51

Form In the Finale of Haydn's

String Quartet; Ope 64, No. 5

SUSAN TEPPING

In the single chapter on form (Chapter 5) in FreeComposition, Heinrich Schenker presents a sketch of a newform theory to which he attaches great importance. Schenkerviews "form as the ultimate manifestation of that structuralcoherence which grows out of background, middleground, andforeground,,,l basing his theory on the background structureof a composition, rather than on considerations of phrase­ology, or on thematic or motivic relationships. Quotingcomposers from C.P.E. Bach ("One must have a vision of thewhole pi ece") 2 to Brahms ("More from the whol e") , 3 Schenkerputs forth his theory as the "true interpretation of thewords of the masters.,,4

Several background structures which support ternarydesign are outlined in Chapter 5. Prolongation of thedominant in the bass arpeggiation I-V-I can create the"contrasting," or B, section; this can be seen in several ofSchenker's examples. Arpeggiation may occur with an un­divided Urlinie, as demonstrated in tQe analysis of Chopin'sMazurka, Op. 41, no. 2,5 in which 5 is prolonged over a

1Heinrich Schenker, Free Composition: Volume III of NewMusical Theories and FantaSies, trans. and ed. Ernst-oster(New York: Longman, 1979), p. 130.

2Ibid ., p. 128.3Ibid ., p. 129.4Ibid ., p. 130.5Ibid ., Figure 75.

52 INDIANA THEORY REVIEW

Example L Chopin, Mazurka, Op. 41, no. 2.

A

5

e: i i

dividing dominant. (See Example 1.) The prolongation of thedividing dominant in the middle section may also occur inconjunction with an interruption of the fundamental line, asthe "Ode to Joy" theme of Beethoven's Ninth Symphony shows. 6(See Exampl e 2.)

Example 2. Beethoven, "Ode to Joy" Theme.

1\

1"2.II

3II/I

3

/,... I·~ r, r,

./ .;'J.Jo' 1'"

• \. "} \. f/- IID: I V

Ai B

I

Chromatic alteration in the Urlinie ("mixture"), general­ly of the third scale degree, may produce a ternarydivision, as can be observed in Schenker's analysis of the

6Ibid ., Figure I0ge,3.

HAYDN'S STRING QUARTET, OPe 64, NO.5 53

third movement of Beethoven's Piano Sonata,ample 3). A prolonged neighbor note mayresult, as illustrated in the analysis ofOpe 10, No. 8.8 (See Example 4.)

Ope 26 7 (see Ex­have the sameChopi n' s Etude,

Example 3. Beethoven, Piano Sonata, Ope 26/3.

II"

t-q-b T

".3 ~3 V3 2- 1

0 I.,) L

I I.-. V rJ C Vl .. r -'Ii V U "- " - c.\.'- J v '0' -

J -- L--i v i

The music of Joseph Haydn, which belongs to thatliterature best suited to Schenker's techniques of graphicanalysis, should serve as well to illustrate his formal the­ories. Haydn's string quartets Ope 55 (published in 1789)and Ope 64 (published in 1790), dedicated to Viennese clothmerchant Johann Tost, reveal the composer's mastery of thenewly-developed string quartet genre. One characteristicwhich binds the twelve quartets together is the appearanceof fugato sections in four of their movements - Ope 55/1/IV,Ope 55/2/II, Ope 64/2/IVand Ope 64/5/IV. Complete fugalmovements, more characteristic of Haydn's earlier work, canbe found in the finales of the quartets Ope 20, nos. 2, 5and 6, and Ope 50/4. Haydn's only other use of fugato inhis string quartets may be found in the first movement(theme and variations) of Ope 76/6, in which one variationis a fugato.

7Ibid ., Figure 40.6.8Ibid ., Figure 76.

54 INDIANA THEORY REVIEW

Example 4. Chopin, Etude, Op. 10, no. 8.

I

/I

2

ii

B

t\3 N

() 1~~ r. ........ I• •I r ? :J

J ........ - ~T -&-.-/T

The Quartet in D, Op. 64/5, thought by some9 to haveoriginally been intended as the final quartet (no. 6) of theopus, is nicknamed the "Lark." A typical description ofthe first movement (Allegro moderato), from which thequartet's name is supposedly derived, is: "From the earth­bound accompaniment of the lower parts, the first violinsoars up to heavenly heights. nlO There has been littlediscussion of the other three movements of the work (II:Adagio cantabile; III: Menuetto, Allegretto; IV: Finale,Vivace) in the 1 iterature.

The finale of the "Lark," with its virtuosic first violinpart (possibly a tribute to violinist Tost), is in ternaryform. Sections Al (mm. 1-28) and A2 (mm. 76-120), bothsmall three-part forms in themselves, are characterized by atreble-dominated homophonic texture, in which a motoperpetuo line carried mostly by the first violin is accom­panied by block chords in the lower three voices. The mid­dle section (B, mm. 29-75) is a fugato in the parallelminor, in which the constant sixteenth note motionestablished in the A section is carried by all voices inturn. (See Example 5 for a formal diagram of the movement.)

The ternary structure of section Al is an example in

9See Warren Kirkendale, Fugue and Fugato in Rococo andClassical Chamber Music, rev. and expanded 2nd ed., trans.Margaret Bent and the author (Durham, N.C.: Duke UniversityPress, 1979), p. 146.

10Karl Geiringer, Haydn: A Creative Life in Music (NewYork: W.W. Norton & Company, Inc., 1946) ,-P:-256.

HAYDN'S STRING QUARTET, OP. 64, NO.5

Example 5. Haydn, Op. 64/5/IV, Formal Diagram.

55

Al (ternary) B (fugato)

\\:. a 1 :11:b a2 :\l s... CS •• CS •• S -------------------------....4+4 4+4+4 4+4 CS .. A... ---------------------------------------

S... --CS .. -------------------------8 12 8

S... CS .. -------------------------------

exposition episode (sequentialdevelopment of S, CS)

D: I V I i V i III iv i V i VD: I i "

rom. 1 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75

A2

(ternary) ~oda

a 1b a2 (ext.) a

3

4+4 4+4+4 4+4+5 2+2+2 + 4+2 4+4

8 12 13 6 + 6 8

12

I V I IV V I

I IV V I

75 80 85 90 95 100 105 110 115 120 125

56 INDIANA THEORY REVIEW

~iniature of three-part form achieved by the prolongation of2 over the dominant in an interruption of the fUQdamentalline. The first secti2n (aI' mm. 1-8) prolongs 5, with aforeground descent t2 2 leading into the middle section (b,mm. 9-20), in which 2 is prolonged over the dominant. Insection a 2 (mm. 21-28), 5 is regained and prolonged. At thefinal cadence of the section, a foreground descent to 3 oc­curs, seemingly closing the fotm. At a deeper level in thestructure, a prolongation of 5 over the tonic is effectedthroughout AI. (See Exampl es 6a and 6 b.)

The examples given by Schenker in Free Composition sug­gest that a ternary form built around an interruption of thefundamental line has ~ middle section consisting essentiallyof a prolongation of 2 over the dominant. In this movement,however, the interruption of the Urlinie occurs at the endof the middle section; the B section, beginning in the tonicminor, prolongs 5 over the tonic through the first threesubject entries of the fugato, in first violin, secondviolin and cello. The viola enters in m. 42, stating thesubject on III, a tonic substitute. The final subject entry(first violin, m. 48) on the minor subdo~inant accompaniesthe introduction of the upper-neighbor to 5. This entry un­folds an inner voice which moves down in a line of thefourth to regain 5 - and tonic harmony - in m. 54. Tonic isthen firmly established with a I-V-I bass arpeggiation inmm. 54-56. (See Examples 7a and 7b.)

Through a complex circle-of-fifths sequence pattern in­volving overlaps in the upper three voices, the highestpitch in the movement is reached with the dominant, at wQi~h

point the Urlinie begins its descent as 8-7 (that is, 5-4)2ver a dividing dominant (m. 61). 3 occurs over tonic, and2 occurs over the progre~sion ii 6 -V (m. 65), where thedescent is interrupted. 5 is regained over the prolongationof the dominant (mm. 65-75), in preparation for the returnof A in the tonic major. (See Example 8.)

A2 begins as a literal repeat of AI; al is repeated ver­batim, as are the first two four-bar phrases of b. Thethird phrase of b is altered somewhat, the melodic line un­folding into an inner voice, though register transfer car­ries the parts up an octave. (Compare Examples 9a and 9b.)A reorchestrated presentation of the theme in a2 (mm.96-102) is harmonized in parallel thirds and sixths in aninner voice, followed by a five-bar extension (mm. 103-108)in which 5 is transferred down to its original octavethrough a tonic triad arpeggiation. The dominant in m. 107prepares for the restatement of a in m. 109. (See Example10. )

Section a3 diverges for the first time from the four-barphrase structure established in the movement, breaking thetheme into two-bar fragments made up of a compressed versionof the head of the A theme. (Compare Examples lla and lIb.)

Example 6a. Haydn, Op. 64/5/IV, Level 4, mm. 1-28.

-(J)

(J)

8::0HZG)

JOC:t='::08tx:l8

::c:t='K:

~

..

fU1

I~I~..I~

<§>

N-Si IJ..'lib 'SL

@

(),2.

@®®®'"5

I \\" l I 11Y l' '3L GYI1]~ DI(D JL] ..ll. IJ- jL .. ( ----------

AI'· 0.., b

Iro

leVE:l ., 4--th N tJ' 3'("'~"

4-+h f?1 ~p,. 4±V'

I~: .=0 ~~ __~~ :: ,n Jh ..-:~ , " _~" ,~• , , # -, , II \. \I 16. .. ,

J ~ # +-:.-+ '---" ---- c, +'+"':..,.... - ~ -I- ' \1+": +-..... --- -+ ' + ................. '--- ,"-----v "f, 'I - "- '-I I \_---1 1- I 'I I 1

I I

OJ\.. 0 "c

l~'\ r~1 ""-1 :: ·~r ~~?1 '-f1 :i

U1~

58 - INDIANA THEORY REVIEW

Example 6b. Haydn, Op. 64/5/IV, Levels 2 and 3,mm. 1-28.

1\

level 2... 5

() \1..-

) , ,

@

------------"1'\

5

.J..--------------------III J) ~III \eve\ 3

"( "

r--- -- - - - - - - - - - l

! 4+hN~

~""A iI! () 11.- /tb., +~ it...

-.. """"' • .... II • • •, , II

J .. + II '- ,0+- -+ -+ II + ~ ~ II--- - - '-

"<

(. . ·. ·•

~·I ~~I I~ ~/l

I------- JL------- 1:,------

6.\

Example 7a. Haydn, Gp. 64/5/IV, Level 4, rnrn. 29-56.

@ N

~@ @ ®

~::c

leIJeI 4 I~-th ~ :J:>'.~ K:

- -+~.~ Vv~ _ -J t::lz

, 4 ~ ;;::.-. -Ul

'-:;:"Ul0-3

'- ::010- b /0-1" ~_. /!> /!>_. '" _ :M,z" ,Ao.. 'C

HzG)

~L, • II _ t .. \ ~ r., , flOC:J:>'

~ t I ,l~0: I ..i I \} l''i 'lJ 3L. I [3[1 Jll

,..I~5

@ ®4" ~-----J~ I~, -r. r-:-:

--..... r.~ •

I~~---- --- * ---#--7 , =-- #----

~-------I ........ '~-- '---.----I;.r- ,- -\,.,. r::---- - J.. - • ---I- T

....... ' '~~=~. 11"" ____- 1111

(0-10 10-10 If) -~

-f- •~ • ,. JI"

-#,

b-' ~--='C

1IL ~~ \'\ i] . 111

J[ Ui 3L] U'I \~ I I I \.0

60 INDIANA THEORY REVIEW

,'b I\1<

I 1

<~~Itl~ lit})f--

I

+: I )\ ~

\ f'; \! I-~ ..L (

I'f I

I.~

~!)

~

<0 \LQI

® ~(j)

C\l t- '1·§~

C"')

~ @ ~s::ro

q'C\l GU1r-I(1):>(1)

...:l~ ® -P- i'-,

I-i

'--LQ f'l'-- ~"'.j'1<0

I-::eI ,--1· ,';:::>j

0.. ~

0 -3~ \ >-

s:: 0 L::..J~ ®>,

.s;l r7l 7"ro=:

·,.0~ ~

\ I(1) .£r-I0..

~~~ ,~ ®

<'J ~

~ .; .0 ~

~ ;h -"\S :a -cs

v

HAYDN'S STRING QUARTET, OPe 64, NO.5 61

Example 8. Haydn, Ope 64/5/IV, Levels 3 and 4,mm. 56-76.

1\

5..,

.3

II

I@I

tl i

,) I

I Ill"'.

dj';'· ~!

,

,

,,~Ii

•

"

•

."

J

level :3/? ~f- t>.. ...--- ) Jl.

~,J

\~ /,~ 4i'+

~

/'1

I

Iffr- -- ~I r

Through a series of voice exchanges and unfoldings, thistwo-bar Afragment is passed from voice to voice, eventuallyplacing 5 in the second violin (m. 115), with an "alto"voice transferred above it, forming the basis of the firstviolin figuration. (See Example 13, Level 4.) The statementin the second violin extends the fragment by twice repeatingits first measure, and then completes the phrase. (See Ex­ample 12.) The final descent of the Urlinie, in the secondviolin, mm. 118-120, is accompanied by a prominent innervoice in parallel sixths, transferred above into the firstviolin. The following Coda (mm. 121-128) expands theregister outwards in each direction by an octave. (See Ex­ampl e 13.)

Two motives appear in the first phrase of the movement

62 INDIANA THEORY REVIEW

Example 9. Haydn, Ope 64/5/IV, Level 4.

a. mm. 17-21 b. mm. 92-96

f\

5

f% ~Q:&J=:,-------~~'

()

which are prominent throughout the piece. 11 The first isthe rising-third motive of the A theme (bracketed in Example11); its activity is restricted mostly to the foreground.The second is the upper neighbor-note figure presented in anelaborated version in the A theme; it can be found operatingat all levels of the structure. The frequent reappearancesof the neighbor-note figure in sections A1 and A2 are brack­eted in the foreground (level 4) graphs (Examples 6, 10,13). The figure aQpears in the backgro~nd structure of theB section, where b 6 , upper-neighbor of 5, is presented overthe dividing subdominant (mm. 48-54), and is reflected as adecoration of the regained fifth scale degree before thereturn of A. (See Examples 7 and 8.)

The neighbor note and the rising third motives both aQ­pear in the fugato subject of the middle section. From 5,an inner voice (d) is unfolded, decorated with its lowerneighbor, and accompanied in the countersubject by its in­version. An ascending-sixth gesture rises through two setsof thirds froW the unfolded inner voice to the upper­neighbor of 5 in the subject, accompanied by sets ofdescending thirds in the countersubject, generating two­voice 6-10 exchange pairs. The resolution of the neighbornote to 5 occurs in conjunction with a 10-6 voice exchangewi th the counter subj ec t. (See Example 14.)

Both motives - neighbor note and rising third - areelaborated in the Coda. The rising third is presented withits inversion, decorated by lower neighbor notes. At asomewhat deeper level in the structure, these gestures canbe seen ~s elaborations of the upper-neighbor of thecadential 1. (See Example 15.)

llSee Charles Burkhard, "Schenker's 'Motivic Paral­lelisms'" in JM! XXIII:2(145-175).

HAYDN'S STRING QUARTET, OP. 64, NO.5 63

Example 10. Haydn, Op. 64j5/IV, Levels 2-4, mm. 76-109.

A\evel2.. 5

,I· ..,.

'.

I,--- -..-----

I. level ~

,.5

Cl:J1'f)

]j ~ I ----- .:L --I----------------

!

4+>-I

! I

}h?**"~. J~~ "'"II

-~ .l. 1\ • ~ +..,.. ~ I-.i ,, •, , , , , ,J -, '- '+ ' ..,..:+ -#-'- -------- ~ '-"+--

,.

~ ..~ 1 •

! I~I J'~l --- --I

@I @ 00 @ eJ7,level 4 }t4~- _.

l-i- .--h. {Jl;r><l ~/,Ir, 11 \ ~ t;: ~.:TFb+)....~.....!.lr+ ,

i , ,~,

• ",

J -' mvn.l/P-Q 2-..,.. +'-" - -- -~ ',-+ '../

< -=-\-1/

\ ~, ,7

I I'---- Y I I I \1 I'-- - i

11\1,

D', - Jl.. I Ji \f J.. 1- li'110 \T IJ- ~ • .;i- '.l-..J-

Ai' 0.., 0...2-

64 INDIANA THEORY REVIEW

Example 11. Haydn, Ope 64/5/IV.

a. Violin 1, mm. 1-5.

..... - - - - - - - - - -- - -- -- - - -4ih

n u- ~ - I'i'! '"Ay - .J -\ ~

r , -I - -""1\ ) • , 1#[7 • 4 ,,\ ...I ) '---'" , '-I- ~

I

I

~!,m!~I~

b. Violin 1, mm. 109-110.

Example 12. Haydn, Ope 64/5/IV, Violin 2, mm. 115-130.

II 1\

431\

1

() tY. -- 100.-1""" -~ -- <III •-,n'l. l"'T' .," -.

..r:¥ I • .,. 411" ...., r A '".J <II rr I"' 1<111 .. l'" I"' • .. l'" I"' .. If .-t A\. ) .. ... . • ~ r/

J ~ ~ t::P" ;,;;:

HAYDN'S STRING QUARTET, OPe 64, NO. ~ 65

Example 13. Haydn, Gp. 64/5/IV, Levels 2-4, mm. 109-128 .

\e\le) 2.-.,

4- '"1 '" '"oS 3 '2. 1-

---J' J .JI

j,----

IJA ,, .I,I.....

~ (p (4 3

.,.,

~" ~I-,

1\

51 le-ve\ ~!

~£;I

J""I ~

J -,. ,1\ ,-,:; t'.

..L., o.A , -# ,

"7 #,;./ '4 .- ,. .-/

~ !O /4 3

II /"'" #

I --r ---- "---- r~... , :;,7 I

: \e,IJe\ 4 5 4 2- .1. i

t;"'J\ i:~. I

1\ ~ N ,~ .-! nU-

,-#.. r~ l-c+ ~ ""!:. ::

,t:"-t: 7: ~

r ,,#, , , ,

'"J "';"'; , '/ -- --- .~L..--.J L..-J I...----l

'I I....----l 0 1 \ \I I

r--T 4 3_r;' ~

tV:',~- ~!

",

I "----- yl~ I'\'--../ \.:£;:/.~~,-I "1.

66 INDIANA THEORY REVIEW

Example 14. Haydn, Ope 64/5/IV, Violins, mm. 29-33.

,\ I I 'J I~ £.1 '..,.. I

(1 - .,.. ..,

J ,~

~r I"-~ - 1"000...

, ; ,

I ~. L-J,+'7+:j:..7~ 41/+ ' ~i17 -, '-

":>~ ~,N

.I

,

10-6

.t\J

0--/06-10

:-6I

According to Schenker, "all forms appear in the ultimateforeground; but all of them have their origin, and derivefrom, the background."12 When one examines the backgroundstructure of this movement, at the deepest structural levelthe interruption of the fundamental line seems to determinea binary division of the form. (See Example 16.) Schenkerrecognizes this problem, stating that "division plays themost important role in three-part form ••• , even thoughat the first level it brings binary characteristics to thefore, as a consequence of ~-il i-i-i or ;-il ;_i. u13 Ifform derives from the background, how is such a ternary form

l2schenker, Free Composition, p. 130.l3 Ibid ., p. 132.

HAYDN!S STRING QUARTET, OPe 64, NO.5 67

Example 15. Haydn, Ope 64/5/IV, Upper Voices,mm • 120-12 6 •

~ - "7-7'

v r

Example 16. Haydn, Ope 64/5/IV, Background Graph.

t~ Y J- li "7[ r1\F\2

~ II i i

III

I=7~'

N.-

1r .. .. v.... '" .~#, , +- .;;, L¥ .,

r;f,\P , ..,.. '7 +-+-

'\~ 14 3

......../ Y '-'" r

I I Ii I "---rI I~I II I'

68 INDIANA THEORY REVIEW

to be distinguished from a binary form at the backgroundlevel of structure? Schenker's formal theory does notresolve the contradictory indications of ternary designshown at the foreground and middleground levels ofstructure, as opposed to binary design apparent at the back­ground level. According to Schenker, "the element of timecannot alter the meaning of a musical phenomenon.,,14However, duration certainly has an effect on our perceptionof formal structure. Form is reflected here in the fore­ground and middleground, but while the form is closely con­nected with the tonal structure of the movement, it is notidentical with it.

The design of statement-contrast-return of the "Lark"finale leads to the perception of the movement as a ternaryform. The minor tonality and polyphonic texture of the mid­dle section is set against the major tonality and homophonictexture of the A sections. Also, the middle section is ofsubstantial length, approximately one-third of the durationof the movement. Rather than viewing form as an element oftonal structure (Schenker's approach), form and tonalstructure should be seen as separate but interactive ele­ments of the composition.

l4Translated from Schenker's Harmonielehre (p. 411) inEugene Narmour, Beyond Schenkerism: The Need forAlternatives in Music Analysis (Chicago: University of Chi­c ag 0 Pres s, 1977), p. 87.