Beethoven's Piano Sonatas:

An Analysis of Compositional Trends from 1795-1822

ChelseaBloomberg
Spring2007
Dr. GeraldBerthiaume,Advisor
School ofMusic
CollegeofLiberal Arts
Honors Thesis
*************************
PASS WITH DISTINCTION
TO THE UNIVERSITY HONORS COLLEGE:
As thesis advisor for ~ s e t b 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-
(
,
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.
TableofContents
Listoffigures
Illlroduction
Methodology
Analytical Considerations
The Early Period(1795-1802)
Op. 2, No.2
Op. 13 "Grande Sonate Patherique"
TheMiddlePeriod (1802-1812)
Op. 53 "Waldstein"
Op. 57 "Appassionata"
TheLate 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.
Ludwigvan Beethoven(1770-1827)completed thirty-twopianosonatasbetween
1795 and 1822. When he published the first opus,a setofthree(Op. 2), few couldhave
imaginedtheextentto which his writing wouldevolveby the time he published the last
sonata, Op. Ill,twenty-seven years later in 1822.
When Beethovenstarted outas a fresh, youngtalentfromBonn,Gennany, the
world wasenamoredofclassicism, the foci ofwhichareclean lines, cleartextures, and,
aboveall, balance.Theart, music,and literatureofthetime looked back to the
architectureandsculptureofancientGreeceto find inspiration. Musical classicism
reached its pinnaclein the worksofWolfgangAmadeusMozart(1756- I791). Beethoven
adored thegenius' music, and found in his works inspiration and a model to emulateas
well as a shadowfrom which he mustescape. In Octoberof1790, the youngcomposer
copiedouta musical excerptin his sketchbook,writing,"Thisentirepassagehas been
stolen from the MozartSymphonyin C,wheretheAndantein six-eightfrom the...
[writingbreaksoff].'" Furtherdown thepage, herewrotethepassage,signingit
"Beethoven himself.,,2Thisdesire to break from theearliermaster'sstyle wasneverfully
effected in practice,however,and theinfluenceofMozartshowsevenin Beethoven's
latestsonatas.
DespiteremainingevidenceofMozartean idealsofbalance, by theendof
Beethoven's life, he had strayed from theclassical ideal fulfilled in Mozart'smusic. Even
the mostcasual listenercaneasilydiscern thedifferencebetween Op. 2, No.1 (1795)and
Op. III (1822). However, hearingthedifference is a matterfar removedfrom knowing
I LewisLockwood. Bee/hoven: The Music and /he Life (New York, N.Y.: W.W. Norton & Company,
2005)57.
2 Lockwood. 57.
7
whatprecisechangesoccurredovertimeto createtwo worksofsuch disparatecharacter
andconstruction.The purposeofthis research is to discoverand describethechangesin
compositionstyleand techniquemadethroughoutthe twenty-seven yearsduring which
Beethovencomposed the thirty-twopianosonatas.
Methodology.
In orderto answerthe research question,I chosesix ofthethirty-twopiano
sonatasto analyze. Thesesonatasrepresentthe threestandardizeddivisionsof
Beethoven'scompositions, includingtwo worksfromeachperiod.Theearly period
consistsofmusic written between 1792 and 1802,andincludessonatasOp. 2 through
Op. 49. Themiddle period lasted from 1802 to 1812and includessonatasOp. 53 through
Op. 90. Thelateperiod lastedfrom 1812to Beethoven'sdeath in 1827 and includes the
lastfive sonatas,Op. 101 through Op. Ill.Thesonataschosen for thisstudyareas
follows:
Early period:
PianoSonatain A Major, Op. 2, No.2(1795)
PianoSonatain C Minor,Op. 13 "Pathetique,,3(1798/99)
Middle period:
PianoSonatain C Major, Op. 53 "Waldstein"(1803/04)
PianoSonatain FMinor, Op. 57 "Appassionata"(1805/05)
Late Period:
PianoSonata in B-flatMajor, Op. 106 "Furdas Hammerklavier"(1817/18)
PianoSonatain A-flat Major,Op. 110(1821)
}ThetillesofBeethoven'ssonatas weregenerallyadded by the publisher, notby the composer. An
exception is Sonata Op. 81a "DasLehewohl"("TheFarewell"), which the publisheraltered by translatingit
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
periodsand thatthe secondand third periodscontainmanysimilarelements. Hedoes not
discard the ideaentirely, however:
"Whl:nthedivision into threeperiotls is retained, it should beclearthat it is a fiction for the purposesof
analysis, al:onvenience for understanding, and nOI a biographical reality. Thesteadydevelopment
tliscernibJc in Beelhoven'scareer is as important as itsdiscontinuitieseven iftheseareeasierto describe.
11 is only in comparing works several yearsapart that thediscontinuitiesassumea demonstrableand
.
persuasivesense.
Thiscaution should be keptin mind wheneverconsideringtheprogressionof
composition techniquein Beethoven'sworks.
The Early Period (1795-1802).
Even though theearly worksofBeethovenaresomewhatimitativeofMozart,he
was alreadydisinclined to follow on the heelsofconvention. Beginningwith the first set
ofsonatas, publishedin 1795 as Op. 2, he shocked his audiences-andwouldcontinueto
dosountil hisdeath thirty-two years later. Priorto theseworks,agroupofsonatas
published togetherwould begin in amajorkey; the first ofthethreesonatasfrom Op. 2is
in F Minor. Also, the sonatasofMozartand Haydngenerallyhave three movements.
Each oftheopus2 sonatas has fourmovements. Ofcourse,Beethovendid notadd an
extramovementfor no reason; ratherhe drewfrom symphonicliterature, theworksof
which tended to havefourmovements in thefollowing pattern:
I. Fast, probably in sonataform.
II. Slow,often in simpleternary, butcould be in any form.
III. Stylized dance, usuallya minuetform.
s
1 Charles Rosen, The ClassicalStyle: Haydn, Mozart. andBeethoven. (NewYork: W.W. Norton&
Company, (972)1R9.
5 In Beethoven'sworks, the label ofthis movement is often scherzo. However, thesescherzi areusually in
the samethree-phrase form asthe minuel.
10
IV. Fast,often arondoorsonataform.
Each ofthethreeopus2 sonatas follows this format, showing Beethoven'searly
inclination to expand the scopeofpianoliterature.
Opt2, No.2.
In thefirst movementofOp. 2, No.2,the secondthematicgroup(beginning
measure58) wanders into surprisingtonalities that would nothave beenseen in Mozart,
and thesound ofwhichourtwenty-firstcenturyearssimplycannotunderstandas
revolutionaryin the waythatBeethoven'scontemporaryaudiencewould have.Thechord
changes,beginning in EminorandtonicizingG major,B-flatmajor,D major,andF-
sharp minor,6 aredictated by a rising bassline that is used to increase intensity; the
ascending bass usedin this fashion is an innovationthatbeganwith Beethovenand that
he used extensivelythrough all threeperiods.
7
At the time, it wasthe norm to maintain a
fairly simple harmonicstructure in theexpositionofa sonataform movementand this
progression so nearthe beginningoftheexpositionconfoundedtheexpectationsof
Beethoven'saudience. In thelargerharmonicand formal framework, however,the work
is fairly conventional; it modulatesto the majordominantbytheendoftheexposition,
spendstimein closely related keysduringthedevelopmentsection,andreturns to the
materialoftheexposition withoutany thematicchanges whilemaintainingthe tonic-key
framework.
8
6 Thechord actually progresses to an F-sharpdiminished triad in root position, which is diatonic to the kcy
orE minor, ralherthan resolvingona chromaticallyaltered chord.
7 Exampks include the first movement orOp. HIa (m. 21-28)and the first movt:rnent ofOp. 57(m.109-
123).
8 Itstays in tonic with theexceptionofthe necessary visitationofthe tonic minor(a minor) that parallds
thedominant minorsection in theexposition. This modulation to thedominant minorhefore,orinstead of,
thedominant majoris common in Beethoven'sexpositions. ReferenceOp. 10 No.3,second movement (m.
17-29),Op. 27, No.2,third movement(21-64), andOp. 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
pitches
9
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
middlesection,in A minor(paralleloftheoriginalkey). It initially burstsforth inful1
chords in the left hand played againsthighlychromatic right hand triplets. Thepatterns
formed by thechromaticrighthand are, despitetheshockingcontrastagainsttheelegant
outersections, fairly simple,strictlyorganizedfigurations.
Op. 13 "Grande Sonate Pathetique."
Threeyears afterOp. 2, BeethovenpublishedSonataOp. 13 in C minor. It begins
with an entirelydifferentcharacterthan his previousworks,whichincluded the three
opus2sonatasand six othersonatas.
13
Accordingto DonaldFrancisTovey, thepublisher
bestowedthe titlePatherique, declaringthatthe toneofthe work "utterlyeclipsed,,14 the
keyboardstyleofal1 earliermasters,includingMozart. However,Toveypointsoutthat,
despiteitsexternal grandeur, its actual core ideas are not as profound as thoseof
Mozart'sworksin thesamekey.IS
Thefirst movementbeginswith an introduction, marked Grave, in the tempoofa
Frenchoverture
l6
and muchofits material is expressed in the Frenchstyle's
characteristicdotted rhythms. Theharmonyin this section is somewhat unstable, though
it primarily uses tonic anddominantin C minor. Several measures briefly tonicizethe
mediant(E-flat major), the subtonic(B-flatmajor),and thedominant(G major) by useof
secondarydominants. However,these borroweddominantchordsdo notalways resolve,
instead progressingto the nextchord in stepwise motion and withsharedtones:
13 Theseeighl works includelwothaI were published lalerin his career, Op. 49, Nos. I and 2.
14 Donald FrancisTovcy,A Companion to Beethoven's Pianoforte Sonatas (Complete Analyses) (New
York: AMS Press, 1931)68.
Tovey,68.
16 This is astyle that began in the 1650s with Jean BaptisteLully(J632-1687), thedistinguishing features
ofwhich includea slowtempo, dolled rhythms,and suspensions.
14
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
(J
!!
U-- =
original key. Atthesecondending, instead ofproceedingelsewhere, it simply repeats an
octavelowerto preparefor the restatementofthe introduction:
l
11. "
4
. __:0 G

1":\ r.'\
"
0"

Fig. 3. Op. 13,1: rn. 131-133.
Laterin thedevelopment, thereare passagesthatlackthematicdevelopment,using
arpeggios, brokenoctaves, and tremolos to heighten tensionand drivetoward the next
segmentofthematicdevelopment(e.g., m. 160- 171). Therecapitulation is orthodox,
movingbrieflyto thesubdominant(Fminor)in thesecondgroupbeforereachingthe
hometonic. Unlikethe first movementofOp. 2, No.2,this sonata-form movementhas a
small coda(m. 295-310) thatbeginswith a briefrestatementofthe introduction,adevice
thatRosensuggestswasborrowedfrom Mozart's violaquintet in D major.19
Thesecond movement, a slowrondo in A-flat major, providesacontrastto the
minor-keydramaofthe first movement.Theform is simple,consistingofthe rondo
themethree timeswith twoepisodesand a coda. As is often thecasein thisform, thelast
occurrenceofthe rondo theme is varied, in this instancechangingthesteadysixteenth
accompaniment in the middle voice to sixteenth-notetriplets. Thekeys to which the
movementmodulates includethe relative minor(Fminor) in thefirst episode(m. 16/17-
28)and the parallel minorin thesecondepisode(m. 36/37-50);neitherkey would be
consideredunusual by Beethoven'scontemporaries. Themovementends with an eight-
barcoda(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 movementrondo theme, the phrasing is decidedlyclassical,contrasting
slurs with staccato in the melody.Thefirst episodecontainsaportato-touch chorale
theme(m. 43/44-51). All oftheseconnectthesonatato theearlyperiod.
The Middle Period (1802-1812).
Theworksofthe middleperiodare, in part, a fulfillmentofthe promisessown in
thefirst sonatas. ManyoftheelementsthatBeethovenintroducedin the first periodare
now broughtto agreaterfullness in thesix sonatasof1802-1810. Significantly,
Beethovenwroteatotal oftwentysonatasin the preceding period. It is possible that the
reduced numberofsonatasduringthemiddleperiodis duetoBeethovenfocusingon
othergenres,includingchambermusicand symphonies(six oftheninesymphonieswere
composed in this period). Additionally, thesonatasoftheearly nineteenthcenturyare, in
general, muchlargerthan mostoftheearlyworks. Performancelength is notsignificantly
increased, butin the middleperiod less material is encasedin repeatsigns. Also, the
overall scopegreatly increasedafter 1802, as will bediscussed in analysesofthe works.
Opt 53 HWaldstein."
Thisworkis whatmostanalystsconsiderthefirst sonatain the middleperiod.
Theopening is drasticallydifferentfrom the openingsofprevioussonatas. One
interestingdetail is that the right hand starts lowerthan in anyofthe previous sonatasby
a majorthird,2o beginningonC3 and E3?1 More important,however, is thecourseofthe
first 13 measures. Texturally, it is unlike the light, clean soundoftheopus2 sonatas,
despite the presenceofmanyscalarmotions.Thelefthand is rhythmically locked with
the right hand in steady,quickeighths,giving it a rhythmicdrive neverseen before,even
20 Thesecond lowest slarlingpoint was the openingofOp. 27, No.2,the so-called "Moonlighl"sonata.
21 Reckoning A440as A4.
18
in Beethoven'smoreadventurousearlyworks. This left hand bassdescends
chromatically by half-step,22 movingto the rootpositiondominantseventhchord in
measure9. Thefirst phrase(m. 1-4) is composedofthreemotives,thethird ofwhich is
closelyrelated to thesecond:
(a)
J:I"
1'1'
Fig. 5. Op. 53, I: m. 1-4.
Thesefour barscontain muchofthe material from which the 302-measurcmovement
develops, a feat which Beethovenhad notpreviouslyaccomplished,though this motivic
constructionwasforeshadowed in earlyworks.
23
Thewaysin whichBeethovenmodifies
these motives to transform thecompletetheme,and to createnew themes, showhow
muchhiscompositionskiJJs grew in the few years betweenOp. l3
24
and Op. 53.Thcfull
first statementofthe theme(m. 1- 13) is based almostcompletelyonthe(c) motive. In the
counterstatementofthe theme(beginningm. 14),Beethovenagain imitatestheorchestra
bycreatingan orchestral tremolo usingthesamepitchesasin thefirst phrase; this
tremolois used in laterpassagesas connectivematerial between majordivisions(m. 68).
Thetransitional passagein measures20-30is an extensionofthe(c) motivewhich recurs
in othersectionsthroughoutthe movement. Asin the firstepisodeofthe third movement
ofOp. 13, Op. 53 usesa chorale-style melody in thesecondthemegroup(m. 35-87). In
Op. 13, thechoralemelody(m. 153/ 154-170) is separated from thesurroundingmaterial
22 Roscn points out that this is much smoothervoice leadingthan in previous works. (Rosen, Companion
IRO.)
23 Reference the /irst movement ofOp. 2. No.2(m. 181-203).
24 In Op. 13, the motivietlevelopmcnt wassignificantly more limited, mostlyexistingas acyclicelement.
Reference the second theme ofthe first movement(rn. 51)and the rondo themeofthe final movement(m.
I).
19
(a)
Fig. 5. Op. 53, I: ITI. 1-4.
(c)
.\lIrlfrolroo.rlo J:118 -.,t

11
in Beethoven'smore adventurousearlyworks. This lefthand bassdescends
chromatically byhalf-step,22 moving to the rootpositiondominantseventhchord in
measure9. Thefirst phrase(m. 1-4) is composedofthree motives,thethirdofwhich is
closelyrelated to the second:
Thesefour barscontain muchofthe material from which the302-measuremovement
develops, a feat which Beethoven had not previouslyaccomplished,though this motivic
constructionwas foreshadowed in earlyworks.
23
Theways in which Beethoven modifies
these motives to transform thecompletetheme, and to createnew themes,show how
much his compositionskillsgrew in the few years betweenOp. 13
24
and Op. 53. Thefull
first statementofthe theme(m. 1-13) is basedalmostcompletelyon the(c) motive. In the
counterstatementofthe theme(beginningm. 14),Beethovenagain imitatestheorchestra
bycreatinganorchestral tremolousing thesamepitchesasin thefirst phrase; this
tremolois used in laterpassagesas connectivematerial between majordivisions(m. 68).
Thetransitional passage in measures20-30is an extensionofthe(c) motivewhich recurs
in othersectionsthroughout the movement. As in the first episodeofthe third movement
ofOp. 13, Op. 53 usesachorale-stylemelody in thesecondthemegroup(m. 35-87). In
Op. 13, thechoralemelody(m. 153/154-170) is separated from thesurroundingmaterial
22 Rosen pointsout thaI lhis is muchsmoolhervoice leadingthan in previousworks. (Rosen, Companion
IRO.)
23 Referencethe firsl movementofOp. 2, No.2(m. 181-2m).
2,1 InOp. 13, the motivicdevdopmcnt wassignificantlymorelimited, mosllyexistingasa cyclicclement.
Relerence the second themeofthe first movement(m. 51)and the rondo themeofthe 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 chord
27
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."
SonataOp. 57 in F minorwaswrittenapproximatelya yearafterOp. 53 and
continuesthe previoussonata'smotivicconstruction,intensity, and power. This is the
secondofonlytwo pianosonatasthatend tragically. AsToveysays,"Allhisother
patheticfinales showeitheran epiloguein somelegendaryorlaterworldfarawayfrom
the tragic scene(thequartetsin F minorand A minor)ora temper,fighting, humorous,or
resigned, thatdoes notcarrywithita senseoftragicdoom.,,3oThoughthe middle
movementis peaceful and bright,ToveycaUs it "adream that mustbeshattered.,,31
Thefirst movementis basedon two motives;onemotive(a) is adescendingtriad,
in a long-short-Iongrhythm:
(a) Fig. 6. Or.57, I: m. I
Thesecond is whatiscommonlyreferred to as the "fate"theme(b),32 apattern ofthree
notesofequal rhythmic valuefollowed bya noteoflongervalue:
"fate"
Fig. 7. Op. 57, I: m. 10.
Asin theWaldstein,muchofthesonatais builtfrom thesesimple motives. Thefirst page
ofOp. 57 also visuallycontrastsearlierworks. Thehandsare in rhythmicunison-like
31) Tovey, 177.
11 Tovey, 177.
32 The most well-known use ofthis motive is in Beethoven'sFifthSymphonyin C Minor,completed in
1807.
23
Op. 53-andare twooctaves apartfor the first twomeasures?3Frequently, therearelong
rests at theendsofphrases,a feature notoftenseen in theearlyperiod.
34
Thedynamic
landscape in this sonata is moreexplosive than thatofthe Waldstein, with sudden
changesfrompianissimo tofortissimo and back. Thedetails are also more painstaking
than in earlierworks. Forexample, the first phraseendsonthe downbeatofmeasure4
with aquarternote followed by an eighthrest; the time signatureis 12/8,so it would be
moreexpedientto writea dolledquarternote. Instead,Beethoventook the timeand effort
to indicatethis rhythmateachrecurrence, provinghis interestin creatinga preciseeffect.
Thefirst phrase(m. 1-4)outlinesthe tonic triad (Fminor) usingmotive(a),
descendingand ascending; itleads to acadenceon thedominant.Thisis followed by a
long restand arestatement in the Neapolitan(m. 4/5-8)keyofG-f1atmajor, this time
withacadenceon D-f1at major. Aftera rest, thecadenceis repeatedinC major, with the
rests filled in with the"fate"themerepeatingon D-flatand C. Thecadencerecurs,
leading to adialogue between theD-f1atand C "fate"motivein the lefthand and another
version of"fate" in the righthandthatoutlinesthe leading-tonetriad, markedpoco
ritardando andppp. Thiserupts in aforte descendingarpeggiationoftheleading-tone
triad which movesdeceptivelyto D-flatmajorin first inversion beforethedominantin
first inversion. Aftera fermataon thedominant, thecounterstatementofthe theme
begins,again in F minor. Insteadofgivingthecompletepianissimo theme, Beethoven
writesonlythe first two notesoftheoriginal statementbeforesuddenlyburstinginto
fortissimo, ascendingtreblechordsagainstlow,static basschordson F minor.This
occurson tonic again and twiceon thedominant, with thelastmeasure(m. 23)executing
:13 Thesemeasuresreeurthroughout thefirst movement in different keys .
.14 Though it is not seen as oflen in early Beethoven. rests interruptingthe melodic linearefrequent in the
music ofHaydn.
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 becauseit delays the introductionofa new,completelyunrelatedthemein thecoda,
buildingupthe tension to greatesteffect; he refers to bars 168-211 ofthedevelopmentas
a"crisis"thattheaudiencewould find uncomfortableto listen to twice.
35
Therepeat
givesit somethingofthe natureofa rondo,with a themethatreturns frequently. Thisis
doubtless whyToveyrefers to the new theme in thedevelopment(m. 142-157)asan
episode. Theharmonyofthe final movementis no moreadventurous than thatofthe
first, butwith greateremphasisonsubdominantharmony36 and its Neapolitan(atritene
from Fminor) in thedevelopmentsection.Thenew themeintroducedin thecodais
markedpresto, beginningwith a phrase in tonicandendingwith thesamephrasein the
relative major. Thisphrasetransitions backto the main themewhichcontinues,jorle,
confirnlingthe final, tragicFminortonic.
TheLatePeriod(1812-1827).
Beethovenwroteall ofthelatesonatasafterhe was fully deafandcould nothear
himselfplaythe piano. Itis in this timeofdeafness thatBeethoven'sworksaremost
experimental. However,this maysimplybe acoincidence;Beethovenhad struggled with
deafness beginningin theearly 1800sand had nevershowndifficulty in imaginingthe
soundsofhis owncompositions.Thereareonlyfive latesonatas,37 Opp. 101, 106, 109,
110, and Ill.All exceptOp. 109
38
havea movementthat is eithera fugueorthat
containsa fugate section.
J) Tovey, IR6.
36 Traditionally, the subdominant harmony is morerelaxed in nature.
37 Rosen considersOp. 90 as partofthe late period,giving us six late sonatas(Rosen, Companion208).
Jti IIisarguable whetherthe fifth variation in the final movement ofOp. 109 (01. 113-152)is a fugato. As
with most definitions in musical form,fugato is an uncleardesignation. Regardless, this variation is afour-
voicecontrapuntal 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
fourth
40
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 arpeggiation
42
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 arpeggiation
42
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 upside-
down.
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, usuallyconsistingoftwo repeatedsectionsofthree-phraseseach.
Originally, the minuetwasadance, but in theclassicalerait becamehighlystylized.
aspecificsetof from which a pieceis written. In tonal music.(post-
Renaissanceand pre-20
11
century),there are two commonlyused modes, majorand
minor. Theseare madedistinct by theirpatternsofhalf-stepsandwhole-steps.
Modulate: to shiftfrom onekey to another.
Motive: a minisculemusical idea, usuallyonlya few noteslong.
Mozartean: in thestyleofW.A.Mozart(1756-1791).
Neapolitan:a majortriad builton theloweredsecondscaledegree, usuallyin first
inversion.
Opus:"Work."Thenumerical systemused to catalogueacomposer'sworksin theorder
in which they werepublished. It is notalwaysreflectiveofcompositiondate.
Abbreviated"op."In titles, it iscapitalized.
Piano: softly, marked p onsheetmusic.
Pizzicato: astylefor stringed instruments, wherein the stringsarepluckedinsteadof
bowed.
Poco: a little.
Portato:an articulationshown by slursoverstaccatos, indicatingthatthe notesshould be
detached butnot short.
Relativemajor: themajorkeysharingthe samekeysignatureas a minorkey(e.g. C
majorand A minor).
Retrograde: in fugue, the subjectplayed backward.
Ritardando:graduallyslowing.
Romantic: the period from roughl y 1800-1900.
Rondo: a musical form with a recurringsection,called the rondo theme. Therondo
theme(A)is interrupted bycontrastingsectionscalledepisodes(B,C,D,etc.). And
exampleofrondopattern is as follows: ABACA'BA".Theapostropheindicates"A
prime,"an alterationofthe theme.
Scherzo: literally, "ajoke."Musiccharacterizedby ajovialcharacter.
Sempre: always.
Seventh Chord:achord with four members, with the interval ofaseventh betweenthe
first and fourth chord members.
Slur:acurved line indicatingthatthe notesencompassedshould be played without
breaks in sound.
Sonatarorm: formconsistingofan exposition,development,recapitulation,and
sometimesacoda. An introduction may precedetheexposition.Theexpositionis thefirst
statementofthematicmaterials.These materialsareexplored using variousdevicesin the
development.Therecapitulation servesto reintroduce theexposition material,similarly
to the way it appeared in theexposition, releasing thetensionofthedevelopment.
Staccato: an articulation indicatingthat notesshould be played withdistinct breaks in
sound.
StreUo:one hand orvoice beginsa melodyorfigureand anotherhandorvoice interrupts
with the samematerial beforethe first entryis complete.
Subitopiano: suddenlysoft.
Tonic: thefirst pitchorchord in a key.
Tremolo: rapid repetition ofpitches.
42
Trill: rapid alternation between two neighboringpitches.
Trio: in asonata,the second partofa minuetand trio movement.
Voice: refers to an independent melodiclinein instrumentalmusic.
43
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44