonic (or

just tonic) this section uses the Neapolitan harmony (m. 198) and tonicizes VI (A-flat

major) in measures 199-207 in a major-mode rendition of the head of the rondo theme;

these instances of major mode so close to the end prevent the work from being wholly

serious, despite the fiery C minor ending (m. 206/207-210).

Even more than the relatively simple harmony and form of the movements, the

use of articulation and phrasing allies the opus 13 sonata with the earlier sonatas. Apart

from the dramatic introduction, the prevailing texture in the first movement is light, filled

with staccato and two-note slurs. Additionally, in the second theme group, Beethoven

used Baroque-style ornamentation on the first notc of each two-note slur (m. 57, 77, 8 1­

17

88). [n the third movement rondo theme, the phrasing is decidedly classical, contrasting

slurs with staccato in the melody. The first episode contains a portato-touch chorale

theme (m. 43/44-51). All of these connect the sonata to the early period.

The Middle Period (1802-1812).

The works of the middle period are, in part, a fulfillment of the promises sown in

the first sonatas. Many of the elements that Beethoven introduced in the first period are

now brought to a greater fullness in the six sonatas of 1802-1810. Significantly,

Beethoven wrote a total of twenty sonatas in the precedi ng period. It is possible that the

reduced number of sonatas during the middle period is due to Beethoven focusing on

other genres, including chamber music and symphonies (six of the nine symphonies were

composed in this period). Additionally, the sonatas of the early nineteenth century are, in

general, much larger than most of the early works. Performance length is not significantly

increased, but in the middle period less material is encased in repeat signs. Also, the

overall scope greatly increased after 1802, as will be discussed in analyses of the works.

Opt 53 HWaldstein."

This work is what most analysts consider the first sonata in the middle period.

The opening is drastically different from the openings of previous sonatas. One

interesting detail is that the right hand starts lower than in any of the previous sonatas by

a major third,2o beginning on C3 and E3?1 More important, however, is the course of the

first 13 measures. Texturally, it is unlike the light, clean sound of the opus 2 sonatas,

despite the presence of many scalar motions. The left hand is rhythmically locked with

the right hand in steady, quick eighths, giving it a rhythmic drive never seen before, even

20 The second lowest slarling point was the opening of Op. 27, No.2, the so-called "Moonlighl" sonata. 21 Reckoning A440 as A4.

18

in Beethoven's more adventurous early works. This left hand bass descends

chromatically by half-step,22 moving to the root position dominant seventh chord in

measure 9. The first phrase (m. 1-4) is composed of three motives, the third of which is

closely related to the second:

(a) '\1I."rr~I<OlI'rlo J: I" ~

1'1'

Fig. 5. Op. 53, I: m. 1-4.

These four bars contain much of the material from which the 302-measurc movement

develops, a feat which Beethoven had not previously accomplished, though this motivic

construction was foreshadowed in early works. 23 The ways in which Beethoven modifies

these motives to transform the complete theme, and to create new themes, show how

much his composition skiJJs grew in the few years between Op. l324 and Op. 53. Thc full

first statement of the theme (m. 1- 13) is based almost completely on the (c) motive. In the

counterstatement of the theme (beginning m. 14), Beethoven again imitates the orchestra

by creating an orchestral tremolo using the same pitches as in the first phrase; this

tremolo is used in later passages as connective material between major divisions (m. 68).

The transitional passage in measures 20-30 is an extension of the (c) motive which recurs

in other sections throughout the movement. As in the first episode of the third movement

of Op. 13, Op. 53 uses a chorale-style melody in the second theme group (m. 35-87). In

Op. 13, the chorale melody (m. 153/154-170) is separated from the surrounding material

22 Roscn points out that this is much smoother voice leading than in previous works. (Rosen, Companion IRO.) 23 Reference the /irst movement of Op. 2. No.2 (m. 181-203). 24 In Op. 13, the motivie tlevelopmcnt was significantly more limited, mostly existing as a cyclic element. Reference the second theme of the first movement (rn. 51) and the rondo theme of the final movement (m. I).

19

(a)

Fig. 5. Op. 53, I: ITI. 1-4.

(c)

.\lIrlfrolroo .rlo J: 118 -.,t•

11 ~

in Beethoven's more adventurous early works. This left hand bass descends

chromatically by half-step,22 moving to the root position dominant seventh chord in

measure 9. The first phrase (m. 1-4) is composed of three motives, the third of which is

closely related to the second:

These four bars contain much of the material from which the 302-measure movement

develops, a feat which Beethoven had not previously accomplished, though this motivic

construction was foreshadowed in early works. 23 The ways in which Beethoven modifies

these motives to transform the complete theme, and to create new themes, show how

much his composition skills grew in the few years between Op. 1324 and Op. 53. The full

first statement of the theme (m. 1-13) is based almost completely on the (c) motive. In the

counterstatement of the theme (beginning m. 14), Beethoven again imitates the orchestra

by creating an orchestral tremolo using the same pitches as in the first phrase; this

tremolo is used in later passages as connective material between major divisions (m. 68).

The transitional passage in measures 20-30 is an extension of the (c) motive which recurs

in other sections throughout the movement. As in the first episode of the third movement

of Op. 13, Op. 53 uses a chorale-style melody in the second theme group (m. 35-87). In

Op. 13, the chorale melody (m. 153/154-170) is separated from the surrounding material

22 Rosen points out thaI lhis is much smoolher voice leading than in previous works. (Rosen, Companion IRO.) 23 Reference the firsl movement of Op. 2, No.2 (m. 181-2m). 2,1 In Op. 13, the motivic devdopmcnt was significantly more limited, moslly existing as a cyclic clement. Relerence the second theme of the first movement (m. 51) and the rondo theme of the final movement (m. I).

19

by pauses on either end. In Op. 53, Beethoven creates greater unity within the work by

overlapping materials. Beginning in bar 42, the chorale melody repeats one octave higher

and with new accompaniment in triplets. When a new melody enters in bar 50, this

accompaniment figure is retained, easing the transition. This technique of overlapping

ideas is also used in the coda (m. 261-266), where the original theme occurs in the bass

while the right hand performs a new melody in descending, syncopated octaves.

The development makes economic use of materials from the exposition. Bars 93-111

develop (b) and (c), the last bar of which adds triplet accompaniment before moving to a

development of the second thematic group in bar I 12. This sparing use of materials

continues to be refined in Beethoven's later works.

Harmonically, Op. 53 is also the most tightly constructed of the first 21 sonatas.

Most of the progressions involve an exchange between a triad and a dominant seventh

and most involve stepwise motion; the first several chords in the exposition are C major,

o dominant seventh in third inversion, G major in first inversion, B-flat major, D

dominant seventh in third inversion, F major in first inversion, and G dominant seventh.

None of these chords are approached by leap and this stepwise motion is found

throughout the extensive first movement.

The brief second movement is as classically balanced and structured as any of

Beethoven's early works. The form is simple ternary which Rosen further defines as an

arioso with an orchestral prelude and postlude?5 However, within this simple framework,

the harmonies and phrases are quite free. The norm for classical phrases is an even

number of measures in each phrase, usually four or eight; the first phrase of the

lntroduzione Adagio malta is nine bars long. As in the first movement, the harmony

25 Rosen, Companion_ISS.

20

progresses linearly, descending by half-step from tonic (F) to dominant (C) before

making any leaps.26 As the bass steps down, Beethoven harmonizes it with surprising

chords; in the second measure, he moves to an E major chord27 by using an Italian

augmented-sixth chord borrowed from A major; the augmented-sixth chord has an F in

the bass and is therefore effective for making a smooth transition to a chord with an E in

the bass. In the following measure, the key changes to the parallel of E major (E minor),

from which Beethoven creates a leading-tone chord that tonicizes B major in first

inversion (D-sharp in the bass). The unrelated chords continue, ruled by the bass line,

until it comes full circle to the augmented-sixth chord native to F major, leading back to

the horne dominant for four bars of cadence that end the prelude section. It is important to

notice that though the harmony is decidedly non-classical, Beethoven does not fail to

properly resolve each foreign dominant-functioning chord, showing that he was not

simply rejecting tonal harmony, but drawing it out to its fullest potential. Following this

phrase, the arioso begins, starting with the motive from measure 1. It is highly chromatic,

but the downbeat of every bar is either tonic or dominant. It ends with the same cadence

found in measure 8 and on the downbeat of measure 9. The postlude is nearly identical to

the prelude, but with added broken-chord figurations where there are rests or longer note

values in the first rendition. Beginning in measure 22, the postlude breaks down into

repetitions of the main motive with a chromatically descending bass line, which stops

when it reaches G (m. 25). Above the G is the original tonic, F. Together, these pitches

26 There is, however, a leap between the first two pitch classes - low F octave to the next-higher E octave, which was the lowest possible E on his piano. Presumably Beethoven preferred the deeper sound of the lowest F's on the 19"h century piano, but there were not enough keys to make the full descent [0 dominant at that level. 27 NOle thaI E rnajor is as dislanl a key from F major as possible. The only chord beginning on an E in either F major or minor is a diminished lriad. However, it filS the descending chromatic bass and is therefore necessary.

21

frame the dominant seventh chord of the next movement. However, this chord is not

retained for the entirety of the last four measures of the second movement. 1n bar 26,

Beethoven chromatically raises the bass to form the fully-diminished leading-tone

seventh chord of A minor, which is the mediant of F major (home tonic), and the

submediant of the new key. This resolves as expected and progresses to 0 minor

(subdominant of A minor, submediant of F major, and supertonic of C major, to which

key it modulates). The final chord is G major, with a fermata marked over the last eighth

note, G5.

The second movement ends with the indication Attacca subito ii Rondo. The

material used in the third movement is simpler than that found in the first movement and

is Jess serious in nature, as is the tendency in most rondos. Yet, it is the largest of the

three movements and the most elaborate. 28 The form of the piece is simpler than the Op.

2, No.2 rondo discussed earlier: A-B-A-C-A'-B'-Coda (A"). A cursory glance through

the pages shows that this rondo has a completely differenl character from the earlier

work, revealed through its articulation. While there are staccato passages, there are no

longer phrases with a mix of staccato and legato, nor is there a high volume of two-note

slurs as in the first period sonatas already discussed. Technical difficulties not seen before

also figure prominently in this movement, including octave glissandi, long trills (nearly

forty measures), double trills, and trills below melody notes in one hand.29 The power

demonstrated in both this movement and the first movement is continued and increased in

later sonatas of the period.

2M Rosen, Companion 187. 29 Rosen, Cumpanion 188.

22

Op. 57 "Appassionala."

Sonata Op. 57 in F minor was written approximately a year after Op. 53 and

continues the previous sonata's motivic construction, intensity, and power. This is the

second of only two piano sonatas that end tragically. As Tovey says, "All his other

pathetic finales show either an epilogue in some legendary or later world far away from

the tragic scene (the quartets in F minor and A minor) or a temper, fighting, humorous, or

resigned, that does not carry with it a sense of tragic doom.,,3o Though the middle

movement is peaceful and bright, Tovey caUs it "a dream that must be shattered.,,31

The first movement is based on two motives; one motive (a) is a descending triad,

in a long-short-Iong rhythm:

(a) Fig. 6. Or. 57, I: m. I

The second is what is commonly referred to as the "fate" theme (b),32 a pattern of three

notes of equal rhythmic value followed by a note of longer value:

"fate" Fig. 7. Op. 57, I: m. 10.

As in the Waldstein, much of the sonata is built from these simple motives. The first page

of Op. 57 also visually contrasts earlier works. The hands are in rhythmic unison-like

31) Tovey, 177. 11 Tovey, 177. 32 The most well-known use of this motive is in Beethoven's Fifth Symphony in C Minor, completed in 1807.

23

Op. 53-and are two octaves apart for the first two measures?3 Frequently, there are long

rests at the ends of phrases, a feature not often seen in the early period.34 The dynamic

landscape in this sonata is more explosive than that of the Waldstein, with sudden

changes from pianissimo to fortissimo and back. The details are also more painstaking

than in earlier works. For example, the first phrase ends on the downbeat of measure 4

with a quarter note followed by an eighth rest; the time signature is 12/8, so it would be

more expedient to write a dolled quarter note. Instead, Beethoven took the time and effort

to indicate this rhythm at each recurrence, proving his interest in creating a precise effect.

The first phrase (m. 1-4) outlines the tonic triad (F minor) using motive (a),

descending and ascending; it leads to a cadence on the dominant. This is followed by a

long rest and a restatement in the Neapolitan (m. 4/5-8) key of G-f1at major, this time

with a cadence on D-f1at major. After a rest, the cadence is repeated in C major, with the

rests filled in with the "fate" theme repeating on D-flat and C. The cadence recurs,

leading to a dialogue between the D-f1at and C "fate" motive in the left hand and another

version of "fate" in the right hand that outlines the leading-tone triad, marked poco

ritardando and ppp. This erupts in aforte descending arpeggiation of the leading-tone

triad which moves deceptively to D-flat major in first inversion before the dominant in

first inversion. After a fermata on the dominant, the counterstatement of the theme

begins, again in F minor. Instead of giving the complete pianissimo theme, Beethoven

writes only the first two notes of the original statement before suddenly bursting into

fortissimo, ascending treble chords against low, static bass chords on F minor. This

occurs on tonic again and twice on the dominant, with the last measure (m. 23) executing

:13 These measures reeur throughout the first movement in different keys . .14 Though it is not seen as oflen in early Beethoven. rests interrupting the melodic line are frequent in the music of Haydn.

24

a common-tone modulation to the parallel of the relative key (A-flat minor). Measures

24-34 are dominant preparation for the second thematic group in A-flat majur. Notice that

the length of connecti ve material in the middle period is greater than in the early period.

In a way similar to connective passages in the Waldstein, this segment overlaps a new

emphasis on the dominant of A-flat major (or minor) with the (a) motive from the

opening, leading smoothly into the second thematic group, in A-flat major; the theme is

based on motive (a), both in rhythm and in triadic contuur. This second theme moves to a

non-thematic transition roughly based in A-flat minor and descending in groups of three

eighth notes toward the next theme, in A-flat minor. This new theme is tied to the "fate"

motive in that its melody notes are in a pattern of 10ng-short-shOit-short-long. The ear

does not cunsciously perceive this relationship, but there is a sense of unity between the

three themes of the exposition that the ear comprehends. The exposition ends with

arpeggiation on an A-flat minor triad in the high treble while the bass slowly traces the

triad downward to the lowest A-flat.

The development begins with the opening motive on the enharmonic respelling of

A-flat minor as G-sharp minor. This chord is then altered for a common-tone modulation

to E major (enharmonic to VI of A-flat minor).The first theme is developed until measure

78 before modulating to E minor (distant from F minor), from which the (a) motive

continues to develop, passing through C minor (dominant minor) and A-flat major

(relative major) spread across five octaves. The section ends with arpeggiated alternation

between the leading-tone seventh of the supertonic in A-flat (A diminished seventh) and

the dominant ninth of the subdominant (A-flat dominant seventh), though these changes

are simply heard as chromatic steps in the bass rather than as functional chords. After two

25

measures of chromatic alternations, the bass lands on A-nat as the dominant seventh of

D-flat major. The dominant preparation segment from the exposition is developed,

occurring almost exactly as in the exposition, but with a melodic tail that centers on the

dominant pedal in the left hand, leading to the second thematic group in D-flat major.

This theme proceeds as in the exposition until the beginning of its fourth measure (m.

I 13), where it modulates to F major (V7 moving to Ill), a chromatic mediant of the local

key; the modulation occurs to accommodate the chromatically rising bass line. This bass

line continues rising until measure 123, moving through B-flat minor, G-f1at major, and C

major in the process. The final step from m. 122 to m.123 is from C to D-flat, bringing

the harmony to a diminished seventh chord with its root on E, the leading tone of the

original key. This harmony is arpeggiated for seven bars, ascending and descending, to

reach a D-flat in the bass, whereupon the "fate" motive occurs both under and over a

rumbling leading-tone triad in first inversion. After two bars, the "fate" motive introduces

C as its final pitch, reintroducing the dominant for the entry of the recapitulation.

Surprisingly, there is no root position tonic harmony at the beginning of the

recapitulation (m. 134). Rather, the repeated dominant pedal beneath the tonic harmony

creates a brooding tension, unsettling the listener by forbidding the relaxation brought by

a solid return to tonic. This pedal continues throughout the whole of the first group,

shifting to D-flat for the Neapolitan repetition of the theme. The theme is varied further in

the counterstatement (m. 151-163) by changing the tonic minor to the tonic major, giving

the impression that perhaps the tragic tone of the work will change. The theme is repeated

twice in the dominant and twice on the leading tone (once as a triad, once as a seventh

26

chord), dispelling the momentary triumph of F major. From here, the recapitulation

proceeds as expected, with the second theme in F major and the third theme in F minor.

The coda unfolds from an extension of the closing material; the ending arpeggios

continue, forming the first theme from the tonic triad, the dominant seventh of the

submediant (D-flat major), and the submediant. The second theme appears in the

submediant key of D-flat major, again with a chromatically climbing bass moving toward

G-fIat major. Seventeen measures of arpeggios bring the harmony back to the original

key with the dominant ninth chord. The "fate" motive returns (m. 235) on the dominant

ninth harmony, ending adagio and piano with a fermata. The Piu Allegro (m. 239) begins

subito fortissimo on the first theme. The final section of the piece is essentially

confirmation of the tonic on basic chords of the key (i, iio, and V). The last measures

diminish from piano to pianissimo on the tonic triad.

The second movement, a set of slow variations in the submediant key CD-flat

major), is an extreme contrast to the first movement. This is one of the simplest slow

movements ever written by Beethoven. The theme is in two repeated eight-bar phrases, it

does not have any secondary tonalities (except at the transition to the finale), and the

variations do not alter the form of the theme. The primary feature of the variations is an

increase in rhythmic activity. The first variation changes the steady quarter rhythm to

eighths with an offset bass. The second uses sixteenths as the accompaniment material

and the third uses thirty-seconds. The fourth variation returns to the rhythm of the

original theme, with octave displacements. Instead of the tonic cadence found at measure

sixteen, however, it moves to the leading-tone seventh chord of the mediant, F minor,

27

pianissimo and with a fermata. The diminished-seventh chord is repeated an octave

higher,fortissimo, again with a fermata and the indication altacca ['Allegro.

The finale, Allegro ma non troppo, begins with the leading-tone seventh chord as

dominant preparation and as part of a nineteen-bar introductory statement. The opening

motive traces the leading-tone triad in stepwise motion:

L-.J a

Fig. 8. Op. 57 III: 1-7

It twice repeats itself an octave lower and then dissolves into a sequence moving toward

tonic. The first theme is based on two motives, one of which is part of the opening run:

Ob) (c)

n ~._! (!;l ••

Fig. 9. Op. 57 III: rn. 20-22.

As in the first movement, the original statement is in tonic and the foHowing statement is

in the Neapolitan key. Throughout the movement there is continued emphasis on the

Neapolitan. Also, like the first movement, the majority of the movement is related to

material found in the first thematic group; there is no development of the second theme

group at all. The most interesting formal feature of the movement is the repeat of the

development along with the recapitulation just before the coda. This had been done

before, but only when the exposition also had a marked repeat. Tovey theorizes that this

28

is because it delays the introduction of a new, completely unrelated theme in the coda,

building up the tension to greatest effect; he refers to bars 168-211 of the development as

a "crisis" that the audience would find uncomfortable to listen to twice.35 The repeat

gives it something of the nature of a rondo, with a theme that returns frequently. This is

doubtless why Tovey refers to the new theme in the development (m. 142-157) as an

episode. The harmony of the final movement is no more adventurous than that of the

first, but with greater emphasis on subdominant harmony36 and its Neapolitan (a tritene

from F minor) in the development section. The new theme introduced in the coda is

marked presto, beginning with a phrase in tonic and ending with the same phrase in the

relative major. This phrase transitions back to the main theme which continues,jorle,

confirnling the final, tragic F minor tonic.

The Late Period (1812-1827).

Beethoven wrote all of the late sonatas after he was fully deaf and could not hear

himself play the piano. It is in this time of deafness that Beethoven's works are most

experimental. However, this may simply be a coincidence; Beethoven had struggled with

deafness beginning in the early 1800s and had never shown difficulty in imagining the

sounds of his own compositions. There are only five late sonatas,37 Opp. 101, 106, 109,

110, and Ill. All except Op. 10938 have a movement that is either a fugue or that

contains a fugate section.

J) Tovey, IR6. 36 Traditionally, the subdominant harmony is more relaxed in nature. 37 Rosen considers Op. 90 as part of the late period, giving us six late sonatas (Rosen, Companion 208). Jti II is arguable whether the fifth variation in the final movement of Op. 109 (01. 113-152) is a fugato. As with most definitions in musical form,fugato is an unclear designation. Regardless, this variation is a four­voice contrapuntal work clearly tied 10 fugal traditions.

29

Op. 106 "Fiir das Hammerklavier."

This is one of the most experimental of all Beethoven's works, for keyboard or

for other instruments. It is in four movements-the first four-movement sonata since Op.

31, NO.3-and takes over forty minutes to perform. Beethoven alters the previous

symphonic-movement format by reversing the dance movement and the slow movement

for dramatic purposes. The two sonata-form movements (I and III) and the dance

movement (11) are all fairly conventional in form; the forms serve to contain Beethoven's

nontraditional treatment of material.

The first movement is a standard sonata form in B-flat major with the exposition

repeated. As in the middle period sonatas, the bulk of the sonata is built from a few small

ideas:

b -.1

(';\... - _...-

II ­ ff I &~ && &41&-.:. I": .& •• 1.... (';\( ~ ,~-

~J

* ~I

Fig. 10. Op. 106 I: Ill. 1-2

The whole of the movement is based obsessively on descending third modulations and

progressions (often inverted as ascending sixths), rather than on the time-tested circle of

fifths. These relationships exist both on the large scale and within the main sections.

Another major motivator of the work is the tension between the tonic, B-flat, and B­

natural; at its most extreme this B-natural is part of the key of B minor, as unrelated to B­

flat major as is possible. The harmonic framework for the entire movement is as follows:

30

Exposition: First group in B-Oar major, moving to G major for the second group.

Development: E-Ilat major for the first part, moving to B major (enharmonic to C-tlat) for the end.

Recapitulation: First group in B-Oat major and G-llat major. The transition is in B minor which returns

to B-flat major.

The climax of a sonata form movement would typically be just before the recapitulation.

However, the tension caused by the modulation to B minor overshadows the drama of the

development, displacing the sonata's climax. This half-step tension is exploited in the

coda as accompaniment to the opening theme, rolling between G-flat and F:

t Fig. 11. Op. 106 I: m. 385-387.

The use of thirds is ever-present in small scale, within individual phrases or measures.

The (c) motive of the opening statement (m. 2) is a descending third. The (d) motive from

the second theme of the first group (m. 4/5) spans a third. Many of the melodic leaps in

measures 16-26 are thirds. The fugato opening of the development makes extensive use

of harmonic thirds, culminating in a four part texture with harmonic thirds in contrary

motion between the hands.

Tn addition to the extraordinary and constant presence of thirds, there are other

elements that set this sonata apart from earlier works (and even from later works). The

bass line, though often conforming to a classical, homophonic style, frequently wanders,

as in measures 5-16:

31

Fig. J2. Op. J06 I m. 4-8

These rambling accompaniments in the opening contain accidentals that hint at

modulations to come; the f-sharps in measures 6, 10, and 15, for example, point toward G

major. This is also foreshadowed in the melody of measures 21-26. Additionally, the

sprawling accompaniments contain unusual leaps of tritones, augmented thirds, or

diminished thirds. The movement also features an expansion of Beethoven's idea of the

function of trills begun in the Waldstein sonata. Here, the triJJ is no longer simply a

decoration, but has become a device for increasing excitement at the end of the

recapitulation (m. 338-343) and in the coda (m. 365-372), where the trilJ is doubled in the

inner voices with each hand playing an additional outer voice.

This work is more technically demanding and more powerful than previous

works, testing the limits of the instrument and the performer. The texture is thick, often

involving chords of five notes in both hands, spread across the keyboard for a full sound.

Beethoven never considered the comfort of his performers, and there are many reaches of

tenths, as in measures 75-84 and 159-161, which is a large stretch even on the narrower

keys of the nineteenth century piano.

The second movement scherzo is more conventional than most of Beethoven's

earlier dance movements, lacking any interruptions of the basic structure. The repeats are

written out, with the repeat of the first phrase and the paired second and third phrases an

octave higher. The only formally unsettling aspect of the scherzo is its opening phrase,

32

which is a nontraditional seven bars long. Thematically, the main rhythm mimics that of

the first movement's opening statement and its fixation on the contrast of B-f1at and B­

natural. The scherzo is in B-flat major, moving to B-flat minor in the trio. The trio is built

on a contrasting rhythm of running triplet accompaniment, with a melody in quarter

notes; as in the scherzo, the repeats are written out. After this point, the movement is no

longer traditional; at the end of the trio there is a second trio (01. 81- I 11) marked presto

and in 2/4 meter (the previous sections were in 3/4 meter). It is in standard three-phrase

form, the first phrase of which is composed of unharmonized eighth notes separated by

eighth rests. It is also in B-f1at minor and the last phrase cadences on the dominant, F

major. This leads to a transitional passage-not traditional in this form--that includes a

long cadenza-like, unmeasured scale ascent in F major. After a pause, there is a return to

3/4 with a pedaled tremolo on the dominant ninth. After three quarter rests, the scherzo

returns, now marked dolce but with few other changes. The coda (01. 153-175) creates

more tension between B-f1at and B-natural, initially using the main motive of the

movement, but in measure 159 it changes to double octaves that alternate between B-fJat

in a higher register and B-natural an octave lower. After a repetition of B-natural, A­

sharp follows (enharmonic to the previous B-flats), suggesting B-minor; the main motive

traces this harmony and there are five pianissimo iterations of the B-natural octave, which

lead to a sudden, violent explosion of the same octave played fifteen times (six in a

higher octave), abruptly cut off by a shift to B-f1at. The opening motive played three

times finishes the movement in B-flat major.

The third movement begins a half-step lower than the second ended. This first

measure was added to the movement after the initial sketch, perhaps to create this half­

33

step relationship that js so important to the precedjng movements. The opening measure

also adds to the ambiguity of the piece, not firmly establishing the tonal center (F-sharp

minor) until the second measure. In this movement, the third motion is continued,

especially in the development section. As a whole, the movement is highly decorative

and chromatic, sounding almost Chopinesque in style, particularly at the recapitulation

(beginning in m. 88). Beethoven further demonstrates his ability to transform and vary

returning themes at the return of the transition between the first and second groups (m.

113). The first time, the progression is from a dominant-functioning chord to the tonic

(m. 27). Upon the return, however, Beethoven took the opportunity to move from the

dominant to the submediant in a deceptive progression, creating a new dramatic effect

while at the same time achieving a modulation to 0 major.

The fourth movement is the most radical, despite employing only traditional

devices of Baroque fugal counterpoint. Like the previous transition between movements,

the final chord of the third movement (F-sharp major) moves down a half step to F; each

F on the keyboard sounds in ascending order beginning on FI, as though testing the

keyboard's compass. Rosen calls this introduction to the fugue "The Birth of

Counterpoint,',39 and rightly so, for it spends time exploring different styles of

counterpoint in an improvisatory fashion, without bar lines (though the time signature

indicates common time). The key does not remain constant, and immediately moves from

the F established at first, with syncopated chords descending in the ubiquitous thirds.

There arc three different approaches to counterpoint in three different tempi, each

separated by syncopated chords and a fermata: the first is a three part texture in G-f1at

major, Lar!?o; the bass descends on G-f1at, E-f1at, and B, leading to the second

W Rosen, Companion 226.

34

contrapuntal entry (Un poco piit vivace) in B major in two voices, consisting of scalar

patterns in contrary motion, landing on F-sharp major; the bass descends from B to G-

sharp for a G-sharp minor exercise (Allegro) in two voices. This last entry grows in

volume and breaks off suddenly with a rest and fermata on the downbeat of measure 8, as

though Beethoven chose to harshly reject these Baroque-style examples of counterpoint.

The bass descends yet again in thirds, from G-sharp to A. In measure 9, all A's sound in

the same way as the opening F's, revealing that the last page has simply been a long-form

descending third progression from F to A; these pitch classes will form the head of the

fugue subject. This long-range focus is entirely new to Beethoven's sonatas. The

introduction finishes by continuing the chain of thirds in the bass; the final descent is a

fourth40 from D to A. From the A, an A major chord is built, in a section marked

prestissimo, the A major triad is repeated fortissimo and gradually fades to pianissimo.

The A descends to F to begin the Allegro riso/uto fugue. Bars 11-]5 anticipate the fugue

subject with treble trills and tenth-leaps in the bass.

The subject, which enters in bar 16, is within the realm of possibility for a

Baroque subject, staying within the interval of a tenth and containing only a few

important developmental motives:

0'­0'1

•"

(a) . (b) (c)

(d) Fig. 13. Op. 106 IV: rn. J7-21

<10 Sketches show that Beethoven initially planned this last descent as a third. The third apparently caused unnecessary prohlerns and was subsequently rejected.

35

The only nonstandard feature of the subject is the prominence of its trill. Typicalty, in

Baroque and Classical fonns, the trill is purely decorative. In this fugue, Beethoven uses

it as a motivic element, as is apparent throughout.

Unlike the first three movements of the sonata, the fourth movement is not in any

orthodox form. Rather, it combines the fugue setting with rondo and variation forms. 41

Every recurrence of the complete subject uses a different contrapuntal device, each of

which forms a new variation. The episodes are largely formed from fragments of the

subject or from one of the two countersubjects. Two "independent episodes," longer than

most of the other episodes, and an individually introduced third subject take the aspect of

rondo-form digressions. The fonn of this movement can be summa.rized thus:

First statements (fugue exposition) (m. 16-40) Episode (m. 4 I-51) Subject with reversed accents in D-f1at major (m. 5\/52-60) Episode (60/61-65) Answer (65-70) in response to entry in m. 5\ Episode (7 1-84) "Independent Episode" in G-f1at major (m. 85-93) Subject in Augmentation in E-flat minor (m.94-129) Return of "Independent Episode" in A-flat major (\30-152) Subject in Retrograde in B minor with new subject (153- I95) Re-entry of original subject in D major (154-207) Subject in Inversion in G major (208-234) Episode with move toward V of D major (235-249) Exposition and Development of short third subject in D major (250-278) First and Third Subjects in B-ftat Major (279-293) Subject in Inversion and StretLo (294-317) Formal Peroration (318-358) Final Entry in Tonic (359-366) Coda, beginning in E-flat major (367-400)

The organization of this movement, and the preceding movements, is impeccably

logical. However, the third and fourth movements sound conspicuously free and

41 The final movement of Beethoven's Symphony No.9 in D Minor (J 824) is in a similar hybrid form.

36

improvisational. This is a hallmark of the mastery found in Beethoven's final period: the

reconciliation of strict organization with improvisation.

Op.l10.

After Op. 106, Beethoven backed away from extreme experimentalism. Op. 110

is shorter and simpler, but continues the idea of unifying elements between movements,

despite the contrast of character from one movement to another. Each movement contains

at least one of two formative elements: ascending or descending fourths and ascending or

descending sixths filled in with passing tones.

The first movement is in A-flat major, marked Moderato cantabile molto

espressivo. The opening uses the distinctive parallel fourths motive (m. 5-8). The melody

that begins in measure 5 has a completely orthodox homophonic accompaniment that

could have been transferred from any of his earlier sonatas. The harmony is simple, not

straying far from the tonic as did some earlier works (notably, Op. 53). The transition (m.

12- I9) is non-thematic, simply serving as a graceful transition to the secondary thematic

group. The second group begins in the highest register of Beethoven's piano, tracing out

a two-bar theme that is repeated with syncopation. Transitioning to the next theme,

Beethoven uses descending trills in the bass, a technique that would not have been found

in his early works; the trills make it easier to create an effective crescendo and increase

tension by the introduction of non harmonic tones. The development (m. 40-55), starting

in the dominant, is quite smalJ-16 bars long-and simple, modulating only to F minor,

D-f1at major, and B-f1at minor; all of these are closely related to the original key. As was

Beethoven's tendency in middle and late works, he does not simply repeat the exposition

material in the recapitulation, but varies it. In measures 56-62 he uses a bass line

37

reminiscent of the transition from the exposition to accompany the opening melody in the

tonic key, similar to the overlapping techniques discussed in Op. 53 and Op. 57. There

are three bars added to the end of the opening motives to transition to the subdominant

key area in the second melody. After beginning in the subdominant, the theme begins a

smooth modulation to E major for the transition. The second group is approached from E

major by chromaticism that leads back to A-flat (G-sharp to G-natural in the treble, E­

sharp to E to E-flat in the bass). The movement continues to progress without surprises

until it closes gently on the tonic triad.

The second movement is a standard three-phrase minuet form in F minor. Its only

odd feature is that the metric accent between bars is uncertain and scholars continue to

disagree on where the emphasis lies within the first four bars. At the end of the scherzo

section, D-flat major is approached by a common-tone modulation from F minor,

beginning the trio. The trio is quite sparse, particularly when compared with works such

as the second movement of Op. 106 and even some earlier trio movements. Each bar

spans a fourth, with passing tones between; this is yet another example of the unity of

common motives between movements.

The third movement, like the finale in Op. 106, is a fugue. Again, this is not a

Bachian fugue, but one that begins with a recitative and arioso introduction in B-flat

minor (supertonic of the first movement). A distinguishing feature of the introduction is

the use of repeated notes. Most interesting among the repeated notes is the A in measure

5; in this case, the repeated note is a chord seventh. Rarely in Baroque and Classical

music does a chord seventh receive such emphasis. As in the opening to the fugue of Op.

106, there arc no bar lines in the recitative. There are few surprises within the fugue; the

38

recurrence of the arioso segment in G minor is, however, a point of interest, as it

eventually leads back to the fugue in inversion (and in G major), whereupon a new fugue

exposition occurs. The most exciting point in this segment is the E-flat major iteration of

tbe subject in double-diminution and stretto, where the note value is reduced to sixteenths

instead of dotted quarters and the voices continually interrupt one another. The normal

form of the subject returns in measure 174 in bass octaves. From there to the end, the

fugal texture is thickened by chord tones filling out the octaves that now form the subject.

The last eight measures pound out a tonic pedal fortissimo with sforzandi before ending

in arpeggiation42 on the tonic, A-flat major.

Conclusion.

From this study of the sonatas, it is clear that there are specific tendencies in each

period. The earlier sonatas tend to be lighter, sounding more similar in texture to the

works of Mozart or Haydn.43 This is not to say that they are in the bright, happy style so

often associated with Mozart and Haydn, but rather that they do not astonish the listener

with the quantity and thickness of sound. This sound is created by the use of light

articulations and short slurs. The middle sonatas have a much greater weight of sound,

often in great washes of forte arpeggios sustained con sordino. The phrase length

increases, often assisted by long slurs. The late sonatas have an astonishing fullness of

texture, accomplished both by means of doubling notes and by adding non-chord tones to

already thick chords. The importance of the coda also increased throughout the sonatas.

Initially there was either no coda, or only a brief confirmation of the tonic. In the middle

42 The arpeggios are highly reminiscent of the transition from the first movemenl. 43 This association is not necessarily accurate; both Haydn and Mozart wrote tragic-toned works.

39

recurrence of the arioso segment in G minor is, however, a point of interest, as it

eventually leads back to the fugue in inversion (and in G major), whereupon a new fugue

exposition occurs. The most exciting point in this segment is the E-flat major iteration of

the subject in double-diminution and stretto, where the note value is reduced to sixteenths

instead of dotted quarters and the voices continually interrupt one another. The normal

form of the subject returns in measure 174 in bass octaves. From there to the end, the

fugal texture is thickened by chord tones filling out the octaves that now form the subject.

The last eight measures pound out a tonic pedal fortissimo with sforzandi before ending

in arpeggiation42 on the tonic, A-flat major.

Conclusion.

From this study of the sonatas, it is clear that there are specific tendencies in each

period. The earlier sonatas tend to be lighter, sounding more similar in texture to the

works of Mozart or Haydn.43 This is not to say that they are in the bright, happy style so

often associated with Mozart and Haydn, but rather that they do not astonish the listener

with the quantity and thickness of sound. This sound is created by the use of light

articulations and short slurs. The middle sonatas have a much greater weight of sound,

often in great washes of forte arpeggios sustained con sardino. The phrase length

increases, often assisted by long slurs. The late sonatas have an astonishing fuJI ness of

texture, accomplished both by means of doubling notes and by adding non-chord tones to

already thick chords. The importance of the coda also increased throughout the sonatas.

Initially there was either no coda, or only a brief confirmation of the tonic. In the middle

,12 The arpeggios are highly reminiscent or the transition rrom the first movement. 43 This association is not necessarily accurate; both Haydn and Mozart wrote tragic-toned works.

39

and lale periods, the coda became a device for additional developmental material

preceding the final cadence.

Another important observable shift is the size of the ideas from which Beethoven

built sonata form movements. In the early period, Beethoven's themes tend to be longer,

more expansive, and less related to each other. In the middle period, we begin to see

Beethoven building lengthy movements from miniscule motives, all of which are related.

His great mastery in this area only increased in the later sonatas.

The complexity of Beethoven's harmony also increased, reaching a climax in Op.

106, where the classical circle-of-fifths progression is replaced by a reliance on third

relations. The forms in which harmony exists, however, did not undergo the same

changes that extended to most other aspects of Beethoven's writing. It is only in the

context of form that Beethoven's revolutions of texture, harmony, and phrasing can exist

and still be truly Classical.

40

Glossary of Terms

Arpeggio: a broken triad or seventh chord with notes played in succession. Articulation: refers to different kinds of touch, such as staccato or legato. Attacca: continue without break. Augmentation: increase in note value (e.g. a quarter note to half note). Bachian: in the style of J.S. Bach (1685-1750). Bar: measure. Baroque: the musical period lasting roughly from 1600-1750. Cadenza: traditionally a freely improvised section in a concerto. Chopinesque: in the style of Frederic Chopin (1810-1849). Classical: a blanket term for all art music. The period from approximately 1750-1815. Con sordino: with the damper, or sustain, pedal. Diminution: the opposite of augmentation, where note values are decreased (e.g. quarter note to eighth note). Dominant: the fifth pitch (or chord) in a scale, usual1y progressing to tonic or submediant. Downbeat: the first beat in a measure. Enharmonic: two notes with the same audible pitch, but different spelling (e.g., C and B- sharp). Episode: 1. Section in a rondo between statements of the rondo theme. 2. Non-thematic section in a fugue between statements of the subject. Fermata: a mark indicating that a note should be held longer than the note value. Forte: loud, marked f on sheet music. jp: forte-piano, indicating one note or chord to be played loudly, followed immediately by soft notes. Fugue: a form in which a musical phrase or idea, called the "subject," is introduced alone in one voice. Subsequent voices state the subject while the previous voice(s) continue in counterpoint (often including a second important line cal1ed the "countersubject"). The subject is treated with various devices of counterpoint, possibly including inversion, diminution, augmentation, or stretto. Statements of the subject are periodically interrupted by "episodes" consisting of non-subject material. Glissando: slide finger or thumb up or down the keyboard, playing each note in rapid succession. Grave: gravely. Harmonic interval: two notes played simultaneously. Homophonic: a style of melody in which the melody is distinct and the accompaniment is less important; contrasts with counterpoint, where there are two or more important melodic lines. Inversion: an inversion in fugue is the subject with its intervals reversed, or upside­down. Key: the particular set of pitches from which a piece or section is derived. Measure: a small organizing segment, delineated by vertical lines. Melodic Interval: two pitches played in succession, as opposed to simultaneously (see: harmonic interval).

41

Minuet: musical form, usually consisting of two repeated sections of three-phrases each. Originally, the minuet was a dance, but in the classical era it became highly stylized. Mod~: a specific set of ~itches from which a piece is written. In tonal music.(post­Renaissance and pre-2011 century), there are two commonly used modes, major and minor. These are made distinct by their patterns of half-steps and whole-steps. Modulate: to shift from one key to another. Motive: a miniscule musical idea, usually only a few notes long. Mozartean: in the style ofW.A. Mozart (1756-1791). Neapolitan: a major triad built on the lowered second scale degree, usually in first inversion. Opus: "Work." The numerical system used to catalogue a composer's works in the order in which they were published. It is not always reflective of composition date. Abbreviated "op." In titles, it is capitalized. Piano: softly, marked p on sheet music. Pizzicato: a style for stringed instruments, wherein the strings are plucked instead of bowed. Poco: a little. Portato: an articulation shown by slurs over staccatos, indicating that the notes should be detached but not short. Relative major: the major key sharing the same key signature as a minor key (e.g. C major and A minor). Retrograde: in fugue, the subject played backward. Ritardando: gradually slowing. Romantic: the period from roughl y 1800-1900. Rondo: a musical form with a recurring section, called the rondo theme. The rondo theme (A) is interrupted by contrasting sections called episodes (B, C, D, etc.). And example of rondo pattern is as follows: ABACA' BA". The apostrophe indicates "A prime," an alteration of the theme. Scherzo: literally, "a joke." Music characterized by a jovial character. Sempre: always. Seventh Chord: a chord with four members, with the interval of a seventh between the first and fourth chord members. Slur: a curved line indicating that the notes encompassed should be played without breaks in sound. Sonata rorm: form consisting of an exposition, development, recapitulation, and sometimes a coda. An introduction may precede the exposition. The exposition is the first statement of thematic materials. These materials are explored using various devices in the development. The recapitulation serves to reintroduce the exposition material, similarly to the way it appeared in the exposition, releasing the tension of the development. Staccato: an articulation indicating that notes should be played with distinct breaks in sound. StreUo: one hand or voice begins a melody or figure and another hand or voice interrupts with the same material before the first entry is complete. Subito piano: suddenly soft. Tonic: the first pitch or chord in a key. Tremolo: rapid repetition of pitches.

42

Trill: rapid alternation between two neighboring pitches. Trio: in a sonata, the second part of a minuet and trio movement. Voice: refers to an independent melodic line in instrumental music.

43

Bibliography

Beethoven, Ludwig van, Klaviersonaten, Band I. Munchen: G. Henle Verlag, 1952/1980.

Beethoven, Ludwig van, Klaviersonaten, Band II. Munchen: G. Henle Verlag, 1980.

Beethoven, Ludwig van, Piano Sonatas. El Atril Music Database. <http://el-atriJ.com/partituras/Beethovencontenido.html> (Accessed 4 February 2(07).

Fisher, Steven C, "French Overture." Grove Music Online ed. L. Macy (Accessed 4 February 2007), <http://www.grovemusic.com>

Fuller, David, "Alberti Bass," Grove Music Online ed. L Macy (Accessed 4 February 2007) <http://www.grovemusic.com>

Lockwood, Lewis, Beethoven: The Music and the L(fe. New York: W.W. Norton & Company, 2005.

Rosen, Charles, Beethoven's Piano Sonatas: A Short Companion. New Haven: Yale University Press, 2002.

Rosen, Charles, The Classical Style: Haydn, Mozart, and Beethoven. New York: W.W. Norton & Company, 1972.

Sheppard, Craig, Beethoven: A Journey. The 32 Piano Sonatas Performed Chronologically. Romeo Records compact disc, 2005.

Tovey, Donald Francis, Sir, A Companion to Beethoven's Pianoforte Sonatas (Complete Analyses). New York: AMS Press, 1931.

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