October 15, 2007 Non-finite clauses and control

11-721: Grammars and Lexicons

Lori Levin

Phrase structure and lexical entries for embedded clauses

I think that John saw Mary. think < cognizer theme >

SUBJ COMP

see < perceiver perceived >

SUBJ OBJS

NP VP

I V S-bar

think C S

that John saw Mary

Matrix clause or main clause

Embedded clause

An embedded clause that is an argument of a verb is called a complement. A word like “that”, which marks a clause as a complement clause, is called a complementizer.

Complement clauses and adjunct clauses

• Complements– I think that it is raining.– You told me that it is raining.

• Adjuncts– I read the book while it was raining.– I read the book before it rained.

Complementizer

S

NP VP

I V S-bar

think C S

that linguistics is fun

C S

S-bar

that linguistics is fun

S

VP

bothers me

Main clauses don’t have complementizers:

*That it is raining.

S-bar, CP, and IP

• S is currently called IP (inflectional phrase) and S-bar is currently called CP (complementizer phrase).

IP

NP VP

I V CP

think C IP

that linguistics is fun

Matrix clause and embedded clause

It seems that they have left.

COMP NP VP

S

V S-bar

NP VP

S

Embedded Clause

Matrix Clause

Matrix coding as subject

It seems that they have left.

COMP NP VP

S

V S-bar

NP VP

S

They seem to have left.

I

VP

V VP-bar

NP VP

S

Also known as “Raising to Subject”

It seems that they have left.

COMP NP VP

S

V S-bar

NP VP

S

They seem to have left.

COMP

VP

V VP-bar

NP VP

S

Lower clause subject is raised to be the subject of the matrix clause.

Matrix Coding as Subject

• Subject of embedded clause is coded as subject of matrix clause– Occurs before the matrix verb in English– Matrix verb agrees with it

Matrix coding as a test for subjecthood

• Only the subject of the embedded clause can be removed from the lower clause and coded as the matrix clause subject.– It seems that I have seen them.– * They seem I to have seen ____.– * The knife seems I to have cut the bread

with.

Matrix coding as a test for subjecthood

• Start with “It seems that S”– It seems that the bear ate a sandwich.

• Delete “that” and change the embedded verb to an infinitive– It seems [the bear to eat a sandwich].

• Identify the phrase you want to test.– It seems [the bear to eat a sandwich].

• Replace “it” with the phrase you want to test:– The bear seems to eat a sandwich.

• If “seem” doesn’t agree with the phrase, make it agree.• It seems that the bears ate a sandwich.• It seems the bears to eat a sandwich.• The bears seems to eat a sandwich.• The bears seem to eat a sandwich.

• It’s ok to make the lower verb into a perfect (have/had V-ed) or progressive (BE V-ing) to make it sound better.– The bear seems to have eaten a sandwich.– The bear seems to be eating a sandiwich.

What is the subject of these sentences?(Use raising to subject as a test)

• There is a problem.

• There are problems.

• In this village lives a wise man.

• In this village live many people.

Two Hypotheses

• An embedded subject can be coded as the matrix subject.

• The first element of the embedded clause can be coded as the matrix subject.

• Can you think of examples to test differentiate between these two hypotheses?

Using passive to make patients raisable

• It seems that Chris ate a sandwich.

• It seems that a sandwich was eaten by Chris.

• A sandwich seems to have been eaten by Chris.

Raising in Malagasy

• See handout

Control by Matrix Subject

• Pat is the agent of try and the agent of open.

• Pat is also the subject of both verbs.

Pat tried to open the window

COMP

VP

V VP-bar

NP VP

S

Control by matrix subject: a.k.a. Equi NP Deletion

• History of Equi NP Deletion: – Pat tried Pat to open the window.– Pat tried __ to open the window.– (Deletion in this case is obligatory.)

• A meaning preserving transformation deletes the second occurrence of Pat.

Control as a test for subjecthood

• Pat tried ___ to open the window.

controller controllee

Only the subject of the lower (embedded) clause can be the controllee:

* Pat tried Kim to see ___

Seem and Try

• The cat seems to be out of the bag.

• There seems to be a problem.

• That seems to be my husband.

• The doctor seemed to examine Sam.

• Sam seemed to be examined by the doctor.

• The cat tried to be out of the bag.

• *There tried to be a problem.

• That tried to be my husband.

• The doctor tried to examine Sam.

• Sam tried to be examined by the doctor.

Seem and Try

seem < theme >

try < agent theme >

Try

try < agent theme > SUBJ XCOMP

XCOMP– Argument of a verb (not an adjunct)– Non-finite– Does not have an overt subject– Its understood subject is one of the arguments of the main

clause.– Infinitives and participles in subject and oblique positions are not

xcomps.• To open the window is hard.• I thought about opening the window.• Anaphoric or arbitrary control

Seem

seem < theme > SUBJ

XCOMP

Seem has one semantic argument that is split into two syntactic pieces, a SUBJ and an XCOMP.

Seem

It seems that Sam left.

Seem < theme > SUBJ

COMP

Seem and Try: accounting for the differences

• Verbs impose selectional restrictions on their semantic arguments.– Colorless green ideas sleep furiously.– The house woke up.

• The subject of try must be interpretable as an agent.– It cannot be a dummy element.– It cannot be an idiom chunk.

• Changing the subject of try changes its agent and gives it a different meaning.

Thematic Paraphrase

• The same noun phrases fill the same semantic (thematic) roles for the same verbs.

• It seems that Sam ate a sandwich.

• Sam seems to have eaten a sandwich.

• A sandwich seems to have been eaten by Sam.

Controllers and Controllees

• Van Valin uses the terms controller and controllee only with try-type verbs (equi verbs).

• We will use the terms controller and controllee with seem-type verbs (raising verbs) as well.

Are raising and control long distance dependencies?

• Sam seemed to appear to try to eat a sandwich.

SNP VP

V VP-bar

C VP

V VP-bar

C VP

V VP-bar

C VP

Sam seemed to appear to try to ____eat a sandwich

Is “Sam” a filler, and is there a gap before “eat”?

Control and raising are not long distance dependencies

• The long distance with raising and control is a sequence of local operations.– “Sam” is raised locally from “eat” to “try”, from “try” to

“appear”, and from “appear” to “seemed”. “Sam” is understood as the subject of each verb.

• With a true filler and gap, there are no other gaps intervening between the filler and gap.– Who did you think he said she told him she saw ___.

Control and raising are not long distance dependencies

• A true gap can go with any verb.– Who did you see __?– What did you read__?– What did you sing __to her?

• A true gap can be subj, obj, obl, etc.– Who __ saw you?– Who did you talk to __?

• “Understood” subjects only occur in the subject position of infinitive clauses that are complements of certain verbs like “seem” and “try.”

Matrix Coding as Object: a.k.a. Raising-to-Object or Exceptional Case Marking

• I believe that they have left.

• I believe them to have left.

I believe that they have left NP VP

COMP S

V S-bar

NP VP

S Matrix Clause

Embedded Clause

I believe them to have left

I VP

V NP VP-bar

NP VP

S

I believe them to have left

I VP

V NP VP-bar

NP VP

S

I believe them to have left

I VP

V NP VP-bar

NP VP

S

S

Raising-to-Object: We will use this one in this class.

Exceptional Case Marking: we will not use this one.

Evidence that them is direct object of the matrix clause

• It is in the accusative case.• It can be the subject of the passive of the matrix

verb.– They are believed to have left.

• Tests for constituency:– Class participation

• Coordination• Movement• Pronoun substitution

Raising to object as a test for subjecthood.

• Only the subject of the lower (embedded) clause can be raised up to be the object of the matrix clause. – Leslie believes that the police have arrested

Chris.– Leslie believes the police to have arrested

Chris.– *Leslie believes Chris the police to have

arrested.

Test with raising to object

• There are some problems.

• In the village live many people.

Control by Matrix Object

I persuaded Pat to leave

I VP

V NP VP-bar

NP VP

S

Control by Matrix Object

• Pat is the direct object of persuade and the subject of leave.– The matrix object (controller) and embedded

subject (controllee) are the same.

• Only the embedded subject can be the controllee.– *Pat persuaded Sam the doctor to examine.

Believe and Persuade

• I believe the cat to be out of the bag.

• I believe there to be a problem.

• I believe that to be my husband.

• I believe Pat to have opened the window.

• I believe the window to have been opened by Pat.

• I persuaded the cat to be out of the bag.

• *I persuaded there to be a problem.

• I persuaded that to be my husband.

• I persuaded Pat to have opened the window.

• ? I persuaded the window to have been opened by Pat.

Using passive to make patients controllable

• I believe that Sam opened the window.• I believe the window to have been opened

by Sam.• I believe the window to have been opened

by Sam.• I perusaded the doctor to examine Sam.• I persuaded Sam to be examined by the

doctor.

Control in Malagasy

• See handout.

Control of Adjunct Clauses

• Having just arrived in town, Sam called his mother.

• Having just hurt herself, Sam called his mother. • What can be the controller?

– Matrix subject?– Matrix object?

• What can be the controllee?– Embedded subject?– Embedded object?