Historical and Theoretical Perspectives of Arnold Schoenberg's Drei Klavierstuecke, Opus 11 PDF

INFORMATION TO USERS
The most advanced technology has been used to photo

graph and reproduce this manuscript from the microfilm
master. UMI films the text directly from the original or
copy submitted. Thus, some thesis and dissertation copies
are in typewriter face, while others may be from any type
of computer printer.
The quality of this reproduction is dependent upon the

quality of the copy submitted. Broken or indistinct print,
colored or poor quality illustrations and photographs,
print bleedthrough, substandard margins, and improper
alignment can adversely affect reproduction.
In the unlikely event that the author did not send UMI a
complete manuscript and there are missing pages, these
will be noted. Also, if unauthorized copyright material
had to be removed, a note will indicate the deletion.
Oversize materials (e.g., maps, drawings, charts) are re

produced by sectioning the original, beginning at the
upper left-hand corner and continuing from left to right in
equal sections with small overlaps. Each original is also
photographed in one exposure and is included in reduced
form at the back of the book. These are also available as
one exposure on a standard 35mm slide or as a 17" x 23"
black and white photographic print for an additional
charge.
Photographs included in the original manuscript have

been reproduced xerographically in this copy. Higher
quality 6" x 9" black and white photographic prints are
available for any photographs or illustrations appearing
in this copy for an additional cha rge. Contact UMI directly
to order.
University Microfilms International

A Bell & Howell Information C om pany
3 0 0 North Z e e b Road, Ann Arbor, Ml 4810 6 -1 3 4 6 USA
3 1 3 /7 6 1 -4 7 0 0 8 0 0 /5 2 1 -0 6 0 0
Reproduced with permission of the copyright owner. Further reproduction prohibited without permission.
Order Num ber 9012788
H istorical and theoretical perspectives o f Arnold Schoenbergs

D rei klavierstiicke, Opus 11
Clinton, M ark Kennerly, D.M.A.

Rice University, 1989
TT.TV/T.T
KJ l V l ' l
300 N. Zeeb RA
Ann Arbor, MI 48106
RICE UNIVERSITY
HISTORICAL AND THEORETICAL PERSPECTIVES
OF
ARNOLD SCHOENBERG'S DREI KLAVIERSTOCKR. OPUS 11
by
MARK K. CLINTON
A THESIS SUBMITTED
IN PARTIAL FULFILLMENT OF THE
REQUIREMENTS FOR THE DEGREE
DOCTOR OF MUSICAL ARTS
APPROVED, THESIS COMMITTEE
Dr. Anne Schnoebelen, Chair

(P rofessor, Music) '
3rTWalter Balil e y , D irector

(Associate BnofessptCSfasic)
Perry
f is t Teacher of. P i fusic)
L - '
Dr. C. Dean Shank, Jr.
(A rtist Teacher o f Piafro, Music)
____
Dr. Marcia C itron
(Associate Professfoz
Dr. J o h n Am bler
(P r o f e s s o r , P o l i t i c a l S cien ce)
Houston, Texas
May, 1989
ABSTRACT
HISTORICAL AND THEORETICAL PERSPECTIVES OF

ARNOLD SCHOENBERG'S DREI KLAVIERSTOCKE. OPUS 11
by
M ark K. C lin to n
The p u rp o s e o f t h i s s t u d y i s t o s y n t h e s i z e v a r i o u s a n a l y t i c a l a p p ro a c h e s
t o S c h o e n b e rg 's D rei K la v ie r s tu c k e . Opus 11, i n t o a c o m p re h e n siv e u n d e r s ta n d in g
o f t h e w ork. As t h e f i r s t co m p le te p u b lis h e d w o rk i n a n a t o n a l idiom , t h i s p ie c e
h a s been t h e f o c u s o f n u m e ro u s d i s p a r a t e a n a l y t i c a l te c h n iq u e s . T h is docum ent
a tte m p ts t o com bine a v a r i e t y o f t r a d i t i o n a l a n a l y t i c a l m eth o d s ( h i s t o r i c a l -
s t y l i s t i c a n d f o r m a l - d e s c r i p t i v e p e r s p e c tiv e s ) w ith n o n - t r a d i t i o n a l a p p ro a c h e s
b a se d o n p i t c h sym bolism , S c h o e n b e rg 's f a s c i n a t i o n w ith n u m e ro lo g y , a n d an
u n d e r l y i n g c o r r e l a t i o n betw een t h e Opus 11 p ie c e s a n d W agner's T r i s t a n P re lu d e .
An e x a m in a tio n o f c o r re s p o n d e n c e betw een S c h o e n b e rg a n d t h e p i a n i s t ,
c o n d u c to r , a n d com poser, F e r r u c i o B u so n i p r o v id e s f u r t h e r i n s i g h t i n t o th e
a e s t h e t i c o f t h e Opus 11 p ie c e s. The f o c u s o f t h e S c h o e n b e rg -B u s o n i l e t t e r s i s
Opus 11, no. 2, w hich B u so n i a r r a n g e d in a c o n c e r t t r a n s c r i p t i o n . W hile b o th
men w ere s e e k in g t h e common g o a l o f a new m eans o f m u s ic a l e x p r e s s io n , B u so n i's
c r it i c i s m s o f t h e c o m p o s itio n a r e p a r t i c u l a r l y i n t e r e s t i n g in l i g h t o f h i s r o o t s
i n n i n e t e e n t h c e n t u r y R om anticism .
A d is c u s s io n o f e d i t o r i a l q u e s tio n s s u r r o u n d i n g t h e D rei K la v ie r s tu c k e .
Opus 11, c o m p le te s t h e s y n t h e s i s o f a n a l y t i c a l a p p ro a c h e s . A c o m p a riso n o f t h e
ii
m a n u s c rip t, tw o H andexem nlare. a n d t h e c o l l e c te d e d i t i o n p r o v id e s i n s i g h t i n t o
q u e s tio n s o f e d i t o r i a l r e s p o n s i b i l i t y a n d p e rfo rm a n c e p r a c t i c e in t h e w ork.
iii
ACKNOWLEDGEMENTS
I w ish t o t h a n k my a d v is o r , Dr. W a lte r B a ile y , f o r h i s g u id a n c e a n d
u n d e r s ta n d in g d u r i n g t h e d ev e lo p m e n t o f t h i s docum ent. W ith o u t h i s a s s is ta n c e ,
t h e r e s e a r c h n e c e s s a r y t o c o m p lete t h i s s t u d y w ould h a v e been v i r t u a l l y
in s u rm o u n ta b le . He made i t p o s s ib le f o r me t o m eet Dr. L e o n a rd S te in , D ire c to r
o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e , a n d t h i s au g m en te d my v i s i t t o t h e A rn o ld
S c h o e n b e rg I n s t i t u t e . I am e s p e c i a l l y in d e b te d t o Dr. S te in f o r h i s w illin g n e s s
t o d is c u s s b o th my r e s e a r c h a n d my p e rfo rm a n c e o f t h e Opus 11 p ia n o p ie c e s. H is
v a l u a b l e i n s i g h t s p ro v id e d much i n s p i r a t i o n f o r t h i s docum ent. Many t h a n k s a r e
a l s o d u e Wayne S h o a f, A r c h i v is t o f t h e S c h o e n b e rg I n s t i t u t e , f o r m ak in g a m y ria d
o f m a t e r i a l s fro m t h e S c h o e n b e rg le g a c y a v a i l a b l e t o me.
W ith o u t th e su p p o rt of n u m ero u s p ro fe sso rs, a d m i n i s tr a t o r s , and
c o l l e a g u e s a t t h e S h e p h e rd S c h o o l o f M usic a t R ice U n iv e r s ity , I w ould n o t h a v e
been a b l e t o co m p lete t h i s p r o j e c t on s c h e d u le . I am t r u l y g r a t e f u l f o r t h e m any
k in d n e s s e s show n t o me d u r i n g my s t u d i e s a t t h e S h e p h e rd S ch o o l.
iv
TABLE OF CONTENTS
A B S T R A C T ........................................................ ii
ACKNOKLEDGEMENTS ................................................ iv
Unpublished Preface to Opus 1 1 ................................. vi
Chapter
1. Introduction
Years of C r i s i s ....................................... 1
The Critical Reception of Opus 1 1 ..................... 3
2. Non-traditional Structural Elements in Opus 11
Tristan and the Dissolution of Tonality .............. 8
Numerology and its Function in Opus 1 1 ................. 9
Schoenberg's Pitch Symbolism ........................... 13
The "Tristan" Complex of Opus 1 1 ....................... 16
3. Analytical Perspectives of Opus 11
No. 1 .................................................. 18
No. 2 .................................................. 29
No. 3 .................................................. 40
4. The Schoenberg-Busoni Relationship
The "Konzertmaflige Interpretation" ..................... 48
The Schoenberg-Busoni Letters ......................... 52
5. Editorial Questions in Opus 11
The Manuscript and Handexemplare ....................... 62
The Samtliche H e r k e ................................... b6
6. Conclusion................................................ 71
HORKS C I T E D ...................................................... 74
U n p u b lish e d P re f a c e t o t h e T h re e P ia n o P ieces. Onus 11
The T h re e P ie ces f o r P ia n o , Op. 11 (1909), w ere n o t my f i r s t s t e p to w a rd a

new s t y l e o f e x p r e s s io n i n m usic. T hey w ere p re c e d e d b y p a r t s o f my S econd
S t r i n g Q u a r te t, a n d b y some o f my F if t e e n S o n g s a f t e r S te f a n G eorge, Op. 15. B ut
t h e y w ere t h e f i r s t p u b l ic a t i o n o f m usic o f t h i s k in d , a n d th e y a c c o r d i n g l y
p ro v o k e d a g r e a t s e n s a tio n .
I m ust c o n f e s s t h a t I was s t a r t l e d a b o u t t h e p u b lic r e a c tio n . To me, t h e

d i f f e r e n c e betw een t h i s m usic a n d th e t h i r d a n d f o u r t h m ovem ents o f my S econd
S t r i n g Q u a r te t d id n o t seem u n s u r p a s s a b le . The l a t t e r , a t i t s f i r s t p e rfo rm a n c e ,
h a d m et w ith g r e a t r e s is t a n c e ; b u t t h e n e x t p e rfo rm a n c e , a few w eeks l a t e r , was
much a p p la u d e d . Why th e n so much ex c ite m e n t?
I was f u r i o u s l y a t ta c k e d i n n e w sp a p e rs a n d i n t h e m u s ic a l p r e s s o f m ost
o f E urope. I t was n o t v e r y p le a s a n t. I w as s u d d e n ly q u i t e i s o l a t e d . Even s u c h
f r i e n d s who, in s p i t e o f my p re c e d in g s c a n d a ls , h a d re m a in e d f r i e n d l y to w a rd me,
ab a n d o n e d me now. I was blam ed a n d s c o r n e d b y t h e b e s t m u s ic ia n s o f t h e tim e,
a n d e v e n a M assenet d id n o t h e s i t a t e t o sp e a k u p a g a i n s t me now.
D e sp a ir m ig h t n o t h a v e d e s tr o y e d me i t seems, on t h e c o n t r a r y t h a t I
was d e s tin e d t o s u r v iv e . I h a d fo u n d m ig h ty s u p p o r t i n t h e f a i t h f u l n e s s o f my
p u p ils : A nton von Webern, A lban B erg, H e in r ic h J a lo w e tz , a n d , l a s t b u t n o t l e a s t ,
E rw in S te in . And I h a d a c q u ire d t h e i n t e r e s t a n d s u p p o r t o f o ne s i n g u l a r l y
g r e a t m u sician : F e r r u c io B usoni. A g r e a t c r e a t o r a n d f i g h t e r f o r in n o v a tio n s ,
h e h a d ta k e n my s id e i n a h i g h l y c o u r a g e o u s a n d g e n e r o u s m anner. I w i l l n e v e r
f o r g e t th a t.
B u t t h e r e a f t e r came E d u a rd S te u e rm a n n , who s in c e t h e n h a s re m a in e d my
a m b assa d o r a t t h e p ia n o .
A rn o ld S c h o e n b e rg
J u l y 27, 1949
(A rch iv es o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e
U n i v e r s it y o f S o u th e r n C a l i f o r n i a , Los A ngeles)
vi
CHAPTER 1
INTRODUCTION
Years or Crisis
By 1909, A rn o ld S c h o e n b e rg h a d re a c h e d t h e p i v o t a l p o i n t o f h i s lo n g
c o m p o s itio n a l l i f e . He was a b o u t t o em b ark o n a m ost r e v o l u t i o n a r y an d
d e v e lo p m e n ta l p e r io d t h a t w o u ld e v e n t u a l l y le a d him t o t h e r e a l i z a t i o n o f t h e
tw e lv e - to n e sy stem . The c o m p o s itio n a l b r e a k t h r o u g h s o f t h i s p e r io d w ere f u e le d
t o a g r e a t e x t e n t b y S c h o e n b e rg 's p e r s o n a l c r i s i s a t t h e tim e: n am ely , m a r i t a l
s t r i f e t h a t le d t o h i s w ife 's in v o lv e m e n t w ith t h e y o u n g p a i n t e r R ic h a rd G e r s t l
d u r i n g 1906-190S . G e r s t l l i v e d w ith t h e S c h o e n b e rg f a m i ly d u r i n g t h e sum m ers
<3f 1907 a n d 1908. U nder h i s g u id a n c e , S c h o e n b e rg became s e r i o u s l y i n t e r e s t e d
in p a i n t i n g . A lth o u g h d e t a i l s o f t h e a f f a i r a r e o b s c u re , M a th ild e S c h o e n b e rg
l e f t h e r h u s b a n d f o r t h e p a i n t e r G e r s t l som etim e d u r i n g t h e summer o f 1908.
Upon a p p e a ls fro m s e v e r a l f r i e n d s (among them , S c h o e n b e rg 's s t u d e n t Webern), s h e
e v e n t u a l l y r e t u r n e d t o h e r f a m ily t h a t f a l l . Soon t h e r e a f t e r , G e r s t l com m itted
s u ic id e .
In a tre m e n d o u s b u r s t o f c o m p o s itio n a l a c t i v i t y fro m S eptem ber 1908 u n t i l
A u g u st 1909, S c h o e n b e rg com posed t h e f i f t e e n s o n g s fro m S te f a n G e o rg e 's Das
Buch d e r h a n g e n d e n G a rte n . Opus 15, t h e F u n f O r c h e s te r s tu c k e . Opus 16, t h e D re i
K la v ie r s tu c k e . Opus 11, a n d t h e m onodram a E rw a rtu n g . Opus 17. On 14 J a n u a r y
1910, t h e S o c ie ty f o r A rt a n d C u l tu r e p r e s e n te d a n e v e n in g o f S c h o e n b e rg 's m usic
w hich in c lu d e d t h e w o rld p re m ie re s o f t h e Opus 11 p ia n o p ie c e s a n d t h e G eo rg e
2
S o n g s Op. 15, a s w e ll a s t h e f i r s t p a r t o f t h e O u r r e lie d e r . a r r a n g e d f o r p ia n o s ix
h a n d s b y W ebern.1 S c h o e n b e rg 's p ro g ra m n o te s f o r t h i s c o n c e r t p ro v id e a n
i n s i g h t i n t o t h e i n n e r s t r u g g l e t h a t h a d c r e a te d h i s new m an n er o f m u s ic a l
e x p re s s io n :
I h a v e f o r t h e f i r s t tim e su cc eed e d i n a p p r o a c h in g a n i d e a l o f
e x p r e s s io n a n d fo rm w hich h a s been in my m ind f o r y e a r s . U n til
now, I la c k e d t h e s t r e n g t h a n d c o n f id e n c e t o m ake i t a r e a l i t y . B ut
now t h a t I h a v e s e t o u t a l o n g t h i s p a th o n ce a n d f o r a l l , I am
c o n s c io u s o f h a v in g b ro k e n t h r o u g h e v e r y r e s t r i c t i o n o f a b y g o n e
a e s th e t ic ; a n d th o u g h t h e g o a l to w a rd s w hich I am s t r i v i n g a p p e a rs
t o me a c e r t a i n o ne, I am, n o n e th e le s s , a l r e a d y f e e l i n g th e
r e s i s t a n c e I s h a l l h a v e t o o v erco m e.2
In a d d it i o n t o p r e c i p i t a t i n g a n e x p lo s io n o f c o m p o s itio n a l a c t i v i t y ,
S c h o e n b e rg 's m a r i t a l c r i s i s i n t e n s i f i e d h i s p u r s u i t o f p a i n t i n g . 3 Between 1908
a n d 1910, S c h o e n b e rg p ro d u c e d a p p r o x im a te ly s i x t y d ra w in g s a n d p a in tin g s .
D u rin g t h i s p e r io d , t h e com poser became a s s o c ia te d w ith t h e R u s s ia n p a i n t e r
V a s ily K a n d in s k i a n d t h e s o - c a l l e d " B lu e R id er" a r t i s t s . The a e s t h e t i c em braced
by th is g ro u p o f E x p r e s s io n is ts h e ld th a t a r t s h o u ld r e f l e c t th e in n e r
c o n s c io u s n e s s o f i t s c r e a t o r . R a th e r t h a n p ro d u c e a n a c c u r a te d e p ic tio n o f a
p a r t i c u l a r 3cene, t h e a r t i s t s h o u ld e x p re s s h i s e le m e n ta l p e r s o n a l f e e l i n g s
to w a rd i t . A m a jo r f e a t u r e o f t h e e x p r e s s i o n is t s t y l e was a r e s t r u c t u r i n g o f
e x t e r n a l r e a l i t y t h r o u g h e x a g g e r a ti o n a n d d i s t o r t i o n , t h u s h e i g h t e n i n g t h e
The p i a n i s t f o r t h e Opus 11 p ie c e s w as E t t a W e rn d o rff a c c o r d in g t o J o s e f R u fe r,

The Works o f A rn o ld S ch o e n b e rg :__ A C a ta lo g u e o f h i s C o m p o sitio n s. W ritin g s a n d
P a i n t in g s , t r a n s . D ika N ew lin (London: F a b e r a n d F a b e r, L td., 1962), 200.
*W illi R eich, S c h o e n b e rg : A C r i t i c a l B io g ra p h y , t r a n s . Leo B la c k (New York: P r a e g e r

P u b lis h e r s , 1971), 49.
3J o a n P e y e r, The New Music: T he S en se B ehind t h e S ound (New York: D e la c o rte P re s s ,

1971), 2 6 -2 7 .
e m o tio n a l s i g n i f i c a n c e o f i t s s u b je c t. S c h o e n b e rg 's a t o n a l c o m p o sitio n s, w ith
t h e i r F re e t r e a tm e n t o f d is s o n a n c e , a n g u l a r m elodic l i n e s , h i g h l y c o n t r a s te d
d y n am ics, and in te n s e o rc h e s tra tio n , ca n be c o n s id e r e d a n a lo g o u s to
E x p r e s s io n is t p a i n t i n g o f t h e p e rio d . In m any o f h i s a t o n a l w o rk s, S ch o en b e rg
i n c o r p o r a t e d t e x t s w hich r e f e r t o h i s p e r s o n a l dilem m a, t h u s e n t e r i n g i n t o t h e
p u b l i c s e l f - e x a m i n a t i o n o f t e n a s s o c ia te d w ith t h e E x p r e s s io n is t a e s th e t ic . W hile
p u r e l y i n s t r u m e n t a l w o rk s o f t h e p e r io d c o n ta in n o o b v io u s p ro g ram , t h e i r
c o m p o s itio n a l idiom p a r a l l e l s t h e o v e r t l y p ro g ra m m a tic w orks. C o m p o sitio n s
w ith o u t a p ro g ra m (su ch a s t h e F iin f O r c h e s te rs tiic k e . Opus 16 a n d t h e D rei
K la v ie r s tu c k e . Opus 11), how ever, m u st n o t be c o n s id e r e d a b s t r a c t m usic. R a th e r,
t h e y a l s o r e f l e c t t h e i n n e r c o n s c io u s n e s s o f t h e com poser. W ith o u t t h i s
p e r s p e c tiv e , a c o m p lete u n d e r s ta n d in g o f th e s e w o rk s e lu d e s a n a l y s i s an d t h e
e x p r e s s iv e c o n t e n t o f t h e m usic re m a in s h id d e n .
The C r i t i c a l R e c e p tio n o f Onus 11
A re v ie w o f t h e f i r s t p e rfo rm a n c e o f t h e p ia n o p ie c e s, Opus 11, by t h e
V ien n ese c r i t i c R ic h a rd B a tk a a p p e a re d i n an a r t i c l e p u b lis h e d in t h e F rem den-
B l a t t im m e d ia te ly a f t e r t h e c o n c e rt:
T h ere a r e i n f a c t m u s ic ia n s who r e g a r d S c h o e n b e rg 's m usic a s a

f r a u d , in te n d e d t o t a k e in t h e sn o b s, a n d a n y o n e who h a s now h e a rd
h i s t h r e e p ia n o p ie c e s f e e l s tem p ted t o a g r e e c o r d i a l l y w ith su c h
a n a s su m p tio n . One r e a l l y h a d t h e im p re s s io n t h a t a n y o n e
s i g h t r e a d i n g a d i f f i c u l t p ia n o p ie c e in a b a d ly l i t room can
p r o v id e h i s l i s t e n e r s , im prom ptu, w ith d e l i g h t s s i m il a r t o th o s e
h e r e p r e s e n te d a s t h e f r u i t s o f a d ev e lo p m e n t l a s t i n g y e a r s . . . .
Were I t o name t h e mood w hich, a c c o r d in g t o t h e o ld a e s th e t ic s ,
m ig h t c o n c e iv a b ly p ro d u c e m usic s u c h a s t h a t i n S c h o e n b e rg 's p ia n o
u
p ie c e s, i t w ould b e so m e th in g i n t h e n a tu re of p h y s ic a l
in d i s p o s i t i o n , t r a n s c r i b e d f o r p ia n o . . . 4
As th e Opus 11 p ie c e s b e g a n t o r e c e iv e p e rfo rm a n c e s t h r o u g h o u t E urope, t h e
f u r o r o v e r t h e i r i n n o v a t i v e s t y l e d id n o t d im in ish . A f te r t h e p re m ie re o f t h e
w ork i n B e rlin , a c r i t i c i n s i n u a t e d t h a t t h e p ie c e s w ere m e re ly t h e r e s u l t o f
s y s te m a tic m ista k e s:
A rn o ld S c h o e n b e rg i s t h e m ost r a d i c a l V ienna m o d e rn is t o f to d a y .
The T h re e P ia n o P ie ces, op. 11, r e p r e s e n t a m e th o d ic a l n e g a tio n o f
a l l h e r e t o f o r e a c c e p te d m u s ic a l r u l e s , n e g a tio n o f s y n ta x , o f
c o n c e p tio n o f t o n a l i t y , o f a l l v a l i d t o n a l sy stem s. One p e r c e iv e s
a s u c c e s s io n o f t o n e s a n d s o u n d s w hich c a n n o t be g ra s p e d i n t h e i r
c o n t i n u i t y b e c a u se th e y do n o t b e lo n g to g e t h e r . S c h o e n b e rg k i l l s
t o n a l p e r c e p tio n ; h i s s o u n d s a r e n o l o n g e r d e r iv e d fro m o n e
a n o th e r . . . . H is m u s ic a l p r o g r e s s i o n s r e p r e s e n t a n a n a r c h i s t i c
w a n d e rin g i n c o lo r s . One o f th e s e p ie c e s a c t u a l l y en d s w ith th e
c o m b in a tio n E - f l a t , A, D, a n d G -sh a rp ! The t o n a l ro w s in
S c h o e n b e rg 's l a t e s t w o rk s im p re ss u s a s m ute, numb, em pty,
e x p r e s s io n le s s . T hey a r e t h e r e s u l t o f e r r o r fo llo w e d th r o u g h
w ith in g e n io u s c o n siste n c y .
Even Hugo L e i c h t e n t r i t t , who s ix te e n y e a r s l a t e r w ould in c lu d e a d e t a i l e d
a n a l y s i s o f Opus 11 i n h i s t h e o r y te x tb o o k ,6 p r o f e s s e d a c o m p le te la c k o f
u n d e r s ta n d in g upon h i s f i r s t h e a r i n g o f t h e work:
The c o n c e r t was p a r t i c u l a r l y i n t e r e s t i n g b e c a u s e o f t h e T h re e P ia n o
P ie ces, op. 11, b y A rn o ld S c h o e n b e rg . I se e in them a co m p lete d i s s o l u t i o n
o f a l l t h a t was h e r e t o f o r e r e g a r d e d a s m u s ic a l a r t . I t i s p o s s ib le t h a t
t h e m usic o f t h e f u t u r e w i l l be l i k e t h a t , b u t I h a v e n o u n d e r s ta n d in g o f
i t s b e a u ty . W hether t h e p i a n i s t p la y e d t h e p ie c e s w e ll o r b a d ly , I c a n n o t
4W illi R eich, S ch o en b e rg : A C r i t i c a l B io g ra p h y , t r a n s . Leo B la c k (New York: P r a e g e r

P u b lis h e r s , 1971), 49.
5Review o f D rei K la v ie r s tu c k e . Opus 11, b y A rn o ld S c h o e n b e rg , S ig n a le (B e rlin ), 9

F e b ru a ry , 1Q10; q u o te d i n N ic o la s S lo n im sk y , L exicon o f M u sical I n v e c tiv e ( S e a ttle :
U n i v e r s it y o f W a sh in g to n P re s s , 1965), 149.
6Hugo L e i c h t e n t r i t t , M u sical Form (C am bridge: H a rv a rd U n i v e r s it y P re s s , 1951).
5
ju d g e , b e c a u se i n t h i s m usic t h e l i s t e n e r c a n n o t d i s t i n g u i s h betw een r i g h t

a n d w ro n g .7
Two y e a r s l a t e r , a f t e r S c h o e n b e rg h a d moved t o B e r lin , t h e r e s i s t a n c e o f t h e
l i s t e n i n g p u b l i c was s t i l l c o n s p ic u o u s ly e n tre n c h e d , m ost n o t a b l y i n a n "open
l e t t e r " w r i t t e n t o S c h o e n b e rg b y t h e B e r lin c r i t i c H a lte r Dahms:
L a s t w in te r some p i a n i s t w hose name e n t i r e l y e s c a p e s me p la y e d y o u r

t h r e e p ia n o p ie c e s , Op. 11, a t t h e S in g a k ad em ie. He w as la u g h e d o u t
o f c o u r t a s ig n t h a t p e o p le saw t h e h u m o ro u s s id e o f y o u r
a tte m p ts t o b r i n g down t h e f i n a l c u r t a i n o n m usic. . . . P e o p le f o r
whom m usic i s a l o f t y a n d s e r i o u s t h i n g g o t t h e b e l l y - a c h e an d
f l e d . . . . The B e r lin p u b lic 's s e l f - r e s t r a i n t was t h e o n l y r e a s o n why
t h e p e rfo rm a n c e o f y o u r r u b b is h was a llo w e d t o c o n tin u e , w ith n o
a u d ib le a n d t a n g i b l e h o s t i l e d e m o n s tra tio n a t t h e e n d .8
A lth o u g h t h e im m ediate c r i t i c a l p e r c e p tio n o f t h e Opus 11 p ie c e s was
o v e rw h e lm in g ly n e g a tiv e , o n e n o t a b l e m u s ic a l lu m in a r y re c o g n iz e d t h e i n h e r e n t
g r e a t n e s s o f t h e co m p o sitio n . F e r r u c io B u so n i p ia n o v i r t u o s o , com poser,
te a c h e r a n d w r i t e r a n d S c h o e n b e rg e n te r e d i n t o a l e n g t h y c o rre s p o n d e n c e
c o n c e rn in g t h e c o m p o s itio n a l s t y l e o f Opus 11. B u so n i was s o f a s c i n a t e d w ith
Opus 11, no. 2 t h a t h e p r e p a re d a c o n c e r t v e r s io n o f t h e p ie c e , in o r d e r t o make
t h e o r i g i n a l m ore id io m a tic f o r t h e p ia n o . At t h e sam e tim e t h a t S c h o e n b e rg was
b e g in n in g t o e x p l o i t a t o n a l i t y , B u so n i h im s e lf was s e a r c h i n g f o r new m eans o f
m u s ic a l e x p r e s s io n , a s e v id e n c e d b y h i s O u tlin e o f a new A e s th e tic o f Music.
The o p in io n s o f t h e s e tw o g r e a t m u s ic ia n s o f t e n c o n t r a s te d , b u t t h e y d e v e lo p e d
m u tu a l r e s p e c t a n d a d m ir a tio n t h r o u g h t h e i r d is c u s s io n o f d i f f e r e n c e s . The
7Hugo L e i c h t e n t r i t t , re v ie w o f t h e D rei K la v ie r s tiic k e . Opus 11, b y A rn o ld

S c h o e n b e rg , S ig n a l e (B e rlin ). 11 J a n u a r y 1911; q u o te d i n S lo n im sk y , 150.
sW alter Dahms, K le in e J o u r n a l (26 F e b r u a r y 1912), q u o te d in H i l l i R eich, S ch o en b e rg :

A C r i t i c a l B io g ra p h y (New York: P r a e g e r P u b lis h e r s , 1971), 6 2 -6 3 .
6
S c h o e n b e rg -B u s o n i r e l a t i o n s h i p p r o v id e s an in te re s tin g in s ig h t in to th e
h i s t o r i c a l a n d a e s t h e t i c i m p li c a t io n s o f t h e Opus 11 p ie c e s (see C h a p te r 4).
In m any c a se s, tim e h a s a way o f c h a n g in g p u b li c p e r c e p tio n o f a m u s ic a l
c o m p o sitio n . The r a d i c a l m usic o f t h e p a s t o f t e n becom es com m onplace b y
c o n te m p o r a ry s t a n d a r d s . T h is w as n o t t o be t h e c a s e w ith S c h o e n b e rg s D rei
K la v ie r s tiic k e . Opus 11. F o u r d e c a d e s a f t e r t h e i r c o m p o s itio n , p u b lic o p in io n
re m a in e d n e g a tiv e :
The T h re e P ie ces, op. 11, a r e now m ore t h a n f o r t y y e a r s o ld ; t h e y a r e

r a r e l y p e rfo rm e d , w hich i s n o t s u r p r i s i n g , s in c e n o p i a n i s t o f t h e
f i r s t r a n k w ould b o th e r t o l e a r n , o r d e s i r e t o i n f l i c t on h i s
a u d ie n c e , s u c h u n r e l i e v e d l y u g l y a n d u n r e w a r d in g a b s t r a c t i o n s .
S c h o e n b e rg s t a t e s : " I w r i t e w h a t I f e e l i n my h e a r t ." I f t h i s i s
r e a l l y so , we c a n o n l y assum e t h a t fro m 1908 o r so , S c h o e n b e rg h a s
been s u f f e r i n g fro m some u n c l a s s i f i a b l e a n d p e c u l i a r l y v i r u l e n t
fo rm o f c a r d i a c d is e a s e .9
In r e c e n t y e a r s , t h e Opus 11 p ie c e s h a v e b een s u b je c te d t o a g r e a t d e a l o f
a n a ly tic a l s c r u tin y . F o r t h i s re a s o n , t h e y h a v e b e g u n t o r e c e iv e t h e r e s p e c t
t h a t t h e y d e s e r v e a s m ile s to n e s i n W estern m usic. B ut, i n s p i t e o f a w ide v a r i e t y
o f a n a l y t i c a l te c h n iq u e s u se d t o i l l u m i n a t e them , t h e t h r e e p ie c e s re m a in a
m y s te ry t o m ost p e r f o r m e r s a n d a u d ie n c e s . P r o o f o f t h i s c a n be f o u n d i n t h e i r
c o n tin u e d a b s e n c e fro m t h e p e r f o r m in g r e p e r t o i r e o f c o n te m p o ra ry c o n c e r t
p i a n i s t s . Few p e r f o r m e r s a r e w i l l i n g t o r i s k o f f e n d i n g t h e i r a u d ie n c e w ith su c h
a c r itic a lly m a lig n e d w ork. A n a ly s e s w hich n a rro w ly fo c u s on lim ite d
a n a l y t i c a l p r i n c i p l e s do l i t t l e t o fo rm a c o m p re h e n siv e im p re s s io n o f t h e p iece.
T he c o m p le x itie s o f t h e D rei K la v ie r s tu c k e . Opus 11 r e q u i r e a co m p re h e n siv e
s t r a t e g y t h a t i n c l u d e s h i s t o r i c a l , t h e o r e t i c a l , p e r s o n a l, a n d n o n - t r a d i t i o n a l
R e v ie w o f t h e D re i K la v ie r s tu c k e . Opus 11, b y A rn o ld S c h o e n b e rg , M u sical O p in io n

(London), December 1949; q u o te d i n S lo n im sk y , 164.
7
a n a l y t i c a l e le m e n ts . O n ly th e n w i l l a co m p lete u n d e r s ta n d in g o f t h i s m om entous
w ork be p o s s ib le .
C h a p te r 2
NON-TRADITIONAL STRUCTURAL ELEMENTS IN OPUS 11
T r i s t a n a n d t h e D is s o lu tio n oF T o n a l i t y
Two r e c e n t s t u d i e s o f S c h o e n b e rg 's D rei K la v ie r s tu c k e . Opus 11, h a v e
e x p lo re d n o n -tra d itio n a l s tru c tu ra l e le m e n ts such as n u m e ro lo g y , p itc h
sym bolism , a n d an o r g a n i s a t i o n a l s c a f f o l d i n g re la te d to W agner's T r i s t a n
P r e lu d e .1 The c o r re s p o n d e n c e betw een th e p ia n o p ie c e s and T ris ta n is
p a r t i c u l a r l y i n t r i g u i n g , g iv e n t h e f a c t t h a t b o th w o rk s a r e c o n s id e r e d c l a s s i c
w a te rs h e d s i n th e e v o l u t i o n o f t o n a l i t y . T r i s t a n r e p r e s e n t s t h e p o in t in t h e
h i s t o r y o f t o n a l i t y "w h ere t h e e x p r e s s iv e e le m e n t becomes so d o m in a n t t h a t
h arm o n y n o l o n g e r s u p p o r t s t h e fo rm ." 2 In s h o r t , T r i s t a n sy m b o liz e s t h e
b e g in n in g o f t h e d i s s o l u t i o n o f t o n a l i t y . A web o f i n t e r r e l a t e d m o tiv e s becomes
t h e m ost im p o r ta n t f a c t o r i n d e te r m in in g s t r u c t u r e . The a m b ig u o u s h a rm o n ic
n a t u r e o f t h e T r i s t a n c h o r d a llo w s i t t o a p p e a r t h r o u g h o u t t h e p r e lu d e a t i t s
o r i g i n a l p itc h le v e l , w h ile r e s o l v i n g t o a v a r i e t y o f d i f f e r e n t s o n o r i t i e s . Twice
d u r i n g t h e c o u r s e o f t h e o p e r a ( a t t h e end o f t h e p r e lu d e a n d t h e b e g in n in g o f
t h e L ie b e sn a c h t). t h e T r i s t a n c h o r d em erg es h o r i z o n t a l l y a s a m elodic l i n e .
See Thom as C h ris te n s e n , " S c h o e n b e rg 's Opus 11, No. 1: A P a ro d y o f P itc h C e lls fro m
T r i s t a n ." J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 10. no. 1 (Ju n e 1987): 38-4 4 ; an d
J o h n Jo se p h R e ib le II I, " T r i s ta n R om anticism a n d t h e E x p re ssio n ism o f t h e 'T h ree P ia n o
P ie c e s' Opus 11 o f A rn o ld S c h o e n b e rg " (Ph.D. d is s ., W ash in g to n U n i v e r s it y , 1980).
P h i l i p F ried h eim , " T o n a lity a n d S t r u c t u r e i n t h e E a r ly W orks o f S ch o e n b e rg " (Ph.D.

d is s ., New Y ork U n iv e r s ity , 1963), 39.
C o n se q u e n tly , m u s ic a l o r g a n i s a t i o n b e g in s t o r e v o lv e a r o u n d a c h a r a c t e r i s t i c
s o n o r i t y t h a t s e r v e s a s t h e u n i f y i n g elem en t. W hile t h e f u n c t i o n a l n a t u r e o f
t o n a l i t y i s g r e a t l y d im in is h e d i n T r i s t a n , how ever, t h e b a s ic t r i a d i c n a t u r e o f
i t s h a rm o n ic s y n t a x re m a in s i n t a c t .
S c h o e n b e rg 's Opus 11 p ia n o p ie c e s, o n t h e o t h e r h a n d , s e r v e a s th e
g e n e r a l l y a c c e p te d d i v i d in g l i n e betw een t o n a l m usic a n d a t o n a l i t y . S c h o e n b e rg
was u n q u e s tio n a b ly a w a re o f t h e h i s t o r i c a l an d m u s ic a l im p o rta n c e o f T r i s t a n
a n d t h e T r i s t a n c h o rd , a s h i s w r i t i n g s on m usic c o n t a i n m any r e f e r e n c e s t o th em .3
I t i s a p p r o p r ia te , th e n , t h a t c o r r e l a t i o n s s h o u ld e x i s t betw een S c h o e n b e rg 's Opus
11 an d th e P r e lu d e fro m T r i s t a n , b e c a u se i n t h e p ia n o p ie c e s S c h o e n b e rg t a k e s
t h e f i n a l , l o g i c a l s t e p to w a rd t h e d i s s o l u t i o n o f t o n a l i t y : t h e e m a n c ip a tio n o f
d is s o n a n c e , w here t h e b a s ic m u s ic a l s y n ta x i s no l o n g e r t i e d t o t r a d i t i o n a l
tr ia d ic to n a lity .
N um erology a n d i t s F u n c tio n i n O p u s 11
U n til r e c e n t l y , n u m e ro lo g y a s an im p o r ta n t e le m e n t i n t h e m usic o f
S ch o e n b e rg h a d been l a r g e l y ig n o re d . N um erology i s a p s e u d o -s c ie n c e t h a t can
be d e f in e d a s " a n o c c u l t num ber m y stic ism . . . [ th a t] p la c e s g r e a t s i g n i f i c a n c e
in th e a s s o c ia ti o n s in e v ita b ly g a th e rin g aro u n d n u m b e rs." 4 To th e
u n e n lig h te n e d , n u m e ro lo g y re m a in s at b est a m y s te ry , a t w o rs t ig n o re d .
T h e re fo re , i t m ig h t be i n f e r r e d t h a t n u m e ro lo g y i s a p r a c t i c e a t t r a c t i v e t o
s e c r e t i v e p e rs o n s. S c h o e n b e rg 's s e c r e t i v e n a t u r e was a b u n d a n tl y a p p a r e n t i n h i s
r e ti c e n c e t o s h a r e h i s p e r s o n a l i n s i g h t s i n t o t h e t w e lv e - to n e te c h n iq u e w ith a n y
3N um erous r e f e r e n c e s c a n be c i t e d i n L eo n a rd S te in , ed., S ty l e a n d Id e a , t r a n s . Leo

B lack (Los A ngeles: U n iv e r s ity o f C a l i f o r n i a P re s s , 1975).
4R e ib le , 75.
10
p e rso n s o th e r th a n h is c lo s e s t s tu d e n ts . The m ere e x is te n c e o f t h e tw e lv e - to n e
m ethod e s t a b l i s h e s a s t r o n g c o n n e c tio n b etw een n u m b ers a n d m usic i n t h e p s y c h e
o f S c h o e n b e rg . A r e c e n t t r e a t i s e b y C o lin S t e r n e 3 p r o v id e s a n a b u n d a n c e o f
f u r t h e r e v id e n c e ( in c lu d in g d e t a i l e d n u m e r o lo g ic a l a n a ly s e s o f s e v e r a l o f
S c h o e n b e rg 's w o rk s) t h a t S c h o e n b e rg was im m ersed i n th e w o rld o f n u m e ro lo g y .
S in c e n u m e r o lo g is ts c o n s id e r n u m b e rs a s s o c ia te d w ith a p e r s o n s name a n d
b i r t h d a y t o be o f p r im a ry im p o rta n c e , i t i s n o t s u r p r i s i n g t h a t t h e nam es o f
S c h o e n b e rg s c h i l d r e n b y h i s se c o n d m a r r ia g e e x h i b i t c a r e f u l l y c h o se n p o s i t iv e
n u m e r o lo g ic a l a t t r i b u t e s . 4 I t i s w e ll-d o c u m e n te d t h a t S c h o e n b e rg c o n s id e r e d t h e
nu m b er t h i r t e e n h i s num ber o f f a t e , d u e t o t h e f a c t t h a t h e was b o rn on
S ep tem b er 13, 1874. T h e re is even s p e c u la t io n th a t S c h o e n b e rg 's
tr i s k a i d e k a p h o b i a was i n some s t r a n g e way r e l a t e d t o h i s d e a th . He d ie d o n J u l y
13, 1951 a t t h e a g e o f 76 (th e sum o f t h e tw o d i g i t s e q u a ls 13) a t a p p r o x im a te ly
t h i r t e e n m in u te s b e f o r e m id n ig h t.7
E v id e n c e o f n u m e ro lo g y i s w id e sp re a d t h r o u g h o u t S c h o e n b e rg 's w o rk s,
e s p e c i a l l y t h e p ia n o c o m p o sitio n s. R u f e r 's c h r o n o lo g i c a l s t u d y o f t h e w o rk s o f
S c h o e n b e rg i n d i c a t e s t h a t 0pp. 12, 13, a n d 14 w ere f i n i s h e d m ore t h a n a y e a r
b e f o r e t h e f i r s t p ie c e o f Opus 11. Why d id S c h o e n b e rg r e s e r v e t h e num ber 11 f o r
h i s s e t o f t h r e e p ia n o p ie c e s? A c c o rd in g t o t h e la w s o f n u m e ro lo g y , 11 i s a
^ o l i n C. S te r n e , " A rn o ld S c h o e n b e rg a n d t h e H arm ony o f Number" ( P i t ts b u r g h , 1988),

Typed M a n u s c rip t (p h o to co p y ).
S te r n e , 1 8 -3 3 .
7S te r n e , 3.
aJ o s e f R u fe r , T he Works o f A rn o ld S c h o e n b e rg : A C a ta lo g u e o f h i s C o m p o sitio n s.
W ritin g s , a n d P a i n t i n g s , t r a n s . D ika N ew lin (London: F a b e r a n d F a b e r, L td ., 1962), 200.
11
" m a s te r num ber w hich a l l t h o s e who p r a c t i c e n u m e ro lo g y a p p ro a c h w ith aw e."9
W hile i n d i v i d u a l m ovem ents o f e a r l i e r w o rk s c a n be view ed a s a t o n a l , t h e Opus
11 p ie c e s a r e t h e f i r s t co m p le te w o rk in a n a t o n a l id io m a l o f t y s t a t u s
d e s e r v in g a s i n g u l a r l y p u i s s a n t num ber. The i n i t i a l c h o ic e o f o p u s num ber f o r
h i s f i r s t m a tu re p ia n o w o rk e x e r c is e s f u r t h e r a u t h o r i t y o v e r t h e re m a in d e r o f
S c h o e n b e rg 's s o l o p ia n o c o m p o sitio n s. W hile S c h o e n b e rg 's f i r s t w o rk s f o r s o lo
p ia n o are th e Opus 11 p ie c e s , h is fin a l w o rk s f o r s o lo p ia n o are th e
K la v ie r s tu c k e . Opus 33 (3 x T h u s t h e co m p lete w o rk s f o r p ia n o a r e bou n d ed
b y t h e n u m b ers 11 a n d 33, w ith t h e sum t o t a l o f t h e i r o p u s n u m b ers e q u a lin g
1 1 1 .10 Does t h i s e x p la in t h e r e a s o n b e h in d t h e l e t t e r s a d o p te d i n h i s Opus 33
(opp. 3 3 a an d 33b) r a t h e r t h a n c r e a t i n g a s e p a r a t e o p u s 34 t h a t w ould d e s t r o y t h e
t o t a l ? We know fro m s t u d e n t s o f S c h o e n b e rg t h a t h e u sed t h e B eeth o v e n S o n a ta s
a s h i s t h e o r y te x t b o o k .11 C o u ld t h i s c a r e f u l l y d e te rm in e d t o t a l p a y hom age t o
t h e l a s t s o l o p ia n o w ork w r i t t e n b y B eeth o v en , h i s m o n u m en tal l a s t S o n a ta i n C,
Opus 111? Or i s t h i s num ber a t r i b u t e t o W agner's T r i s t a n P re lu d e , w hich h a p p e n s
t o be e x a c t l y 111 m e a su re s lo n g ? An e a s i l y o b s e rv e d n u m e r o lo g ic a l phenom enon
s e e n in S c h o e n b e rg 's w o rk s i s t h e d i r e c t c o r r e l a t i o n betw een t h e o p u s nu m b ers
o f h i s e a r l y 1 2 - to n e c o m p o s itio n s a n d t h e y e a r s i n w hich t h e y a p p e a re d (Op. 23
i n 1923, Op. 24 i n 1924, a n d Op. 25 i n 1925). S im ila r ly , S c h o e n b e rg o f t e n r e l a t e d
t h e o p u s num ber o f a w o rk t o t h e num ber o f p ie c e s i t c o n ta in e d . The m ost
o b v io u s ex am p les a r e Das Buch d e r h a n g e n d e n G a rte n . Opus 15 ( c o n s is t i n g o f
f i f t e e n s o n g s) a n d P i e r r o t L u n a ire . Opus 21 (com prised o f tw e n ty - o n e pieces).
9S te r n e , x ii.
10R e ib le , 82.
P a t r i c i a C a rp e n te r, "T he P ia n o M usic o f A rn o ld S c h o e n b e rg ," P ia n o Q u a r t e r l y 41

(1962): 27.
12
E v id en c e o f m ore s u b t l e n u m e r o lo g ic a l m a n ip u la tio n can be see n i n t h e p ia n o
w orks. S c h o e n b e rg 's Opus 23 c o n t a i n s f i v e p ie c e s (2 + 3 = 5, d e r iv e d b y t h e m ost
common n u m e r o lo g ic a l o p e r a tio n ), w ith t h e f i f t h p ie c e b e in g S c h o e n b e rg s f i r s t
tw e lv e - to n e co m p o sitio n . The com poser h im s e lf o f f e r s a c lu e a s t o th e
n u m e r o lo g ic a l b l u e p r i n t o f Opus 23 b y n u m b e rin g t h e m easu re in m u ltip le s o f
fiv e . The num ber 23 a l s o b r e a k s down i n t o 11 (th e "m a ste r" o p u s num ber o f th e
f i r s t c o m p le te ly a t o n a l work), p l u s 12 (m a rk in g t h e s i g n i f i c a n c e o f t h e tw e lv e -
to n e te c h n iq u e i n t h e f i f t h piece). B oth t h e S u ite . Opus 25 a n d t h e S ix L i t t l e
P ie ces. Op. 19 i n v o l v e n u m e ro lo g ic a l m a n ip u la tio n s o f S c h o e n b e rg 's num ber o f
fa te , th ir te e n . The S u it e was S c h o e n b e rg 's f i r s t co m p lete d o d e c a p h o n ic w ork,
t h u s t h e a d d i t i o n o f 12 a n d 13 y i e l d s i t s o p u s num ber, 2 5 .t2 The S ix L i t t l e P ia n o
P ie c e s r e c e iv e t h e i r o p u s b y a d d in g t h e num ber o f p ie c e s i n th e s e t to
S c h o e n b e rg 's num ber o f f a t e . S in c e t h e l e t t e r S i s a l s o t h e n i n e te e n th l e t t e r o f
t h e a lp h a b e t, t h e c h o ic e o f o p u s num ber f o r th e S ix L i t t l e P ie ces a l s o s e r v e s a s
a n u m e r o lo g ic a l s i g n a t u r e . 13
The s e c r e t i v e n a t u r e o f n u m e ro lo g y p r e c lu d e s a n y c e r t a i n t y a b o u t i t s
u se i n S c h o e n b e rg 's c o m p o s itio n a l p ro c e s s . Ho e x p la n a tio n ca n p o s s ib ly c la im t o
b e a u t h e n t i c s im p ly b e c a u se t h e com poser l e f t v e r y l i t t l e t a n g i b l e e v id e n c e t o
c o n f ir m h i s b e l i e f i n t h e o c c u l t pow er o f nu m b ers. On t h e o t h e r h a n d , t h e
c o p io u s ex am p les c i t e d by S te r n e and R e ib le su g g est an a p p l i c a ti o n of
n u m e ro lo g y f a r to o m e th o d ic a l t o be c o i n c i d e n ta l. By i t s e l f , t h e r e a l i t y t h a t
S c h o e n b e rg em ployed t h e m y stic ism o f n um ber i n h i s c o m p o s itio n a l p r o c e d u re
p r o v id e s a n o t h e r way o f u n d e r s ta n d in g t h e m ind b e h in d h i s m usic. I m p l i c i t in
12R e ib le , 79.
13R e ib le , 81.
13
S c h o e n b e rg 's u s e o f n u m e r o lo g ic a l m a n ip u la tio n s , how ever, was h i s d e s i r e t o le n d
p e r s o n a l m ean in g t o h i s m usic t h r o u g h e x tr a - m u s ic a l d e v ic e s. I t i s y e t a n o t h e r
such e x tra -m u s ic a l d e v ic e p i t c h sym bolism (o r m u s ic a l a n a g ra m s) t h a t
f u r n i s h e s t h e k e y t o a c o m p le te u n d e r s ta n d in g o f th e " T r is ta n " com plex o f Opus
11 .
S c h o e n b e rg 's P itc h Sym bolism
P itc h sym bolism i s n o t a t w e n t i e t h - c e n t u r y i n v e n tio n . In t h e R e n a is sa n c e ,
s o g g e t t o c a v a to c o m p o s itio n s d e r iv e d m u s ic a l s u b j e c t s t h r o u g h t h e u se o f t h e
s o lm iz a tio n s y l l a b l e s . 14 Bach lo v e d t o c o n c e a l a n a g ra m s i n h i s c o m p o s itio n s
( p a r t i c u l a r l y h i s p e r s o n a l " s i g n a t u r e " B-A-C-H). A lle n F o r t e m a in ta in s t h a t t h e
o r i g i n o f S c h o e n b e rg 's a t o n a l idiom i s d i r e c t l y lin k e d t o t h e a p p e a ra n c e o f h i s
a n a g ra m m a tic m u s ic a l s i g n a t u r e i n t h e F iv e S o n g s, Opus 6 (1905).15 The s i g n a t u r e ,
f i s c h b e g , (d e riv e d fro m t h e Germ an nam es f o r th e p i t c h e s e - f l a t , c, b, b - f l a t ,
e, an d g) assu m es a n i m p o r t a n t p o s i t io n i n m any o f S c h o e n b e rg 's w o rk s betw een
1905 a n d 1909 a n d i s d i r e c t l y r e l a t e d t o t h e e v o l u t i o n o f t h e a t o n a l s t y l e t h a t
re a c h e d i t s m a t u r i t y in t h e Opus 11 p ia n o p ie c e s .14 The f a c t t h a t S c h o e n b e rg was
c o n s c io u s ly m a n ip u la tin g t h e p i t c h s e t i s a p p a r e n t b e c a u se t h e s i g n a t u r e m ost
o f t e n a p p e a r s i n t r a n s p o s i t i o n , in v e r s i o n , o r c o m p le m e n ta tio n . As th e a t o n a l
s y n ta x e v o lv e d , S c h o e n b e rg s y s te m a tiz e d th e s e m a n ip u la tio n s a n d b eg a n t o a p p ly
14J o s q u in 's Mass d e d ic a te d t o H e rc u le s dux F e r r r i a e i s p e r h a p s t h e b e s t know n

exam ple.
15A lle n F o rte , " S c h o e n b e rg 's C r e a tiv e E v o lu tio n : The P a th t o A to n a lity ," The M usic
Q u a r t e r l y 64. no. 2 (A p ril 1978): 1 3 3 -1 7 6 .
14German p i t c h nam es w i l l be u s e d f o r a l l a n a l y s i s in t h i s s t u d y r e l a t e d t o p it c h
sym bolism . F o r a c o m p le te e x p l a n a t io n o f t h e Germ an sy stem se e Don R a n d e l, ed. T he Hew
H a rv a rd D ic tio n a r y o f M usic (C am bridge: H a rv a rd U n i v e r s it y P re s s , 1986), s.v . " P itc h
Names."
them t o p i t c h c o l l e c t i o n s o t h e r t h a n h i s m u s ic a l s i g n a t u r e . D u rin g t h i s
e v o lu tio n a ry p e rio d , S c h o e n b e rg seem s t o h a v e re c o g n iz e d t h a t s t r u c t u r a l
e le m e n ts u n r e l a t e d t o t o n a l h arm o n y w ere e m e rg in g i n h i s m usic:
T ru e , new w ays o f b u i l d i n g p h r a s e s a n d o t h e r s t r u c t u r a l e le m e n ts
h a d b een d is c o v e re d , a n d t h e i r m u tu a l r e la t i o n s h i p , c o n n e c tio n , an d
c o m b in a tio n c o u ld be b a la n c e d b y h i t h e r t o unknow n m eans.17
A t r a n s p o s i t i o n o f t h e f i r s t t h r e e n o te s o f t h e m u s ic a l s i g n a t u r e c r e a t e s t h e
o p e n in g tric h o rd of Opus 11, no. 1. B ecause o f its im p o rta n c e in th e
c o n s t r u c t i o n o f a l l t h r e e p ie c e s i n Opus 11, t h i s t r i c h o r d h a s been la b e le d t h e
U rm o tif (" s o u rc e m otive") b y R e ib le (exam ple 2 .1 ).18
Exam ple 2.1. The U rm o tif
The U rm o tif c a n a l s o be r e l a t e d t o S c h o e n b e rg s i n t e r e s t i n t h e B eeth o v en p ia n o
s o n a t a s i t i s a l s o th e p r i n c i p a l m o tiv e in t h e f i r s t m ovem ent o f B eeth o v e n s
S o n a ta , Op. 111. S tu c k e n s c h m id t's b io g r a p h y o f S c h o e n b e rg c o n t a i n s a c h a p te r
d e v o te d e n t i r e l y t o a n o t h e r t r i c h o r d t h a t i s p ro m in e n t t h r o u g h o u t t h e w o rk s o f
S c h o e n b e rg ( i n c lu d in g Opus 1 1 ).19 S tu c k e n s c h m id t c o n te n d s t h a t t h i s t r i c h o r d ,
17A rn o ld S c h o e n b e rg , "My E v o lu tio n " i n S t y l e an d Id e a, ed. L e o n a rd S te in , t r a n s . Leo

B la c k (Los A ngeles: U n i v e r s it y o f C a l i f o r n i a P re s s , 1975), 88.
t8R e ib le, 89.
19H. H. S tu c k e n s c h m id t, A rn o ld S c h o e n b e rg , t r a n s . H um phrey S e a r le (New York:

S c h irm e r Books, 1978), 525-53
15
th e " p rim a l c e ll ," a p p e a r s m ore f r e q u e n t l y in w o rk s t h a t h av e a d ire c t
c o n n e c tio n w ith t h e co m p o ser's e m o tio n a l l i f e . A lth o u g h t h e p r im a l c e l l i s
f r e q u e n t l y tr a n s p o s e d , i t s tw o b a s ic fo rm s a r e e a s i l y d e r iv e d fro m t h e l e t t e r s
o f S c h o e n b e rg 's name.
/ M\i ii . .-------
2
Exam ple 2.2. B a sic fo rm s o f t h e " p rim a l c e l l " (S tu c k e n sc h m id t)
The p e r f e c t f o u r t h a r d . i s d e r iv e d fro m t h e o u t s i d e l e t t e r s o f A rn o ld , a n d es
fro m t h e f i r s t l e t t e r o f S c h o e n b e rg . S in c e g i s c a n be e n h a r m o n ic a lly t r a n s l a t e d
t o a, t h i s i s p o s s i b ly a n o t h e r a n a g ra m r e p r e s e n t i n g t h e co m p o ser's i n i t i a l s
(A rn o ld S ch o en b e rg ).
R e ib le 's s t u d y o f t h e Opus 11 p ie c e s p r e s e n t s a d e t a i l e d a n a l y s i s o f th e
p i t c h sym bolism i n t h e w o rk d i r e c t l y r e l a t e d t o S c h o e n b e rg 's m a r i t a l s t r i f e
d u r i n g t h e y e a r s 1 9 0 6 -1 9 0 8 . 30 A c c o rd in g t o h i s h y p o th e s is , t h e f i r s t p ie c e i s
c o n s t r u c te d l a r g e l y fro m p i t c h m a t e r i a l d e r iv e d fro m t h e nam es i n t h e lo v e
t r i a n g l e . F u r t h e r , t h i s m a t e r ia l i s su p e rim p o se d o n a s c a f f o l d i n g t h a t p a r o d ie s
t h e T r i s t a n P re lu d e . The f i n a l tw o p ie c e s th e n d e r iv e a l l o f t h e i r m o tiv ic a n d
h a rm o n ic m a t e r ia l fro m t h e f i r s t p ie c e , c r e a t i n g a u n i f i e d t h r e e m ovem ent work.
I n a s t r i k i n g c o in c id e n c e , t h e p i t c h e s t h a t can be d e r iv e d fro m t h e nam es A rn o ld
S c h o n b e rg , M a th ild e S c h o n b e rg , and R ic h a rd G e rs tl to ta l 11! T hese
a n a g r a m m a tic a lly d e r iv e d t o n e s a r e a , d, e s, c, h , e, g, a s , d es, a n d g es. E ig h t
20R e ib le , 92.
16
o f th e s e a r e c l e a r l y d e r iv a b l e fro m " A rn o ld S ch o en b e rg ," a n d c a n be f o u n d in
th e o t h e r tw o nam es a s w e ll. The n i n t h p itc h , a& r e p r e s e n t s a m onogram o f
S c h o e n b e rg 's i n i t i a l s . The t e n t h p itc h , d e s ( d - f l a t ) , i s form ed fro m t h e j u n c t u r e
o f t h e name M a th ilde Sch o n b e rg . a n d i s u n iq u e t o S c h o e n b e rg 's w ife. The t w e l f t h
p itc h , g e s. i s p e c u l i a r t o t h e nam e o f R ic h a rd G e r s tl, form ed a s a n a n a g ra m fro m
h i s l a s t name.
The ''T r i s t a n Complex o f O p u s 11
As e a r l y a s 1927, a n a ly s e s o f Opus 11 i n d ic a te d a n i n t u i t i v e p a r a l l e l w ith
t h e T r i s t a n P re lu d e . L e i c h t e n t r i t t a s s e r t s t h a t t h e o p e n in g g e s t u r e o f t h e f i r s t
p ie c e " h a r d l y d i f f e r s fro m t h e W ag n erian T r i s t a n m elos." He e v e n g o e s so f a r
a s t o d i r e c t l y com pare mm. 42-49 : : i t h t h e P r e lu d e t o Act T h re e o f T r i s t a n , 21
W o lfg an g R ogge a l s o d is c e r n s a "shim m er" o f T r i s t a n h a rm o n ic l a n g u a g e i n t h e
sam e p a s s a g e .22 Thomas C h r is te n s e n 's re c e n t s tu d y o f T ris ta n p itc h -c e ll
m a n ip u la tio n i n t h e f i r s t p ie c e c l e a r l y show s t h a t t h e f i r s t e i g h t b a r s o f Opus
11, no. 1 " p a ro d y " t h e o p e n in g o f t h e T r i s t a n P re lu d e , b a s i c a l l y re w o rk in g t h e
W ag n erian m a t e r i a l i n t o an o r i g i n a l c o m p o sitio n (exam ple 2.3).23 M oreover, t h e
t h r i c e - r e p e a t e d g e s t u r e i n mm. 4-8 ca n be u n d e r s to o d a s an hom age t o t h e
2,Hugo L e i c h t e n t r i t t , M u sical Form (C am bridge: H a rv a rd U n i v e r s it y P re s s , 1951), 427,

433.
22W o lfg ang R ogge, Das K la v ie rw e rk A rn o ld S c h o e n b e rg 's (R eg en sb u rg : G u s ta v B osse

V e rla g , 1964), 8 -9 .
23Thomas C h r is te n s e n , " S c h o e n b e rg 's Opus 11, No. 1: A P a ro d y o f P itc h C e lls fro m

T r i s t a n . " J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 10. no. 1 (J u n e 1987): 3 8 -4 4 .
17
s i m i l a r l y t h r i c e - r e p e a t e d p h r a s e o f t h e T r i s t a n o p en in g .
Exam ple 2.3. P a ro d y o f P itc h M a te r ia l fro m T r i s t a n

in Op. 11, no. 1 (C h riste n s e n )
The " T r is ta n " com plex o f Opus 11 h a s f a r - r e a c h i n g im p lic a tio n s . By
en c o m p a ssin g h a rm o n ic , m elodic, n u m e ro lo g ic a l, p itc h -s y m b o lic , a n d fo r m a l
e le m e n ts t h a t a r e d i r e c t l y r e l a t e d t o th e T r i s t a n P re lu d e , i t p ro v id e s an
e s s e n t i a l k e y t o t h e u n d e r s ta n d in g o f S c h o e n b e rg 's f i r s t a t o n a l c o m p o sitio n . An
i n c l u s i o n o f t h e " T r is ta n " com plex in t h e p r e s e n t s tu d y in n o way r e j e c t s
t r a d i t i o n a l a n a l y t i c a l a p p ro a c h e s t o t h e Opus 11 p ieces. On t h e c o n t r a r y , t h e
T r is ta n " com plex a llo w s f o r a m ore c o m p re h e n siv e u n d e r s ta n d in g o f t h e t h i s
e n ig m a tic w ork. I t c o n v i n c i n g l y e s t a b l i s h e s t h a t p a ro d ie d m a t e r ia l p re s e n te d
in t h e f i r s t p ie c e i s f u r t h e r d e v e lo p e d i n t h e re m a in in g two p ie c e s, t h u s
c r e a t i n g a n o r g a n i c a l l y u n i f i e d c y c le .
C h a p te r 3
A n a ly t ic a l P e r s p e c tiv e s o f Opus 11
No. 1
The o p e n in g e le v e n b a r s o f Opus 11, no. 1 p r e s e n t t h e f u n d a m e n ta l m a t e r ia l
n e c e s s a r y f o r i t s c o n s t r u c ti o n . Most im p o r ta n tly , th e y p r o v id e t h e f i r s t
e v id e n c e o f t e r n a r y fo rm t h a t p e rm e a te s t h e e n t i r e w ork (exam ple 3.1).
A. Exposition
1-3 4-8 9-11

A 1-11 a b a *
12-14 Episode (new material*)
B
'15-16 Transition
17-18 Return o f a*
A
19-24 Return o f b
[A| 25-27 Canonic episode rcscmbUsif b, wub variant on a
[8| 21-30 Canonic episode related to 12-16
[A| 31-33 Fuul statement o f a
B. Development
[A| 34-38
[B| 39-41 (3 9 1 2 )
42-45
[Al 46-49 (49 - 29)
50-32
A. Recapitulation
53-55 a
56-58 b
59-64 a
Exam ple 3.1. F o rm al O verview o f Opus 11, no. 1 (F o rte )1
1A lle n F o rte , "The M ag ica l K aleid o sco p e: S c h o e n b e rg 's F i r s t A to n a l M asterw ork, Opus
11, No. 1," J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 5. no. 2 (November 1981): 131.
18
19
I n t h e b r o a d e s t se n s e , s e c tio n A (mm. 1 -3 3 ) c a n be se e n a s t h e i n i t i a l p r e s e n t a t i o n
a n d v a r y i n g o f t h e m o tiv ic m a t e r ia l. S e c tio n B (mm. 3*1-52) c a n be view ed a s t h e
f u r t h e r v a r i a t i o n , e m b e llis h m e n t, a n d d e v e lo p m e n t o f t h e m a t e r ia l p r e s e n te d in
t h e o p e n in g s e c tio n . The r e t u r n o f s e c tio n A (mm. 53 6U) f e a t u r e s th e
p r e s e n t a t i o n o f th e o p e n in g m o tiv e a t i t s o r i g i n a l p i t c h l e v e l fo llo w e d b y t h e
f i n a l t r a n s f o r m a t i o n o f t h e m o tiv ic m a te r ia l.
The t r i c h o r d fo rm ed b y t h e f i r s t t h r e e p i t c h e s o f t h e p ie c e (th e U rm o tif)
becomes t h e b a s ic b u i l d in g b lo c k f o r t h e e n t i r e w o rk .2 The o p e n in g g e s t u r e
u n f o ld s i n t o a n in te r c o n n e c te d web o f th e U rm o tif (mm. 1 -3 ; exam ple 3.2) w hich
r e p r e s e n t s t h e c e n t r a l c o m p o s itio n a l p ro c e s s e s o f Opus 11, no. 1: com plex
m a n ip u la tio n o f t h e s im p le s t m o tiv ic m a t e r ia l, o b s e s s iv e econom y o f m eans, a n d
t h e a v o id a n c e o f l i t e r a l r e p e t i t i o n .
Exam ple 3.2. The U rm o tif i n th e o p e n in g o f Opus 11, no. 1
T h is i n i t i a l p h r a s e i s fo llo w e d im m e d ia te ly b y t h r e e v a r ie d s ta te m e n ts o f a s h o r t
c o n t r a p u n t a l p a s s a g e (mm. 4-8). A lth o u g h t h e p i t c h m a t e r ia l a n d r e g i s t r a l
C a l l e d t h e " i n t e r v a l l i c c e l l " i n G e o rg e P e r le S e r i a l C om position a n d A to n a lit.v

(B erk eley : U n i v e r s it y o f C a l i f o r n i a P re s s , 1981), 10; " p i t c h - c l a s s s e t 3 -3 (0,1,4) in
A lle n F o rte , "T he M a g ic a l K a leid o sco p e: S c h o e n b e rg 's F i r s t A to n a l M asterw o rk , Opus 11,
Number 1, J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 5, no. 2 (November 1981): 1 2 7 -
168; a n d U rm o tif i n J o h n J o se p h R e ib le , I I I , " T r i s ta n R om anticism a n d th e E x p re s sio n is m
o f t h e 'T h ree P ia n o P ie c e s Opus 11 o f A rn o ld S c h o e n b e rg " (Ph.D. d is s ., W a sh in g to n
U n iv e r s ity , 1980), 89. U rm o tif w i l l be u se d i n t h e p r e s e n t s tu d y .
20
r e l a t i o n s h i p betw een t h e v o ic e s re m a in s s im ila r , v a r ie d p r e s e n t a t i o n s o f t h i s
s h o r t c o n t r a p u n t a l id e a a r e a c h ie v e d t h r o u g h r h y th m ic d is p la c e m e n t (exam ple
3.3).
Exam ple 3.3. R h y th m ic d is p la c e m e n t i n Opus 11, no. 1; mm. 4 -8
The r e m a in in g t h r e e b a r s o f t h e o p e n in g s e c tio n (mm. 9 -1 1 ) r e p r e s e n t a v a r ie d
re p e titio n of th e o p e n in g m o tiv e , c h a r a c te r i z e d by ex p a n d ed in te rv a iiic
r e l a t i o n s a n d ja g g e d m elo d ic c o n to u r .
fo g fftfmrr
* ui
M M
Exam ple 3.4. V a rie d r e p e t i t i o n o f o p e n in g s ta te m e n t

Opus 11, no. 1; mm. 9-11
The p i t c h c o n t e n t o f t h e o p e n in g s e c tio n i s p a r t i c u l a r l y n o te w o rth y . Of
t h e a v a i l a b l e tw e lv e c h r o m a tic p itc h e s , S c h o e n b e rg o n l y u s e s e le v e n , w ith h o ld in g
h is own m onogram p itc h gg. O th e r e v id e n c e o f n o n -tra d itio n a l fo r m a l
o r g a n i z a t i o n p e rm e a te s t h e f i r s t s e c tio n . R e l a t i o n s h ip s o f t h r e e ( r e f e r r i n g ,
21
p e rh a p s , t o t h e l o v e t r i a n g l e ) a n d e le v e n ( p a r a l l e l i n g t h e c h o ic e o f o p u s num ber)
a r e c o n t i n u a l l y i n e v id e n c e : t h e s o l i t a r y t h r e e n o te s o f t h e o p e n in g m elody, t h e
t h r e e b a r l e n g t h o f t h e f i r s t p h ra s e , t h e t h r i c e - r e p e a t e d g e s t u r e o f t h e seco n d
p h ra s e , t h e c o l l e c t i o n o f e le v e n p itc h e s , a n d t h r e e p h r a s e s c o n ta in e d in t h e
o p e n in g s e c ti o n o f e le v e n b a r s . A d i r e c t a l l u s i o n t o t h e " T r is ta n " com plex o f
Opus 11 o c c u r s w ith t h e f i r s t v e r t i c a l t r i t o n e o f t h e p ie c e (m. 2, b e a t 2). The
t r i t o n e t o h i s c o m p rise d o f t h e same p i t c h e s a s t h e t r i t o n e o f t h e T r i s t a n
c h o rd .
The b e g in n in g o f t h e e p is o d e a n d t r a n s i t i o n (mm. 1 2 -1 6 ) i s c l e a r l y
d e l i n e a te d b y c h a n g e s i n t e x t u r e , tempo, dynam ics. The U rm o tif i s s t i l l v e r y
p ro m in e n t i n mm. 1 2 -1 4 a l t h o u g h i n h i g h l y v a r ie d fo rm s. The w hole e f f e c t o f
th e s e t h r e e m easu res, h o w e v er, i s t o s u p p ly a p e d a l p o i n t on gg, t h u s f u r n i s h i n g
t h e c h r o m a tic p i t c h m is s in g fro m th e o p e n in g s e c tio n . The sw eep in g t h i r t y -
se c o n d n o te g e s t u r e i n t h i s e p iso d e a l s o r e p r e s e n t s a g r a p h ic d e p ic tio n o f th e
lo v e t r i a n g l e . The low s (S c h o e n b e rg 's m onogram p itc h ), t h e h ig h c i s (u n d e rs to o d
a s d es. t h e p i t c h u n iq u e t o M a th ild e S ch o en b erg ), a n d t h e f i n a l low f i s (g es, t h e
p i t c h u n iq u e t o R ic h a rd G e r s tl) s t a n d i n a s t r i k i n g t r i a n g u l a r r e l a t i o n on t h e
p r i n t e d p a g e (exam ple 3.5 )3 The s t r u c t u r e o f t h e e p is o d e i s e x tre m e ly im p o r ta n t
b e c a u s e o f i t s i m p li c a t io n s f o r t h e r e s t o f t h e w ork. The a s c e n d in g p o r t i o n o f
t h e sweep i s co m p rised o f S tu c k e n s c h m id t's " p rim a l c e l l " b o u n d ed on e i t h e r s id e
b y v a r i a n t s o f t h e U rm o tif. The h a l f - s t e p c h r o m a tic m o tio n (seen i n o c ta v e
d is p la c e m e n t a s t h e dow nw ard h a l f o f' t h e sweep) i n v e r t s t h e a s c e n d in g f i g u r e
3R e ib le, 142.
22
From t h e l e f t - h a n d l i n e o f th e sec o n d p h r a s e (mm. 4-5).
Exam ple 3.5. Opus 11, no. 1 mm. 1 2 -1 3
Once a g a in , S c h o e n b e rg w o rk s w ith a c o l l e c t i o n o f o n ly e le v e n p i t c h e s i n
t h i s t h r e e b a r ep iso d e. The e x c lu d e d to n e , , em erges a s t h e r o o t o f t h e p ia n o
h a rm o n ic s c h o r d (mm. 1 4-17) t h a t s i g n a l s t h e t r a n s i t i o n b ac k t o t h e o p e n in g
m elo d ic m a t e r i a l (m. 17). The s i g n i f i c a n c e of th is c h o rd is im m e d ia te ly
h i g h l i g h t e d b e c a u s e o f i t s p r e s e n t a t i o n in h a rm o n ic s, a r a r e d e v ic e in t h e p ia n o
l i t e r a t u r e (S chum ann's C a r n a v a l w ould be a n e a r l i e r i n s t a n c e o f i t s use). Opus
11, No. 1 was l o n g t h o u g h t t o be t h e f i r s t S c h o e n b e rg w ork t o u s e p ia n o
h a rm o n ic s, b u t i t i s now a c c e p te d t h a t t h e so n g "Am S tr a n d e " (com pleted on
F e b r u a r y 8, 1909) d e s e rv e s t h i s m e r i t .4 B ecause o f i t s s t r u c t u r a l c o n se q u en ce s,
R e ib le h y p o th e s iz e s t h e d e r i v a t i o n o f t h e h a rm o n ic s c h o r d fro m t h e T r i s t a n
c h o rd a n d l a b e l s i t t h e " S c h o e n b e rg E x p r e s s io n is t T r i s t a n S o n o r ity " (SETS).5 The
r e l a t i o n s h i p i s u n c a n n y . The T r i s t a n c h o rd i n i t s t e r t i a r y v o ic in g i s co m p rised
(from t h e r o o t ) o f tw o s u p e rp o se d m in o r t h i r d s a n d a m a jo r t h i r d . S c h o e n b e rg 's
4A lle n F o rte , " S c h o e n b e rg 's C r e a tiv e E v o lu tio n : The P a th t o A to n a lity ," The M u sical
Q u a r t e r l y 64, no. 2 (A p ril 1978): 175.
5J o h n J o s e p h R e ib le , I I I , " T r i s ta n R om anticism a n d th e E x p re ssio n ism o f t h e 'T h re e

P ia n o P ie ces' Opus 11 o f A rn o ld S c h o e n b e rg " (Ph.D. d is s ., W ashington U n iv e r s ity , 1980),
129.
23
c h o rd i s b u i l t on t h e sam e r o o t , w ith t h e same i n t e r v a l s in re v e r s e : tw o
s u p e rp o s e d m ajo r t h i r d s a n d a m in o r t h i r d (exam ple 3.6).
m u
Exam ple 3.6. T e r t i a r y s p e l l i n g s o f t h e " T r is ta n " c h o rd an d SETS
F u r t h e r c o r r e l a t i o n w ith t h e " T r i s ta n " com plex ca n a l s o be u n c o v e re d h e re . The
o n e p i t c h o f SETS t h a t d o e s n o t o c c u r a s a n a n a g ra m fro m t h e nam es o f t h e lo v e
t r i a n g l e , , o c c u r s a s t h e r o o t o f b o th SETS a n d t h e T r i s t a n c h o rd . The p it c h e s
o f t h e h a rm o n ic s c h o rd a r e p la y e d tw o o c ta v e s lo w e r in a b u r s t o f s i x t e e n t h
n o te s , t h u s a llo w in g t h e h a rm o n ic s t o so u n d . The p l a i n t i v e r e p l y i n m easu re
fifte e n is in te r r u p te d by th e s ix te e n th -n o te o u t b u r s t o n ce a g a in b e fo re
d i s s o l v i n g i n t o a v a r ie d r e s ta te m e n t o f t h e o p e n in g g e s tu r e . The n e x t s u b
s e c tio n (mm. 1 9 -2 4 ) p r o v id e s a r e t u r n t o t h e m a t e r ia l fo u n d i n t h e sec o n d p h r a s e
o f t h e p iece. The g e s t u r e a g a in o c c u r s t h r e e tim es, w ith e a c h r e c u r r e n c e v a r ie d
s lig h tly . The a s c e n d in g l i n e , see n i n t h e l e f t h a n d o r i g i n a l l y , i s now p r e s e n t
i n t h e r i g h t h a n d , tr a n s p o s e d u p a h a l f - s t e p . The h a r m o n ic a lly p ro m in e n t
au g m en te d t r i a d s i n t h i s s e c ti o n c a n be view ed a s a s u b s e t o f SETS.
The re m a in d e r o f t h e e x p o s itio n (mm. 2 5 -3 3 ) v a r i e s a n d r e s t a t e s m a t e r ia l
p r e s e n te d e a r l i e r i n t h e s e c tio n . A t h r e e b a r f u g a t o b a se d o n a n e x p a n s io n o f
t h e o p e n in g m elodic m a t e r i a l b r e a k s i n t o a r u s h o f s i x t e e n t h n o te s t h a t a r e
d e r iv e d fro m t h e p r im a l c e l l a n d SETS (mm. 2 5 -2 9 , exam ple 3.7).
24
F -tg a fo
1 iET5 5ET5
(X^nratf Cell
Exam ple 3.7. F u g a to l e a d i n g i n t o d e v e lo p m e n t o f t h e p rim a l c e l l
a n d SETS, Opus 11, no. 1; mm. 2 8 -2 9
The l a s t f i v e b a r s o f t h e e x p o s itio n (mm. 2 8 -3 3 ) p r e s e n t a th e m a tic u n r a v e l l i n g
o f t h e m ain m elo d ic id e a . R e ib le co m p ares t h e b e g in n in g o f t h i s th e m a tic
d i s s o l u t i o n t o t h e o p e n in g g e s t u r e o f t h e T r i s t a n P r e lu d e (exam ple 3.8).
Langsxm und schm achtend. langsam

Lento e C3ngSi:d a.
Exam ple 3.8. O pening g e s t u r e o f t h e T r i s t a n P re lu d e

com pared w ith Opus 11, no. 1, m. 28
The l a s t s ta te m e n t o f t h e o p e n in g m elo d ic id e a in t h e e x p o s itio n (mm. 3 0 -3 3 ) i s
b a r e l y r e c o g n iz a b le , s in c e i t s t h r e e m e a su re s h a v e b een r e o r d e r e d (exam ple 3.9).
VP
Exam ple 3-9. O pen in g m elo d ic id e a , Opus 11, no. 1 (mm. 1 -3 ) a n d

i t s r e o r d e r e d p r e s e n t a t i o n (mm. 3 1 -3 3 )
25
The f i r s t s e c tio n o f t h e d e v e lo p m e n t (mm. 3 4 -3 8 ) i s c h a r a c t e r i s e d b y o c ta v e
d is p la c e m e n t t h a t d i s t o r t s t h e m ain them e i n t h e r i g h t - h a n d a n d h id e s t h e
a s c e n d in g c h r o m a tic s c a l e i n t h e l e f t h a n d . L e i c h t e n t r i t t s i m p li f i e s t h i s
p a s s a g e a s f o llo w s (exam ple 3.10):4
Exam ple 3.10. Opus 11, no. 1; mm. 3 6 -3 8 com pared w ith
L e i c h t e n t r i t t s s i m p li f i c a t io n
A c o n t r a p u n t a l i n n e r v o ic e i s added i n t h e l a s t tw o b e a ts o f m e a su re 38,
r e f l e c t i n g a d i r e c t i o n a l r e a r r a n g e m e n t o f t h e U rm o tif. An a s c e n d in g h a l f - s t e p
i s fo llo w e d b y a d e s c e n d in g m in o r t h i r d . The r e f e r e n c e i n t h e f o l l o w i n g t h r e e
b a r s (mm. 3 9 -4 1 ) t h e c e n te r s e c tio n o f t h e d e v e lo p m e n t t o t h e e p is o d e (mm. 1 2 -
14) i s u n m is ta k a b le , b u t t h e m ethod o f v a r i a t i o n becomes i n c r e a s i n g l y o b s c u re .
The c o r r e l a t i o n betw een m. 12 a n d m. 39 i s o b v io u s . The tw o a s c e n d in g t h i r t y -
sec o n d n o te sw eeps a r e a g a in co m p rised o f t h e p rim a l c e l l i n t e r l o c k e d w ith t h e
U rm o tif. The f l u t t e r i n g , r h y t h m i c a l l y u n s ta b l e , p ia n is s im o b a r t h a t f o llo w s
seem s t o be a p a r o d y o f m. 13. The d e r i v a t i o n o f m. 41 i s t h e m ost c r y p t i c , b u t
R e ib le r e l a t e s t h e c h o r d s t h a t a p p e a r o n t h e seco n d a n d f o u r t h b e a ts o f t h e
m e a su re t o t h e o r i g i n a l a p p e a ra n c e o f SETS i n m. 1 4 .7 The b a s s n o te i s t h e same
4Hugo L e i c h t e n t r i t t , M u sical Form (C am bridge: H a rv a rd U n i v e r s ity P re s s , 1951), 4 2 6 -

427.
7R eib le, 135.
26
, w h ile t h e c h o r d s t r u c t u r e ca n be r e s p e l le d a n d r e o r d e r e d t o c r e a t e a n
i n v e r s i o n o f SETS (exam ple 3.11).
Exam ple 3.11. D e r iv a tio n o f Opus 11, no. 1 m. 41 fro m SETS
The c o n f i g u r a t i o n s o f t h e f i r s t a n d t h i r d b e a t a r e t r a n s p o s i t i o n s o f t h e U rm o tif
o v e r an p e d a l p o in t.
The f i n a l s e c ti o n o f t h e d ev e lo p m e n t (mm. 4 2 -5 2 ) b e g in s w ith a f o u r b a r
d e s c e n t t o t h e lo w e s t p o i n t o f t h e p ie c e ( c o in c i d e n t a l l y S c h o e n b e rg 's m onogram
p itc h , ). The dow nw ard s p i r a l i s f a s h io n e d o u t o f m a t e r i a l d e r iv e d fro m t h e
l a s t tw o b e a ts o f m. 38. The e s c a l a t i o n t o t h e c lim a x (mm. 4 6 -4 9 ) b e g in s w ith t h e
o c ta v e d is p la c e m e n t f i g u r e i n t h e r i g h t h a n d p la c e d o v e r a r h y t h m i c a l ly
tr a n s f o r m e d a n d tr a n s p o s e d v e r s io n o f t h e o p e n in g m elo d ic id e a (exam ple 3.12).
Exam ple 3.12. V a ried a p p e a ra n c e o f o p e n in g m elo d ic l i n e

Opus 11, no. 1 mm. 4 6 -4 7
A f i n a l hom age t o t h e o p e n in g o f t h e T r i s t a n P r e lu d e a p p e a r s i n mm. 4 8 -4 9 (see
exam ple 3.8). S c h o e n b e rg r h y t h m i c a l l y d is p la c e s t h e m a t e r ia l o f m. 29 b y two
27
q u a r t e r n o te s , b e f o r e r u s h i n g t o t h e c lim a x in m. 50. The clim ax f e a t u r e s a
re a r r a n g e m e n t o f th e e p is o d ic m a t e r ia l fro m mm. 12-13 a t i t s o r i g i n a l p itc h
l e v e l (exam ple 3.13).
w it
a.P edell
Exam ple 3.13. C om parison o f p it c h m a t e r i a l in mm. 50-51 w ith mm. 1 2-13

Opus 11, no. 1
At th e h i g h e s t p o i n t o f t h e p ie c e ( t h i r d b e a t, m. 50), an i n t e r v a l l i c a l l y v a r ie d
p r e s e n t a t i o n o f t h e o p e n in g m elo d ic m a t e r ia l a p p e a rs in i t s i n i t i a l rh y th m ic
c o n fig u ra tio n . The l e f t h a n d t h i r t y - s e c o n d n o te f i g u r e s in mm. 51 a n d 52
seq u e n ce t h e i n t e r l o c k i n g p r im a l c e l l a n d U rm o tif c o m b in a tio n fro m t h e e p is o d ic
m a te r ia l.
The r e c a p i t u l a t i o n (mm. 5 3 -6 4 ) p r e s e n t s th e them e in o c ta v e s a t i t s
o r i g i n a l p i t c h l e v e l acco m p an ied b y a v a r i a t i o n o f t h e a s c e n d in g l e f t - h a n d
f i g u r e fro m mm. 4 -5 . The au g m en te d t r i a d s s o p ro m in e n t i n t h i s s e c ti o n c a n be
e x p la in e d a s s u b s e t s o f SETS. The m a t e r ia l i n mm. 5 6 -5 8 i s a r e a r r a n g e m e n t o f
t h e sec o n d p h r a s e o f t h e p ie c e (mm. 4 -8 ) m in u s t h e a s c e n d in g c h r o m a tic l i n e . The
r i g h t - h a n d i n n e r v o ic e (mm. 5 6 -5 7 ) i n v e r t s t h e i n t e r v a l s o f t h e o r i g i n a l v o ic e ,
w h ile th e o c ta v e m o tio n i n t h e b a s s p a r a l l e l s t h e t h i r d m o tio n i n t h e t r e b l e o f
t h e o r i g i n a l p h ra s e . N um erous s y n c o p a tio n s i n t h e co d a (mm. 5 9 -6 4 ) c r e a t e a
s e n s e o f rh y th m ic i n s t a b i l i t y w h ile t h r e e v a r i a t i o n s o f t h e o p e n in g m elo d ic
m a t e r ia l d esc en d i n t o t h e b a s s r e g i s t e r . In i t s f i n a l p r e s e n t a t i o n , t h e them e
a p p e a r s a g a in a t i t s o r i g i n a l p i t c h l e v e l (mm. 62-6 3 ), b u t i s o b s c u re d b y a
r e o r d e r i n g o f i t s e le m e n ts (exam ple 3.14).
MaBy
Exam ple 3.14. O pen in g m elo d ic id e a , Opus 11, no. 1 a n d th e

r e o r d e r i n g o f i t s p i t c h e s (mm. 6 2 -6 4 )
The f i n a l c h o rd o f t h e p ie c e i s a v e r t i c a l m a n i f e s t a ti o n o f t h e p rim a l c e l l
t r i c h o r d w hich a p p e a re d m e lo d ic a lly i n t h e e p iso d e (mm. 12). More im p o r ta n tly ,
t h e m onogram p r im a l c e l l o v e r t h e s i g n a t u r e p i t c h . s e r v e s a s t h e com poser's
s i g n a t u r e a t t h e end o f h i s f x r s t a t o n a l ccm posxtxcn (exampxe 3.15).
Exam ple 3.15. M onogram p rim a l c e l l o v e r es

Opus 11, no. 1, m. 64
29
V e s tig e s o f t o n a l s t r u c t u r e a r e a b u n d a n tl y e v id e n t i n t h e f i r s t p ie c e o f
O pus 11. T r a d i t i o n a l e le m e n ts s u c h a s p r i n c i p a l them es, t r a n s i t i o n s , m o tiv ic
d e v e lo p m e n t, an d co d a a r e m a in ta in e d . S c h o e n b e rg d e s t r o y s t h e im p a c t o f su c h
t r a d i t i o n a l s t r u c t u r e , how ever, t h r o u g h a n o b s e s s iv e v a r y i n g o f t h e s im p le s t
m o tiv ic m a te r ia l. The fu n d a m e n ta l m a t e r i a l i s re d u c e d t o a s e r i e s o f s e l f -
c o n ta in e d f r a g m e n ts a rra n g e d and re a rra n g e d in sp ac e. W ith o u t a t o n a l
fra m e w o rk , s u c h f r a g m e n t a t i o n te n d s t o o b s c u re t h e f e e l i n g o f c o n t i n u i t y a n d
p a c in g t h a t o n e a s s o c ia te s w ith t r a d i t i o n a l f o r m a l c o n v e n tio n s . In Opus 11, no.
1, ho w ever, t h i s e p is o d ic tr e a t m e n t o f m a t e r ia l re m a in s su p e rim p o se d on a
s y s te m a tic t e r n a r y fram ew o rk .
No. 2
In t h e sec o n d p ie c e o f Opus 11, S c h o e n b e rg m oves f u r t h e r to w a rd a new
a e s th e t ic : fo r m a l o u t l i n e s become m ore te n u o u s a n d e x p r e s s i v i t y i s d e r iv e d
s o le ly fro m th e e s se n c e o f a m u s ic a l g e s tu re ra th e r th o n la rg e s c a le
o r g a n i z a t i o n . The o p e n in g s e c ti o n o f Opus 11, no. 2 d i s p l a y s t e r n a r y s t r u c t u r e ,
b u t t h e re m a in in g f o u r s e c tio n s become l e s s f o r m a l l y r e s t r a i n e d a n d t h e r e f o r e
m ore d is c u r s iv e :
E x p o s itio n s e c ti o n A (1-4) B (4-13) A (13-15)

L y r i c a l s e c o n d a ry them e C (16-19) (d e riv e d fro m A)
D evelopm ent ( p a r t I) A* (20-24) B' (25-28)
D evelopm ent ( p a r t II) D (29-39) C' (40-42) B' (43-47) D* (48-54)
R e c a p i tu l a t i o n A (55-58) C* (59-62) D' (63-65) B' (65-66)
The m ost p ro m in e n t f e a t u r e t h r o u g h o u t O pus 11, no. 2 i s t h e o s t i n a t o
f i g u r e t h a t b e g in s t h e p iece. Many a n a ly s e s h a v e fo c u s e d o n t h e o s t i n a t o a s a
v e s t i g e o f t o n a l i t y i n a n o th e rw is e a t o n a l w ork. C e r t a i n l y t h e f i g u r e does
s u g g e s t D m in o r, b u t t h e te n u o u s l i n k w ith t r a d i t i o n a l t o n a l i t y h a s m ore o f a
" n o s t a l g i a t h a t we a s s o c ia te w ith t h e re m in is c e n c e o f a b y -g o n e a n d much lo v e d
p e r io d ." 8 The o s t i n a t o h a s tw o m ain f u n c ti o n s : i t s e r v e s a s a f ix e d p o i n t o f
r e f e r e n c e i n t h e m id st o f t h e a t o n a l v o c a b u la r y o f t h e w ork, a n d i t c r e a t e s a n
a m b ig u o u s rh y th m ic e n v iro n m e n t. F rie d h e im h a s c o n v i n c i n g ly d e m o n s tra te d t h a t
t h i s sec o n d p ie c e o f Opus 11 c a n b e a n a ly z e d in te rm s o f i t s m o tio n to w a rd a n d
aw ay fro m r h y t h m i c a l l y s t a b l e a r e a s . 9 A l a r g e p a r t o f th e re a so n t h a t th e
o s t i n a t o g e n e r a te s rh y th m ic a m b ig u ity i s t h a t t h e p a t t e r n d o es n o t f i t t h e 1 2 /8
tim e s i g n a t u r e . The u n d u l a t i n g f i g u r e i n t h e b a s s s u g g e s t s d u p le r a t h e r th a n
t r i p l e m eter, a n d o f t e n g r i n d s t o a h a l t u n p r e d ic t a b l y . The s y n c o p a te d n a t u r e
o f t h e m ain them e (mm. 2 -3 , exam ple 3.16) f u r t h e r r e i n f o r c e s t h e r h y t h m i c a l l y
am o rp h o u s s t a t e o f t h e o p e n in g .
r tf .
Exam ple 3.16. Main them e b o u n d ed b y t r a n s p o s i t i o n s o f t h e U rm o tif

Opus 11, no. 2, mm. 2 -3
The p i t c h m a t e r i a l o f t h e m ain th em e i s d e r iv e d fro m c o n s t r u c t i v e e le m e n ts
u se d i n t h e f i r s t p iece . The i n i t i a l th r e e p itc h e s o f t h i s p ie c e fo rm a
t r a n s p o s i t i o n o f t h e U rm o tif (th e p i t c h e s o f t h e o s t i n a t o , f. a n d d, a lo n g w ith
t h e f i r s t m elo d ic p i t c h des). w h ile t h e e n d o f t h e f i r s t p h r a s e i s b o u n d ed b y t h e
G le n n G ould, A rn o ld S ch o e n b e rg :___ A P e r s p e c tiv e (C in c in n a ti: U n i v e r s it y o f

C in c in n a ti, 1964), 9.
'P h i l i p F ried h eim , " T o n a l i ty a n d S t r u c t u r e i n t h e E a r ly Works o f S c h o e n b e rg " (Ph.D.

d is s ., New Y ork U n i v e r s it y , 1963).
31
same p itc h e s (exam ple 3.16). An e x a m in a tio n o f t h e m ain them e r e v e a l s i t s
a n a g ra m m a tic d e r iv a t io n : i t b e g in s a n d e n d s on M a th ild a 's u n iq u e p itc h des.
w h ile c o n t a i n i n g S c h o e n b e rg 's m onogram p itc h e s o f a , d, , a n d a s, a s w e ll a s th e
d. a n d c. w hich c a n be d e r iv e d fro m R ic h a rd . The i n i t i a l m elodic l e a p o f a m inor
s i x t h a l s o p ro v o k e s a c o m p ariso n w ith t h e T r i s t a n m otive. From t h e o p e n in g
m elo d ic l i n e , F ried h eim d i s t i l l s o n e b a s ic v e r t i c a l s o n o r i t y (exam ple 3.17).10
Exam ple 3.17. T r ic h o r d d e r i v a t io n o f m ain them e, Opus 11, no. 2; mm. 2 -3
The o p e n in g t h r e e n o te s fo rm a t r i c h o r d w hich i s r e o r d e r e d a n d tr a n s p o s e d in
t h e sec o n d t h r e e n o te s . T he l a s t tw o n o te s r e t u r n t o t h e i n i t i a l t r i c h o r d
w ith o u t t h e f i n a l a . T h is s i n g l e n o te fo rm s a l i n k w ith th e sec o n d p h ra s e by
p r o v id in g i t s f i r s t m elo d ic p itc h .
The g e s t u r e t h a t b e g in s t h e se c o n d p h r a s e (mm. 4 -5 , exam ple 3.12) p ro v id e s
s e v e r a l im p o r ta n t c o r r e l a t i o n s t o t h e f i r s t p ie c e o f Opus 11. I t s p itc h c o n te n t
p a r a l l e l s e x a c t l y th e t h i r t y - s e c o n d n o te sweep o f Opus 11, no. 1 (mm. 12-13). In
10F ried h eim , 456.
32
a d d itio n , t h e c o n t o u r s o f b o th g e s t u r e s show a m arked s i m i l a r i t y .
writ__
a. Met)
Exam ple 3.18. C o n to u r s i m i l a r i t y betw een Opus 11, no. 2, mm. 4 -5

an d Opus 11, no. 1, mm. 12 -1 3
R e ib le f u r t h e r s t h e co m p ariso n by n o t i n g t h a t i n t h e f i r s t p ie c e e s ( r e p r e s e n tin g
S c h o en b e rg ) o c c u r s a t t h e b e g in n in g o f t h e sweep a n d f i s (g e s. G e r s t l's u n iq u e
p itc h ) a t t h e end. In t h e se c o n d p iece , t h e p o s i t io n s a r e r e v e r s e d , p e rh a p s
i n d i c a t i n g a r e v e r s a l i n r o l e s r e l a t i v e t o M a th ild e .11 The m elo d ic l i n e o f t h i s
g e s t u r e i s c l e a r l y d e r iv e d fro m t h e f i r s t f i v e m u s ic a l p i t c h e s o f M a th ild e
S c h o e n b e rg 's name (M a th ild e S c h o e n b e rg , w ith t h e e l i s i o n o f t h e tw o nam es
c r e a t i n g des). p r e s e n te d i n t h e i r e x a c t o r d e r o f o c c u rre n c e . The h a rm o n ie s u n d e r
t h e m elo d ic l i n e a r e e a s i l y u n d e r s to o d a s v e r t i c a l p r e s e n t a t i o n s o f t h e t r i c h o r d
t h a t fo rm s t h e o p e n in g m elody, co m p rised o f a w hole s t e p a n d a t r i t o n e . The
seco n d p h r a s e a l s o f u n c t i o n s a s a v e h ic le to g r a d u a l l y s h i f t t h e r h y th m ic fo c u s
fro m u n s t a b l e t o s t a b l e . S c h o e n b e rg tw ice v a r i e s t h e f i n a l t h r e e n o te s o f i t s
o p e n in g g e s t u r e b e f o r e a c h ie v in g a s u s t a i n e d f e e l i n g o f s t a b l e d u p le m eter on
" R e ib le , 239.
33
th e t h i r d a tte m p t (mm. 7 -8 ; exam ple 3.19).
Exam ple 3.19. R h y th m ic a lly s t a b l e p h r a s e , d u p le m eter

Opus 11, no. 2, mm. 7 -8
A f te r t h e o s t i n a t o comes t o a s t o p (m. 9), t h e com poser r h y t h m i c a l l y a u g m e n ts t h e
f i r s t t h r e e n o t e s o f t h e se c o n d p h r a s e a n d p r e s e n t s them i n v a r ie d se q u e n c e ,
b e f o r e f i v e s t r i n g e n d o c h o r d s b r i n g t h e sec o n d p h r a s e t o an end. The t e r n a r y
fo rm o f t h e e x p o s i t o r y s e c tio n i s r e a l i z e d a f t e r a fe r m a ta , w ith t h e r e a p p e a r a n c e
o f t h e p r i n c i p a l m elody a n d t h e a c c o m p a n y in g o s t i n a t o (mm. 13-15).
T he s h o r t f o u r - b a r s e c o n d a r y them e r e p r e s e n t s t h e m ost s t a b l e r h y th m ic
s e c tio n o f t h e p iece. T h is p a s s a g e i s h i g h l y r e m in is c e n t o f t h e p ia n o m usic o f
B rahm s, w ith i t s l y r i c a l m elody, w id e ly sp ac ed c h o r d s a n d s te p - w is e v o ic e -
le a d in g . The o p e n in g t h r e e n o te s a r e e x a c t l y t h o s e o f t h e m ain them e, w ith t h e
T r i s t a n c h o r d a p p e a r in g b r i e f l y o n t h e f i r s t b e a t o f m. 16 (exam ple 3.20).
Exam ple 3.20. R e fe re n c e t o t h e T r i s t a n c h o rd

Opus 11, no. 2, m. 16
34
The se c o n d p h r a s e o f t h e l y r i c a l s e c o n d a ry them e b e g in s (m. 18) w ith a d i s t i n c t
r e f e r e n c e t o t h e U rm o tif i n i t s u n tr a n s p o s e d fo rm . The f i r s t tw o m elo d ic n o te s
a r e t h e sam e a s t h e o p e n in g n o te s o f t h e f i r s t p ie c e . A f te r t h e h i g h e s t p o i n t o f
t h e f o u r - b a r them e Cm. 18, b e a t 3), a t r a n s p o s i t i o n o f t h e U rm o tif i s c l e a r l y
h e a rd i n t h e r i g h t h a n d (exam ple 3.21).
5ET5
Exam ple 3.21. T r a n s p o s iti o n s o f t h e U rm o tif l i n k e d w ith SETS

Opus 11, no. 2, mm. 1 8 -1 9
The f i g u r e a p p e a r s tw ic e m ore i n m. 19 i n t h e g r o u p s o f s i x t e e n t h - n o t e s in t h e
l e f t h a n d . The h a rm o n y on t h e d o w n b e at o f t h i s m e a su re i s a n i n v e r s i o n o f SETS,
th u s p r o v id i n g s u p p o r t f o r t h e a p p e a ra n c e s o f t h e U rm o tif (exam ple 3.21).
S c h o e n b e rg c o n n e c ts t h i s s e c ti o n w ith t h e f o l l o w i n g d ev e lo p m e n t b y o n ce a g a in
e m p lo y in g a tw o n o t e o v e r la p : t h e f i n a l n o te s o f t h e s e c o n d a ry s e c tio n a r e
r e p e a te d t o b e g in t h e o s t i n a t o o f t h e d ev e lo p m e n t s e c tio n .
The f i r s t d e v e lo p m e n t s e c ti o n p r e s e n t s r h y th m ic m o tio n s i m i l a r t o t h a t o f
th e e x p o s itio n . A n e b u lo u s b e g in n in g m oves to w a rd a m ore s t a b l e a r e a , a n d th e n
b a c k t o t h e n e b u lo u s s t a t e . R h y th m ic s t a b i l i t y i s a c h ie v e d b y m. 24, w h ere d u p le
35
m e te r i s c l e a r l y in d i c a t e d b y t h e s l u r s i n t h e l e f t - h a n d (exam ple 3.22).
Exam ple 3.22. R h y th m ic a lly s t a b l e a r e a , d u p le m eter

Opus 11, no. 2, m. 24
The r h y th m ic f i g u r e i n t h e f o l l o w i n g m easu re s t i l l m a in ta in s a c l e a r p u ls e .
However, t h e re e m e rg e n c e o f t h e o s t i n a t o i n m. 26 im m e d ia te ly b e g in s t o c lo u d t h e
is s u e . A v a r i a t i o n o n t h e se c o n d phr~ .se o f t h e e x p o s itio n e n d s t h e d e v e lo p m e n t
(mm. 2 6 -2 8 ), b u t t h i s tim e t h e r h y th m ic s t r u c t u r e o f t h e g e s t u r e becomes u n c l e a r
a n d a n y s e n s e o f p u l s e i s l o s t . An e x p e c i a ll y d r a m a tic m easu re i n t h e m id d le o f
t h e d e v e lo p m e n t s e c tio n (m. 25; exam ple 3.23) i s e x tre m e ly n o te w o r th y b e c a u se o f
i t s h i g h l y - c o n t r a s t e d e x p r e s s i o n is t d y n am ics, a s w e ll a s t h e s a t u r a t i o n o f th e
h a rm o n y w ith s ix t r a n s p o s i t i o n s o f t h e p rim a l c e l l .
Exam ple 3.23. E x p r e s s io n is t dy n am ics, Opus 11, no. 2, m. 25
The se c o n d d e v e lo p m e n t s e c ti o n is c h a r a c te r i z e d by its c o n tin u a l
fr a g m e n te d p r e s e n t a t i o n o f id e a s . The s h o r t , e n ig m a tic tw o -b a r i n t e r l u d e w ith
w hich i t o p en s (mm. 2 9 -3 0 ) c o n t a i n s r e l a t i o n s h i p s d ra w n fro m e a r l i e r p o r t i o n s o f
t h e p ie c e . The b a s s d .-f d y a d i s a v e r t i c a l p r e s e n t a t i o n o f t h e o s t i n a t o a t i t s
36
o r i g i n a l p i t c h l e v e l . The p i t c h m a t e r ia l o f t h e m elo d ic l i n e i s a r e o r g a n i z a t i o n
o f p itc h e s fro m t h e r i g h t - h a n d o f t h e p re c e d in g m easu re. F u rth e rm o re , t h e
t r i c h o r d fo rm e d by t h e l a s t t h r e e m elo d ic n o te s o f m. 29 (ji.-a.-e) a n d t h e m elo d ic
n o te s o f m. 30 td.b-a .b-_eb) c a n be view ed a s c h r o m a tic a l t e r a t i o n s o f t h e f i r s t t h r e e
n o te s o f t h e m ain them e (Lb- a - e .b) (exam ple 3.24).
Exam ple 3.24. D e r iv a tio n o f tw o -b a r i n t e r l u d e

Opus 11, no. 2, mm. 2 8 -3 0
The f o llo w in g tw o - b a r p h r a s e (mm. 31-3 2 ) s e r v e s a s a re m in isc e n c e o f t h e l y r i c a l
s e c o n d a ry them e. When t h e i n t e r l u d e w hich b e g a n th e s e c tio n r e c u r s (mm. 33-34),
its firs t p h ra se has b een rh y th m ic a lly a lte re d , and th e second p h ra se
m e lo d ic a lly changed. The b ass p r o g r e s s io n in m. 34 p re s e n ts a c le a r
t r a n s p o s i t i o n o f t h e U rm o tif (exam ple 3.25).
Exam ple 3.25. A p p earan ce o f t h e U rm o tif. Opus 11, no. 2, m. 34
A f te r t h e i n t e r l u d e re tu rn s fo r o n e b a r (m. 38), a h i g h l y c ry p tic
i n t e r r u p t i v e e v e n t c o m p le te ly s u s p e n d s w h a t l i t t l e c o m p o s itio n a l momentum t h e
37
p ie c e h a d p r e v io u s l y g a in e d (m. 39; exam ple 3.26).
6kU D im p fm i u r i A *M )
Exam ple 3.26. I n t e r r u p t i v e e v e n t, Opus 11, no. 2, m. 39
S e e m in g ly u n r e la t e d m o t iv i c a l ly t o a n y o th e r m a te ria l in t h e p iece , t h i s
phenom enon i s b e s t view ed a s a p i a n i s t i c exam ple o f K la n g fa rb e n m e lo d ie . w here
s h e e r s o u n d i s e le v a te d t o t h e l e v e l o f m elo d ic im p o rta n c e . T h is g e s t u r e ,
h o w ev er, r e l a t e s t o t h e p ie c e i n a n e v e n m ore n o n - t r a d i t i o n a l m anner. I t s t a n d s
in co m p lete n u m e ro lo g ic a l a g re e m e n t w ith p r e c e d e n ts e s t a b l i s h e d in t h e f i r s t
p ie c e o f Opus 11. I t c o n t a i n s e x a c t l y e le v e n o f t h e p o s s ib le tw e lv e c h r o m a tic
p itc h e s (e x c lu d in g g), a n d o c c u r s th re e s e p a ra te tim e s d u r i n g th e w ork.
A d d itio n a lly , t h e h e ld c h o rd i n t h e m id d le o f t h e f i g u r e c o u ld be c o n s id e r e d
n u m e r o lo g ic a lly s i g n i f i c a n t f o r i t s t h r e e f l a t s in t h e r i g h t h a n d a n d t h r e e
n a t u r a l s in t h e l e f t h an d . The l y r i c a l s e c o n d a ry them e a p p e a rs a g a in a f t e r th e
i n t e r r u p t i v e e v e n t (mm. 40-42), t r a n s p o s e d down a f i f t h . I f th e o s t i n a t o i s n o t
c o n s id e r e d a t o n a l d e v ic e , t h e t r a n s p o s i t i o n o f e n t i r e th e m a tic id e a s (b o th
h a r m o n ic a lly a n d m e lo d ic a lly ) i s t h e l a s t m ajo r re m n a n t o f t o n a l p ro c e d u re in
Opus 11, no. 2. The d r i v e t o t h e c lim a x o f t h e p ie c e i s a c c o m p lish e d t h r o u g h t h e
rh y th m ic v a r i a t i o n o f a f r a g m e n t ta k e n fro m t h e e x p o s itio n 's s e c o n d p h ra s e . The
s i x t e e n t h - n o t e f i g u r e i s s im u lta n e o u s ly seq u e n ced , fra g m e n te d , a n d d e v e lo p e d in
a c a n o n a t t h e m inor seco n d , w h ile c a s c a d in g up w ard t o t h e c lim a x on g. (m. 44;
38
ex am p le 3.27).
PP mac.
PP
Exam ple 3.27. D riv e t o th e c lim a x on g.

Opus 11, no. 2, mm. 4 3 -4 5
I t c a n n o t be c o i n c i d e n ta l t h a t t h e c lim a c tic n o te o f t h e p ie c e i s t h e o n e p i t c h
m is s in g fro m t h e i n t e r r u p t i v e e v e n t. A slo w d e s c e n t im m e d ia te ly commences w ith
f a l l i n g t r i l l s i n t h e r i g h t h a n d a n d a v a r i a t i o n o f t h e sec o n d p h r a s e i n t h e l e f t
hand. The m usic d i s i n t e g r a t e s i n t o a t h r e e - f o l d p r e s e n t a t i o n o f a t r u n c a t e d
v e r s io n o f t h e i n t e r r u p t i v e e v e n t (mm. 48-49). A f te r a n e x te n d e d v a r i a n t o f t h e
i n t e r l u d e (mm. 51 -5 4 ), t h e o s t i n a t o re su m e s o n ce a g a in a n d t h e r e c a p i t u l a t i o n
b e g in s i n m. 55.
The f i n a l tw e lv e b a r s o f t h e p ie c e p r e s e n t a l l o f t h e th e m a tic m a t e r i a l a t
i t s o r i g i n a l p i t c h l e v e l . A f t e r a n e x te n d e d v e r s io n o f t h e o p e n in g m elo d ic id e a
(mm. 5 5 -5 8 ), t h e s e c o n d a ry them e a p p e a r s a t i t s o r i g i n a l p i t c h l e v e l . T h is tim e,
h o w ev er, i t s r h y th m ic c l a r i t y i s o b s c u r e d by t h e m a in te n a n c e o f t h e o s t i n a t o in
th e l e f t hand. Tow ard t h e end o f t h e s e c o n d a ry id e a , t h e o s t i n a t o b e g in s t o
move aw ay fro m i t s d .-f d y a d b e f o r e i t v a n is h e s (m. 62). The f i n a l f o u r b a r s
p r o v id e a k a le id o s c o p ic c o n c lu s io n t o t h e w ork: th e in te r lu d e o cc u rs f o r th e
l a s t tim e, t h e i n t e r r u p t i v e f i g u r e a p p e a r s i n r h y th m ic a u g m e n ta tio n , a n d t h e
o p e n in g g e s t u r e o f t h e se c o n d p h r a s e m e lts i n t o t h e f i n a l c h o r d s o f t h e p iece.
In a s t r i k i n g p a r a l l e l w ith t h e f i r s t p iece , t h e b a s s n o te o f t h e l a s t s o n o r i t y
i s S c h o e n b e rg 's m onogram p i t c h gs, w h ile t h e c h o r d a b o v e i t i s a v e r s io n o f t h e
39
p rim a l c e l l (exam ple 3.28).
Exam ple 3.28. F in a l c h o rd o f Opus 11, no. 2
Opus 11, no. 2 r e p r e s e n t s a f u r t h e r e v o l u t i o n o f t h e c o m p o s itio n a l
p ro c e d u re s fo llo w e d i n th e f i r s t p iece. T ra d itio n a l fo rm a l s t r u c t u r e is
ab a n d o n ed , and th e m u s ic a l a c tiv ity becomes in c re a s in g ly fra g m e n te d .
N o n e th e le s s , th e m a tic r e l a t i o n s h i p s s t i l l p e rm e a te a l l a s p e c ts o f t h e p ie c e . The
n e x t l o g i c a l s t e p i n S c h o e n b e rg 's a t o n a l o d y s s e y t r a n s p i r e s i n Opus 11, no. 3:
th e a lm o s t to ta l abandonm ent of re la tio n s and th e ir c o r r e s p o n d in g
o r g a n i z a t i o n a l c a p a c ity .
The e ss e n c e o f Opus 11, no. 3 i s c o n t r a s t . W ith o u t t h e th e m a tic a n d t o n a l
d iv e r g e n c e i m p li c i t in th e v o c a b u la r y of common p ra c tic e h arm o n y , th is
e x t r a o r d i n a r i l y i n t e n s e m i n ia tu r e r e l i e s on a c o n t r a s t o f moods, t e x t u r e s ,
d i s j u n c t m elo d ic l i n e s , a n d com plex r h y th m ic a c t i v i t y t o d e te rm in e i t s fo rm . Due
t o i t s l a c k o f t r a d i t i o n a l m u s ic a l c o h e re n c e , i t f o l l o w s t h a t a n y a n a l y s i s o f t h e
w ork i s s i m i l a r l y d i s j o in t e d . S c h o e n b e rg 's "a m b a ssa d o r a t t h e p ia n o , E d u a rd
S te u e rm a n n , b e s t d e s c rib e d t h e r a d i c a l n a t u r e o f t h i s p iece :
A b a n d o n in g a l l p r o v a b le th e m a tic s , t h i s p ie c e b u i l d s t o a clim ax b y
f r e e l y u n f o l d i n g i t s i n n e r m u s ic a l s p i r i t . H ere i t i s l e f t t o com ing
g e n e r a t i o n s t o p ro v e t o w h a t e x t e n t th e m a tic s o r m o tiv ic s h a v e
re m a in e d o b l i g a t o r y , a n d i n w h a t way t h e s t r u c t u r e f o llo w s t h e
e t e r n a l la w s o f m u s ic a l c r e a t i o n . F o r u s i t i s s u f f i c i e n t t o f e e l
t h e pow er a n d t h e l o g i c o f t h i s m u s ic a l la n g u a g e , a n d t o lo o k up o n
40
t h i s w o rk a s p u r e " e x p re s s io n ," F u l f i l l i n g la w s t h a t h a v e n o t y e t
been d is c o v e r e d .12
The tw o m ost s t r i k i n g a s p e c ts o f Opus 11, no. 3 a r e se e m in g ly in c o n g ru o u s :
i t s m eter a n d n u m ero u s tem po c h a n g e s. F o r a l l b u t t h e p e n u ltim a te 3 /8 b a r , t h e
e n t i r e c o m p o sitio n n e a t l y f i t s i n t o i t s 6 / 8 tim e s i g n a t u r e . However, m o tio n
w ith in t h e b a r s v a r i e s c o n s id e r a b ly . T h e re a r e t w e n t y - s i x d i r e c t i o n s f o r tem po
c h a n g e w ith in t h e t h i r t y - f i v e b a r s o f t h e p iece. T hese tem po i n d i c a t i o n s
d e m o n s tra te t h e p rim a ry p r i n c i p l e o f p r o g r e s s i o n i n t h e work: rh y th m .13 In
t h e m ost g e n e r a l te rm s , t h e fo rm o f t h e t h i r d p ie c e c a n be view ed in t h r e e
d i s t i n c t s e c tio n s :
S e c tio n One mm. 1 -4

S e c tio n Two mm. 5 -2 6
S e c tio n T h re e mm. 2 7 -3 5
The f i r s t s e c tio n r e p r e s e n t s th e o n l y f o u r c o n s e c u tiv e m easu res i n t h e
p ie c e f r e e fro m tem po c h a n g e . C o n tin u a l s i x t e e n t h - n o t e m otion p u n c tu a te d by
a rh y th m ic b a s s l i n e (mm. 1 -2 ) b r e a k s i n t o a f l u r r y o f t h i r t y - s e c o n d n o te s (m. 30
l2S te u e rm a n n , E d u ard . "The P ia n o M usic o f S c h o e n b e rg . In S ch o en b e rg , ed. M erle

A rm itag e. W e stp o rt, C o n n e c tic u t: G reenwood P re s s , 1977.
13F ried h eim , 5 2 5 -5 2 7 .
in
b e f o r e t h e s h a r p c h o r d s w hich c lo s e t h e p h r a s e (exam ple 3.29).
Bewegte J1
* M
m.
m
Exam ple 3.29. O pening f o u r b a r s o f Opus 11, no. 3
S e c tio n Two b e g in s w ith t h r e e o n e - b a r , r h y t h m i c a l l y u n d e f in e d i d e a s (mm. 5-7).
A b r i e f l y r i c p h r a s e (mm. 8 -9 ) i s fo llo w e d b y a n e q u a lly b r i e f , b u t v i o l e n t
o u t b u r s t (mm. 10-11). A new l y r i c a l p h r a s e (mm. 1 2 -1 3 ) i s fo llo w e d b y a m ore
e x te n d e d p e r io d o f i n s t a b i l i t y (mm. 14-18), b e f o r e t h e em ergence o f a t h r e e - b a r
s e c ti o n re m in is c e n t o f t h e o p e n in g (mm. 19-21). An e x tre m e ly am b ig u o u s a r e a (mm.
2 2 -2 3 ) p re c e d e s t h e f i n a l p r e s e n t a t i o n o f a l y r i c p h r a s e (m. 24-2 6 ), w hich i s
fo llo w e d by a l a s t o u t b u r s t h e r a l d i n g t h e e n d o f t h e seco n d s e c tio n . W hile t h e
t h i r d s e c tio n c o n tin u e s t h e p a t t e r n o f f r e q u e n t tem po c h a n g e s, t h e c o n tin u o u s
m o tio n o f i t s f i r s t f i v e b a r s g e n e r a t e s a w h irlw in d o f so u n d a n d momentum t h a t
is in te rru p te d by a n a p p a r e n t o s t i n a t o f i g u r e (mm. 32-33). The o s t i n a t o
d i s i n t e g r a t e s i n a su d d e n d e c re sc e n d o , b e f o r e an e n ig m a tic f i n a l g e s tu r e .
U2
The c l e a r l y n o t a t e d 6 /8 m e te r o f Opus 11, no. 3 i s d i s t u r b e d o n l y o n ce
d u r i n g th e c o u r s e o f t h e w ork. H h ile S c h o e n b e rg s m o tiv a tio n F o r t h e c h a n g e t o
3 /8 i n th e p e n u ltim a te b a r i s u n c le a r , t h e m ost l o g i c a l e x p l a n a t io n a s s e r t s t h a t
h e w ished t o p la c e t h e l a s t n o te o f t h e p ie c e on t h e do w n b eat. In t h e c o n te x t o f
a s t a b l e rh y th m ic p u ls e , t h i s w o u ld seem p l a u s i b l e . T he a m o rp h o u s rh y th m ic
e n v iro n m e n t o f t h e f i n a l m e a su re s, how ever, r e n d e r s t h e p r o j e c t io n of a
d o w n b eat on th e f i n a l n o te im p o s s ib le (exam ple ? 30).
PPP.
Exam ple 3.30. C hange t o 3 /8 m e te r i n p e n u ltim a te b a r

Opus 11, no. 2, mm. 3 2 -3 5
By d e f i n i t i o n , a n a th e m a tic w ork c o n s i s t s o f a c o n t i n u a l l y c h a n g in g flo w
o f id e a s w hich r e l a t e n e i t h e r t o e a c h o t h e r o r a n y o u t s i d e i n f lu e n c e . At f i r s t
g la n c e , S c h o e n b e rg seem s t o h a v e w r i t t e n a t r u l y a th e m a tic w ork i n Opus 11, no.
3. A s t r i c t l y m u s ic a l a n a l y s i s o f t h e p ie c e becomes much m ore d i f f i c u l t th a n i n
t h e f i r s t two w o rk s o f Opus 11, a n d t h e v a lu e o f s u c h a n a n a l y s i s o f t e n a p p e a r s
q u e s tio n a b le . T h e r e fo r e , t h e few c o r r e l a t i o n s t h a t c a n b e re c o g n iz e d a m id st t h e
t u r m o i l g a in ev en m ore s i g n i f i c a n c e .
43
The o n l y d i s c e r n i b l e s t r u c t u r a l r e l a t i o n s h i p w ith in Opus 11, no. 3 i s a
t h r e e b a r " r e c a p i t u l a t i o n " o f t h e o p e n in g g e s t u r e (mm. 1 9 -2 1 ; exam ple 3.311
Si
t t ili
S ri
lit . .
Exam ple 3.31. R e c a p i tu l a t i o n o f o p e n in g m a t e r ia l

Opus 11, no. 2, mm. 19-21
In a c c o rd a n c e w ith S c h o e n b e rg s p r i n c i p l e o f v a r i e d r e p e t i t i o n , t h e e le m e n ts o f
th e o p e n in g s e c tio n h a v e been f a s t i d i o u s l y r e a r r a n g e d . The r i g h t - h a n d f i g u r e
in t h e f i r s t h a l f o f m. 19 p r e s e n t s a c l e a r r e t r o g r a d e o f t h e o p e n in g b a s s
rh y th m ( t h r e e s i x t e e n t h s a n d a d o t t e d e ig h th ). The sec o n d h a l f o f t h a t same
r i g h t - h a n d p a r t p a r o d ie s a s i m i l a r d e s c e n d in g f i g u r e i n t h e sec o n d m e a su re o f
t h e p iece . The c o n t i n u a l s i x t e e n t h - n o t e r h y th m ic flo w w hich f o l l o w s (m. 20)
seem s re m in is c e n t o f t h e r h y th m ic d r i v e in t h e f i r s t m easure. An i n n e r v o ic e o f
f o u r s i x t e e n t h - n o t e s a t t h e b e g in n in g o f m. 21 c l e a r l y p a r a l l e l s a s i m i l a r i n n e r
v o ic e a t t h e b e g in n in g o f t h e w ork. B oth t h e o p e n in g a n d t h e " r e c a p i t u l a t i o n "
e n d s i m i l a r l y , c o n c lu d in g w ith a r u s h o f t h i r t y - s e c o n d n o te s p u n c tu a te d by a
lo u d c h o rd .
The o p e n in g g e s t u r e a l s o c o n t a i n s s e v e r a l r e f e r e n c e s t o t h e f i r s t tw o
p ie c e s i n Opus 11. The i n i t i a l r i g h t - h a n d t r i c h o r d i s a t r a n s p o s i t i o n o f t h e
U rm o tif. a n d Lewin h a s show n t h a t t h e e n t i r e p i t c h c o l l e c t i o n fro m t h e f i r s t
m easu re r e p l i c a t e s s t r u c t u r a l l y i m p o r ta n t m a t e r i a l fro m t h e e p is o d e i n m. 12 o f
44
t h e f i r s t p ie c e (exam ple 3.3 2 ).14
Bewegte J*
aril D&mpi
a PtiMli
Exam ple 3.32. D e r iv a tio n o f o p e n in g p i t c h e s o f Opus 11, no. 3

fro m Opus 11, no. 1, m. 12
A l e s s o b v io u s c o n n e c tio n c a n be d e r iv e d fro m t h e o u t l i n e o f t h e o p e n in g b a s s
l i n e , w hich u t i l i z e s t h e same p i t c h m a t e r i a l a s t h e p r i n c i p a l them e o f Opus 11,
no. 2 (exam ple 3.3 3 ).15
Exam ple 3.33. O pening b a s s l i n e o f Opus 11, no. 3 com pared w ith
th e p r i n c i p a l them e o f Opus 11, no. 2
,4D avid Lewin, "Some N otes o n S c h o e n b e rg 's Opus 11," In T h e o ry O n ly 3. no . 1 (A p ril

1977): 3 -5 .
15Lewin, 6 -7 .
45
An a n a l y s i s o f t h e r i g h t - h a n d t h i r t y - s e c o n d n o te f l o u r i s h (mm. 2 -3 ; exam ple 3.34)
show s m any e le m e n ts u se d i n t h e c o n s t r u c ti o n o f t h e f i r s t tw o p ie c e s o f Opus 11:
t r a n s p o s i t i o n s a n d r e o r d e r i n g s o f t h e U rm o tif. a u g m e n te d t r i a d s , t h e a - d.
m onogram dy ad , a n d a s l u r r e d p r e s e n t a t i o n o f t h e f i r s t tw o n o te s o f Opus 11, no.
1 a t t h e i r o r i g i n a l p itc h le v e l .
Exam ple 3.34. T h ir ty - s e c o n d n o te f l o u r i s h , Opus 11, no. 3, m. 3
The m a jo r t h i r d s f o u n d i n t h e t r e b l e p a r t o f t h e f i r s t tw o b a r s s e r v e t o u n i f y
t h e w ork on a m ore s u b t l e l e v e l , a p p e a r in g t h r o u g h o u t t h e p ie c e a s d e s c e n d in g
t h i r d s (mm. 5 a n d 7), a d e s c e n d in g b a s s l i n e (m. 14), a n d b o th m e lo d ic a lly an d
h a r m o n ic a lly (mm. 29-31).
Any a n a l y s i s o f Opus 11, no. 3 m ust d e m o n s tra te a n a w a re n e s s o f t h e
c o n t i n u a l a p p e a ra n c e o f t h e p rim a l c e l l a n d SETS t h r o u g h o u t t h e piece.
U n q u e stio n a b ly , th e s e s o n o r i t i e s r e l a t e t h e w ork t o t h e o t h e r m ovem ents o f Opus
11. In t h e c o m p o s itio n a l s y n t a x o f t h e e a r l i e r p ie c e s , ho w ev er, i d e n t i f i c a t i o n
o f t h e p r im a l c e l l a n d SETS s e r v e d t o c l a r i f y t h e s t r u c t u r e o f t h e w orks. A
d e t a i l e d i n v e n t o r y o f t h e s e s o n o r i t i e s an d t h e i r u s a g e in t h e t h i r d p ie c e w ould
be a l e n g t h y p r o p o s itio n , b u t w ould p ro v e n o th in g . In no. 3, th e s e s o n o r i t i e s
p e rm e a te t h e p ie c e t o s u c h a n ex tre m e t h a t t h e y become s u b o r d i n a t e t o t h e
e x p r e s s iv e i n t e n t o f t h e com poser a n d r e t a i n no v e s t i g e o f s t r u c t u r a l i n t e g r i t y .
46
N o n - t r a d i t i o n a l m ethods o f c o m p o s itio n a l o r g a n i s a t i o n rem ain q u ite
a p p a r e n t i n t h e l a s t p ie c e o f Opus 11. The c h o rd a n d m elodic t r i t o n e (mm. 4 -5 )
t h a t c o n c lu d e t h e o p e n in g g e s t u r e (exam ple 3.35) encom pass t h e same c o l l e c ti o n
o f e le v e n p itc h e s a s th e m y s te rio u s i n t e r r u p t i v e f i g u r e (m. 39) i n t h e sec o n d
p iece.
poca
Exam ple 3.35. C hord an d t r i t o n e c o n c lu d in g o p e n in g g e s t u r e

Opus 11, no. 3, mm. 4 -5
In a d d itio n , t h e t r i t o n e e n h a r m o n ic a lly r e p r e s e n t s S c h o e n b e rg 's m onogram , g. -
g g .16 A n o th e r r e f e r e n c e t o t h e i n t e r r u p t i v e f i g u r e fro m t h e Opus 11, no. 2 i s
se e n la te r in th e th ird p iece, p r o v id in g a s i m il a r exam ple o f p i a n i s t i c
K la n g fa rb e n m e lo d ie (mm. 1 7 -1 8 ; exam ple 3.36).
elm s Ingttm tr
Exam ple 3.36. K lan farb e n m e lo d x e in Opus 11, no. 3, mm. 1 7 -1 8
14R e ib le , 297.
N ot s u r p r i s i n g l y , t h i s e p iso d e a l s o i n c o r p o r a t e s o n l y e le v e n p itc h e s . The
c r y p t i c f i n a l g e s t u r e o f t h e p ie c e (exam ple 3.37) ca n a l s o be view ed fro m a n o n -
t r a d i t i o n a l a n a l y t i c a l p e r s p e c tiv e .
Exam ple 3.37. F i n a l g e s t u r e , Opus 11, no. 3
The s im u lta n e o u s .- d r e f l e c t s t h e j u n c t u r e i n "A rnolci S c h o e n b e rg ," w h ile t h e
o c ta v e i n t h e b a s s (c is o r des) r e p r e s e n t s M a th ild e 's u n iq u e p itc h . The f i n a l h
s e r v e s t o en d t h e s e t o n t h e sam e p i t c h w ith w hich i t b e g a n , w h ile p a y in g f i n a l
hom age t o t h e T r i s t a n P r e lu d e w hich e n d s i n h. m ajo r.
In t h e end, a n y a n a l y s i s o f t h e t h i r d p ie c e fro m Opus 11 seems in c o m p le te .
Due t o i t s r e l a t i v e la c k o f s t r u c t u r a l la n d m a r k s a n d c o m p o s itio n a l r e l a t i o n s ,
t h e w ork v i r t u a l l y d e n ie s s t r a i g h t f o r w a r d , t r a d i t i o n a l a n a l y s i s . I f t r a d i t i o n a l
f o r m a l c o n v e n tio n s a r e view ed a s a m o ra l f i l t e r t h r o u g h w hich a com poser
co m m unicates h i s in n e rm o s t f e e l i n g s , t h e n t h i s c o m p o s itio n i s t r u l y t h e f i r s t
e x p r e s s i o n i s t w ork f o r p ia n o . I t s l i m i t l e s s a b a n d o n a n d r e c k l e s s c o n f r o n t a t i o n
o f u n r e lie v e d c o n t r a s t s d e s t r o y a l l v e s t i g e s o f fo rm , t h e r e b y a llo w in g t h e
O e m o tio n al p e a k s a n d v a l l e y s o f t h e p ie c e t o become a f o r m a l g u id e t h r o u g h t h e
s to rm s o f i t s m u s ic a l c o n te n t.
C h a p te r 4
THE SCHOENBERG-BUSONI RELATIONSHIP
The "K o n zertm aflig e I n t e r p r e t a t i o n "
One o f t h e m ost f a s c i n a t i n g m u s ic a l r e l a t i o n s h i p s o f t h e tw e n tie th
c e n t u r y d e v e lo p e d betw een A rn o ld S c h o e n b e rg a n d F e r r u c io B usoni. W hile b o th
men s h a r e d a common v i s i o n o f a new mode o f m u s ic a l e x p r e s s io n , t h e i r m eans o f
a c h ie v in g t h i s new e x p r e s s io n d i f f e r e d g r e a t l y . S c h o e n b e rg , a s a com poser,
s o u g h t t o a c h ie v e h i s g o a l t h r o u g h b r e a k i n g down c o n v e n ti o n a l a e s t h e t i c
r e s t r i c t i o n s a n d s t r i k i n g o u t on a n e n t i r e l y new an d i n d i v i d u a l p a th . B u so n i,
b o th a com poser an d w o rld -fa m o u s p ia n o v irtu o s o , b e lie v e d th a t th e
r e s p o n s i b i l i t i e s o f a com poser w ere t o e x p lo r e new a v e n u e s o f e x p r e s s io n w ith o u t
d e v e lo p in g a r e f i n e d p e r s o n a l s t y l e , w h ile a t t h e same tim e f r e e l y i n t e g r a t i n g
a n y " v ia b le e le m e n ts fro m t h e p a s t w ith th o s e o f t h e p r e s e n t, r a t h e r th a n
s e e k in g t o a v o id th e m ." 1 The d i f f e r e n t p e r s p e c tiv e s o n t h e same g o a l le d t o an
uneasy u n io n betw een th e tw o men th a t is c le a rly d e f in e d in th e ir
c o rre s p o n d e n c e s p a n n in g t h e y e a r s 1903 t o 1919.
Of p a r t i c u l a r n o te a r e t h e l e t t e r s d e a li n g g e n e r a l l y w ith S c h o e n b e rg 's
Opus 11 p ia n o p ie c e s and s p e c ific a lly w ith B u so n i's "K onzertm aflige
I n t e r p r e t a t i o n " o f t h e se c o n d p iece . A d e t a i l e d d is c u s s io n o f F e r r u c io B u so n i's
c o m p o s itio n a l o u t p u t i n t h e fo rm o f t r a n s c r i p t i o n s i s b e y o n d t h e sco p e o f t h i s
'D a n ie l R a e s s le r , " S c h o e n b e rg a n d B u so n i: A sp ects o f t h e i r R e la tio n s h ip ," J o u r n a l

o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 7. no. 1 (J u n e 1983): 26.
48
49
docum ent. However, a b r i e f c o m p a riso n betw een th e o r i g i n a l v e r s io n o f Opus 11,
No. 2 w ith t h e B u so n i p a r a p h r a s e w i l l h e lp t o c l a r i f y a l a t e r d is c u s s io n o f t h e
S c h o e n b e rg / B u so n i c o rre s p o n d e n c e .
I n o r d e r t o sm o o th o u t t h e a n g u l a r , h a r s h , d is c o r d a n t, o f t e n ja g g e d
c o n t o u r s o f t h e o r i g i n a l , B u so n i m akes t h r e e m ajo r ty p e s o f c h a n g e s : e x te n s io n
o f c a d e n t i a l a n d s t r u c t u r a l l y i m p o r ta n t p h ra s e s , c h a n g e s i n f i g u r a t i o n , an d
s l i g h t h a rm o n ic a l t e r a t i o n s . A ll t h r e e ty p e s o f t r a n s f o r m a t i o n s f r e q u e n t l y
in c lu d e t h e u s e o f r e g i s t r a l s h i f t s . In mm. 1 1 -1 5 , mm. 3 5 -3 7 , m. 46, mm. 7 3 -7 4 a n d
mm. 7 6 -7 8 B u so n i e x te n d s c a d e n t i a l p o i n t s by d i s s o lv i n g t h e f i n a l m u s ic a l id e a
t h r o u g h a s e r i e s o f r e g i s t r a l c h a n g e s (exam ple 4.1).

TV '''.
i: JL
Exam ple 4.1. C a d e n tia l e x te n s io n i n t h e K onzertm aflige I n t e r p r e t a t i o n , mm. 3 5 -3 7

com pared w ith t h e o r i g i n a l v e r s io n m. 32
I t i s m a in ly t h e s e e x te n s io n s w hich a c c o u n t f o r t h e f a c t t h a t t h e t r a n s c r i p t i o n
i s tw e lv e m e a su re s l o n g e r t h a n t h e o r i g i n a l . In m easu re 27, B u so n i n u t o n l y
50
e x te n d s t h e f i g u r e fro m t h e p r e v io u s m e a su re down a n o c ta v e , b u t h e a l s o ad d s
a n o te t o e a c h s o n o r i t y i n t h e l e f t h an d , t h e r e b y r e i n f o r c i n g w h a t h e may h a v e
p e rc e iv e d a s t h e r o o t o f a n in c o m p le te d o m in a n t c h o r d (exam ple 4.2).
Exam ple 4.2. H arm onic a d d it i o n i n B u so n i's t r a n s c r i p t i o n , m. 27

com pared w ith t h e o r i g i n a l v e r s io n m. 24
A n o th e r i n s t a n c e o f s l i g h t h a rm o n ic a l t e r a t i o n a p p e a r s in t h e p a s s a g e i n mm. 3 5 -
37 (exam ple 4.1), w h e re B u so n i w a v e rs betw een c - n a t u r a l a n d c - f l a t w h ile in
e f f e c t r e - w r i t i n g t h e p r e v io u s tw o b a r s . S c h o e n b e rg v o ic e d h i s o b je c tio n s to
t h i s k in d o f i n t e r p o l a t i o n b y B u so n i i n h i s l e t t e r d a te d J u l y 3, 1910:
A lso t h e h a rm o n ic a d d itio n s ! I f i n d t h e s e p a r t i c u l a r l y d u b io u s .
A c co rd in g t o my s e n s e o f form , i t i s n o t t h e same i f a c h o rd h a s
t h r e e o r f o u r n o te s . T h is c a u s e s a s h i f t i n g o f t h e b a la n c e .2
One n o t a b l e c h a n g e i n f i g u r a t i o n o c c u rs in t h e b a r s l e a d i n g up t o th e
clim ax o f t h e p iece . H ere, B u so n i a c t u a l l y s i m p li f i e s S c h o e n b e rg 's o r i g i n a l
2A n to n y Beaum ont, ed., F e r r u c i o B u so n i: S e le c te d L e t t e r s (London: F a b e r a n d F ab er,

L td., 1987), 403.
51
n o t a t i o n , w h ile e l i m in a t in g t h e c a n o n a t t h e sec o n d (mm. 5 0 -5 1 , exam ple 4.3).
Exam ple 4.3. B u ild u p t o t h e c lim a x .

K o nzertm aflige I n t e r p r e t a t i o n , mm. 5 0 -5 1
O r i g i n a l v e r s io n mm. 4 3 -4 4
A n o th e r im p o r ta n t f i g u r a l c h a n g e o c c u r s in t h e accom panim ent t o t h e l y r i c a l
sec o n d them e, w here B u so n i t a k e s th e o rig in a l e ig h th -n o te p a tte rn and
r e a r r a n g e s i t t h r o u g h r e p e a te d n o t e s a n d a r p e g g i a t i o n t o c r e a t e a more d en se
t e x t u r e (mm. 1 8 -2 1 ; exam ple 4.4).
I* -* -
Exam ple 4.4. L y r i c a l s e c o n d a ry them e, t r a n s c r i p t i o n m. 18

com pared w ith t h e o r i g i n a l v e r s io n , m. 16
W hile t h e c o m p o s itio n a l c h a n g e s made i n B u s o n i's t r a n s c r i p t i o n a r e n o t
p a r t i c u l a r l y s o p h i s ti c a t e d , t h e i r im p a c t on t h e c o m p o sitio n a s a w h o le i s
d ra m a tic . I t i s p o s s ib le t h a t t h e c o n c e r t v e r s io n was n o t a s u c c e s s d u e i n p a r t
t o t h e f a c t t h a t i t was p u b lis h e d s e p a r a t e l y fro m t h e o t h e r tw o w o rk s o f th e
op u s. I t seem s m ore l i k e l y , ho w ev er, t h a t t h e t r a n s c r i p t i o n n e v e r a c h ie v e d a n y
m e a s u ra b le s u c c e s s s im p ly b e c a u s e i t d i s r u p t s t h e e s se n c e o f t h e o r i g i n a l
v e r s io n . A n to n y B eaum ont, i n h i s r e c e n t s t u d y o f B u so n i t h e com poser, p la c e s t h e
"K o n zertm aflig e I n t e r p r e t a t i o n " i n t h e p r o p e r p e r s p e c tiv e :
A c o m p a riso n b etw een S c h o e n b e rg 's P ia n o P ie c e op. 11, no. 2 a n d

B u so n i's c o n c e r t a n t e t r a n s c r i p t i o n o f i t s t r i k i n g l y d e m o n s tra te s
t h e s t a t e o f h i s [B u so n is] e l e g i a c a r t : t h e h a r d , u n g r a c io u s
t e x t u r e s o f t h e o r i g i n a l a r e s o f t e n e d a n d r e f i n e d ; t h e d is s o n a n c e s
w hich S c h o e n b e rg h a d p ro c la im e d w ith s u c h c o n v i c ti o n a r e
b e a u t i f i e d a n d m any p e o p le w o u ld s a y t r i v i a l i z e d . C e r t a i n l y
B u so n i's v e r s io n d e o d o r iz e s t h e m usic, b u t i t p o i n t s t o h i s a b i l i t y
t o s u b j u g a t e a n v m u sic t o h i s w i l l . 3
The S c h o e n b e rg -B u s o n i L e t t e r s
A s t u d y o f t h e s e v e n te e n l e t t e r s e x c h a n g e d by B u so n i a n d S c h o e n b e rg
c o n c e r n in g t h e se c o n d p ie c e o f Opus 11 p r o v id e s tre m e n d o u s i n s i g h t i n t o t h e
t h o u g h t p ro c e s s e s o f b o th men. T h e re i s a n u n d e r c u r r e n t o f m is u n d e r s ta n d in g
t h r o u g h o u t t h e S c h o e n b e rg B u so n i l e t t e r s t h a t i s l a r g e l y t o be e x p e c te d when
d e a li n g w ith tw o i d e a l i s i t c a n d e g o t i s t i c a l m u sic ia n s. I t i s a s i f e a c h man f e e l s
th a t t h e o t h e r m is u n d e r s ta n d s h i s p o in t o f view , a n d th a t a s u ffic ie n t
c l a r i f i c a t i o n i s a l l t h a t w o u ld be n e c e s s a r y f o r m u tu a l a g re e m e n t. Even i f
n e ith e r man was sw ayed by th e o p in io n of th e o th e r , th e p a r tic u la rly
3A n to n y B eaum ont, B u so n i t h e Com poser (London: F a b e r a n d F a b e r, L td ., 1985), 40.
53
s t i m u l a t i n g e x c h a n g e o f id e a s se e n i n t h e s e v e n te e n l e t t e r s d e a li n g w ith t h e
se c o n d p ie c e o f Opus 11 p ro v id e d a fo ru m f o r b o th t o q u e s tio n a n d u l t i m a t e l y
s t r e n g t h e n t h e i r own i n d i v i d u a l i d e a l s . I t i s n o t a t a l l s u r p r i s i n g , th e n , t h a t
S c h o e n b e rg m ost s u c c i n c t l y summed u p h i s r e l a t i o n s h i p w ith B u so n i i n a n u n d a te d
l e t t e r [p r o b a b ly fro m a r o u n d 13 A u g u s t 19091 t o t h e p ia n is t/c o m p o s e r:
The r e g io n s o f tw o i n d i v i d u a l s seem t o be d is p o se d l i k e e c c e n t r i c
c i r c l e s w hich p a r t i a l l y i n t e r s e c t . S e c to r s o f g r e a t e r o r l e s s e r
m a g n itu d e c o in c id e b u t t h e r e a r e t h e a l t e r n a t e seg m en ts, w hich
c o n f r o n t e a c h o t h e r . I t a k e t h i s t o be so m e th in g n a t u r a l , w hich
m u st be so, a n d h o ld i t t h e r e f o r e f o r a good t h i n g . . . . I ca n
p e r c e iv e a f a c e t o f y o u r p e r s o n a l i t y t h a t i s i n f i n i t e l y v a l u a b l e
t o me: t h e e n d e a v o u r t o be j u s t ! And I v a lu e t h i s e n d e a v o u r h i g h e r
t h a n j u s t i c e i t s e l f , j u s t a s I w o u ld r a t e t h e s t r u g g l e f o r t r u t h
h i g h e r th a n t h e t r u t h i t s e l f : 4
B u so n i an d S c h o e n b e rg h a d i n i t i a l l y c o r re s p o n d e d i n 1903 c o n c e r n in g t h e
p o s s ib le p e rfo rm a n c e o f w o rk s b y S c h o e n b e rg on B u so n i's B e r lin c o n c e r t s o f
c o n te m p o ra ry m usic. S c h o e n b e rg f i r s t a p p ro a c h e d B u so n i a b o u t t h e Opus 11
p ie c e s i n a l e t t e r d a te d J u l y 7, 1909, a s k i n g B u so n i w h e th e r o r n o t h e w ould be
i n t e r e s t e d i n e x a m in in g a n d p e r f o r m in g tw o p ia n o p ie c e s ( th e f i r s t tw o p ie c e s o f
Opus 11). In t h i s l e t t e r , S c h o e n b e rg im m e d ia te ly e s t a b l i s h e d a common bo n d w ith
B u so n i b y m a in ta in in g t h a t t h e new w o rk s c o u ld o n l y be p la y e d b y som eone l i k e
B u so n i w ho " ta k e s t h e s i d e o f a l l w ho s e e k ." 3 S u b s e q u e n t l e t t e r s w o u ld n a r ro w
th e ir fo c u s to d e ta ile d d is c u s s i o n s o f t h e sec o n d p ie c e , B u s o n i's e n s u in g
"K o n zertm aflig e I n t e r p r e t a t i o n " of th a t p iece , and th e d is p u te over th e
p u b l i c a t i o n o f th e o r i g i n a l a n d i t s t r a n s c r i p t i o n .
4B eaum ont, B usoni: S e le c te d L e t t e r s . 387.
5B eaum ont, B usoni: S e le c te d L e t t e r s , 382.
54
Im m e d ia te ly upon re c e iv in g th e tw o p ie c e s, B u so n i w ro te b ac k to
S c h o e n b e rg o n J u l y 26, 1909, t o e x p r e s s h i s c o n c e rn w ith S c h o e n b e rg 's tr e a t m e n t
o f t h e p ia n o . A f te r t a c t f u l l y p r a i s i n g e a r l i e r w o rk s b y S c h o e n b e rg w ith w hich
h e was f a m i l i a r , B u so n i s t a t e s t h a t h i s im p re s s io n o f t h e tw o p ie c e s fro m a
p i a n i s t 's p e r s p e c tiv e i s s l i g h t l y d i f f e r e n t :
My f i r s t q u a l i f i c a t i o n o f y o u r m usic " a s a p ia n o p iece " i s t h e

li m ite d r a n g e o f t h e t e x t u r e s i n tim e a n d sp ace. T he p ia n o i s a
s h o r t - b r e a t h e d in s tr u m e n t, a n d o n e c a n n o t do e n o u g h t o a s s i s t i t . 6
B u so n i t h e n p ro c e e d s t o in c lu d e a m u s ic a l i l l u s t r a t i o n i n h i s l e t t e r , c o m p a rin g
S c h o e n b e rg 's w r i t i n g t o h i s own l e s s c o n c is e , m ore o r c h e s t r a l t r a n s c r i p t i o n . In
h i s r e s p o n s e (p o stm ark e d A u g u st 2, 1909) t o t h e r e s e r v a t i o n s a b o u t h i s p ia n o
s t y l e , S c h o e n b e rg c l e a r l y d e f in e s t h e id e o lo g y t h a t le d t o t h e co m p o sitio n o f
t h e tw o p iece s:
I h a v e g iv e n c o n s id e r a b le t h o u g h t t o y o u r o b je c tio n t o my p ia n o
s t y l e a n d come t o t h e c o n c lu s io n t h a t i n a c e r t a i n r e s p e c t you a r e
a b s o l u t e l y c o r r e c t. . . . N e v e r th e le s s , I b e lie v e t h a t I may s a y i t
d o es n o t a p p e a r t o me a s th o u g h t h i s d e f ic ie n c y i s o n e t h a t i s
g ro u n d e d i n t h e e s s e n c e o f t h e m usic. I t is , in d e e d , c l e a r t h a t
a lw a y s when some new a b i l i t y i s a c h ie v e d , o ld p r i o r i t i e s m ust f a l l .
. . . B u t a p a r t fro m t h a t , i t seem s t o me a s i f th e s e tw o p ie c e s whose
so u n d c o l o r c o n s i s t s o f m e la n c h o ly a n d s t r e s s , c o u ld n o t s t a n d a
p h r a s e whose so u n d s e n s e i n t h e u s u a l m ean in g i s to o g e n t l e . 7
B u s o n i's n e x t l e t t e r t o S c h o e n b e rg (d a te d A u g u st 2, 1909) f i n a l l y b e g in s
t o f o c u s on h i s i n t e r e s t i n t h e se c o n d p ie c e . A f te r c o n f e s s in g a g u i l t y
c o n s c ie n c e about th e m a tte r , B u so n i p ro c e e d s to e x p la in h is p erso n al
u n d e r s ta n d in g o f t h e p iece . He t h e n q u e s t i o n s t h e m a rk in g < > o v e r ea ch c h o rd
6B eaum ont, B usoni: S e le c te d L e t t e r s , 384.
7R a e s s le r , " S c h o e n b e rg a n d B u so n i," 12.
55
i n a s u c c e s s io n o f f o u r - n o t e c h o r d s (mm. 1 1 -1 3 ; exam ple 4.5) a n d a d m its t o b e in g
" i r r e s i s t i b l y u rg e d t o t r a n s l a t e (S ch o en b erg 's] a p p a r e n t i n t e n t i o n s i n t o sound."
Exam ple 4.5. S tr in g e n d o c h o r d s i n Opus 11, no. 2

mm. 11-13
At t h i s p o i n t B u so n i o p e n ly c o n f e s s e s t h a t h e h a s r e s c o r e d (u m in s tr u m e n tie rt)
t h e e n t i r e p iece, a t t h e r i s k o f a n n o y in g S ch o en b e rg .
S c h o e n b e rg s l e n g t h y r e p l y (u n d a te d , b u t p re s u m a b ly fro m l a t e r i n A ugust]
i s n o te w o r th y n o t o n l y f o r t h e t o p i c s t h a t i t c o v e rs , b u t f o r w h a t i t f a i l s to
m en tio n . W hile a c k n o w le d g in g t h a t h i s new s t y l e o f w r i t i n g m ig h t n o t "su cceed
c o m p le te ly a t t h e f i r s t go," 9 S c h o e n b e rg r e i t e r a t e s t h a t i t w as h i s i n t e n t i o n t o
c r e a t e a new s t y l e i n t h e Opus 11 p ie c e s w hich r e j e c t s w h a t h e te rm s th e " p ia n o
a rra n g e m e n t" s t y l e . As f o r t h e m a rk in g < >, t h e com poser c la im s t o h a v e
b o rro w ed i t fro m Brahm s. I t s i n t e r p r e t a t i o n s h o u ld be " a v e r y e x p r e s s iv e b u t
s o f t m a rc a to . s f o r z a t o " 10 s i m i l a r t o e s p r e s s iv o when w r i t t e n f o r s t r i n g s o r
w inds. A f t e r a n e x te n s iv e (and r a t h e r p o e tic ) d e c l a r a t i o n o f h i s c o m p o s itio n a l
id e a ls , S c h o e n b e rg a d d s a v e r y i m p o r ta n t p o s t s c r i p t t o t h e l e t t e r , m e n tio n in g
t h a t h e h a s e n c lo s e d a co p y o f t h e t h i r d p ie c e fro m Opus 11 f o r B u so n i's p e r u s a l,
A n to n y Be&umont, "B u so n i a n d S c h o e n b e rg ," P ia n o Q u a r t e r l y 108 (W inter 1979-1980):

34.
9Beaum ont, B usoni: S e le c te d L e tte r s . 387.
10Beaum ont, B usoni: S e le c te d L e tte r s . 388.
56
and a s k in g B u so n i to in te rv e n e on h is b e h a lf w ith a p u b lis h e r . M ost
im p o r ta n tly , h o w ev er, S c h o e n b e rg n e v e r m e n tio n s t h e B u so n i p a r a p h r a s e o f t h e
sec o n d p ie c e a t a n y p o i n t d u r i n g t h e l e t t e r . P e rh a p s h e was h o p in g t h a t B u so n i
w ould d ro p t h e m a tte r , b u t s u c h h o p e d id n o t t a k e i n t o a c c o u n t B u so n i's en o rm o u s
ego.
Upon r e c e i v i n g th e th ird p ia n o p iece , B u so n i w ro te im m e d ia te ly t o
S c h o e n b e rg t o e x p r e s s h i s o p in io n o f th e w ork. I t i s c e r t a i n l y p o s s ib le t h a t
S c h o e n b e rg w ro te t h e t h i r d p ie c e a s a re s p o n s e t o B u so n i's c r it i c i s m o f t h e f i r s t
two, s in c e i t was co m p leted e le v e n d a y s a f t e r B u s o n i's i n i t i a l c r it i q u e . B u so n is
com m ents i n d i c a t e t h a t h e view ed t h e c o m p o s itio n a s a p o s s ib le a tte m p t b y
S c h o e n b e rg t o r i d i c u l e h i s c r it i c i s m o f th e t e r s e s t y l e e x h ib ite d i n t h e f i r s t tw o
p ieces:
L aco n icism becom es a m annerism . (A b r i l l i a n t m ind l i k e y o u r s t u r n s

c r it i c i s m t o a d v a n ta g e , e v e n when m is d ire c te d .) The " a sc e tic ism "
( l e t u s so d e s c r ib e i t ) o f t h e p ia n o w r i t i n g seem s t o me a p o i n t l e s s
a v o id a n c e o f f o r e g o n e a c h ie v e m e n ts. You a r e p r o p o s in g a new v a l u e
i n p la c e o f a n e a r l i e r o ne, i n s t e a d o f a d d in g t h e new o ne t o t h e
o ld . You w i l l become d i f f e r e n t an d n o t r i c h e r . 11
In t h i s same l e t t e r , B u so n i a l s o o f f e r s a s u g g e s t i o n c o n c e r n in g S c h o e n b e rg 's
p le a f o r h e lp w ith p u b l i c a t i o n o f h i s w orks. He p ro p o s e s t h a t h i s p a r a p h r a s e o f
t h e se c o n d p ie c e be p u b lis h e d a lo n g w ith t h e o r i g i n a l a s volum e f o u r o f h i s
c o l l e c t i o n An d ie J u g e n d . w ith t h e p ro c e e d s (300 M arks) a s s ig n e d t o S c h o e n b e rg .
In h i s n e x t l e t t e r [d a te d A u g u st 24, 19091, S c h o e n b e rg a p o lo g iz e s f o r n o t
r e q u e s t in g a co p y o f B u s o n i's t r a n s c r i p t i o n i n h i s e a r l i e r l e t t e r s a n d p le a d s
fo rg e tfu ln e s s ! A f te r h i s p o l i t e a p o lo g y , h o w ev er, S c h o e n b e rg la u n c h e s i n t o a
l e n g t h y d is c u s s io n o f h i s p ro b le m s w ith B u so n i's t r a n s c r i p t i o n . I t s h o u ld be
B eaum ont, B u so n i: S e le c te d L e t t e r s . 391.
57
rem em bered t h a t t h i s w as a n a rg u m e n t o f p r i n c i p l e , b e c a u s e S c h o e n b e rg h a d y e t
t o s e e t h e s c o r e o f B u so n i's w ork. H is f i r s t o b je c tio n i s m e re ly o n e o f
c o p y r ig h t , w hich h e a d m its w ould be e a s i l y s o lv e d . How ever, S c h o e n b e rg 's m ost
im p a s s io n e d a rg u m e n t i n t r a c t a b l y d e f e n d s t h e v a l i d i t y o f h i s o r i g i n a l s c o re :
I t i s im p o s sib le f o r me t o p u b l i s h my p ie c e t o g e t h e r w ith a
t r a n s c r i p t i o n w hich show s how I c o u ld h a v e d o n e i t b e t t e r . Which
t h u s i n d i c a t e s t h a t my p ie c e i s im p e rfe c t. And i t i s im p o s sib le t o
t r y t o m ake t h e p u b l i c b e lie v e t h a t my p ie c e i s good, i f I
s im u lta n e o u s ly i n d i c a t e t h a t i t i s n o t good . . I do n o t c o n s id e r my
p ia n o t e x t u r e t h e r e s u l t o f a n y s o r t o f in c o m p eten c e, b u t r a t h e r
t h e e x p r e s s io n o f f ir m r e s o lv e , d i s t i n c t p r e f e r e n c e s a n d p a lp a b ly
c l e a r f e e l i n g s . 12
The l a s t p art of th is le tte r o ffe rs tre m e n d o u s in s ig h t in to th e
c o m p o s itio n a l p s y c h e t h a t c o n t r i b u t e d t o S c h o e n b e rg 's Opus 11 p ie c e s, n a m e ly t h e
e x p r e s s i o n i s t i c a e s th e t ic . T h is r e v e l a t i o n comes i n t h e fo rm o f an a n s w e r t o a
q u e s tio n po sed b y B u so n i i n a n e a r l i e r l e t t e r :
And t h u s I come t o a n sw e r y o u r o t h e r q u e s tio n : how much i s

i n t e n t i o n a l a n d how much i n s t i n c t i v e . My o n l y i n t e n t i o n i s t o h a v e
no in te n tio n s ! No fo r m a l, a r c h i t e c t u r a l o r o t h e r a r t i s t i c
i n t e n t i o n s (e x cep t p e r h a p s o f c a p t u r i n g t h e mood o f a poem), n o
a e s t h e t i c i n t e n t i o n s n o n e o f a n y k in d ; a t m ost t h i s : t o p la c e
n o t h i n g i n h i b i t i n g i n t h e s tre a m o f my u n c o n s c io u s s e n s a ti o n s . N ot
t o a llo w a n y t h i n g t o i n f i l t r a t e w hich may be in v o k e d e i t h e r b y
i n t e l l i g e n c e o r c o n s c io u s n e s s .13
F o r a b r i e f p e r io d i n t h e f a l l o f 1909, t h e c o r re s p o n d e n c e betw een t h e tw o
m u s ic ia n s becom es m ore p e r f u n c t o r y , w ith t h e e x c e p tio n o f a b r i e f e x c h a n g e
c o n c e r n in g t h e p e rfo rm a n c e o f S c h o e n b e rg 's Opus 11 p ie c e s b y B usoni. In a
l e t t e r d a te d O c to b e r 6, 1909, t h e com poser l i t e r a l l y b e g s B u so n i f o r a p ro m ise
12B eaum ont, B u so n i: S e le c te d L e t t e r s , 3 9 2 -3 9 3 .
I3B eaum ont, B usoni: S e le c te d L e tte r s . 396.
58
t h a t h e w i l l i n c l u d e t h e w o rk s i n h i s c o n c e r t r e p e r t o i r e . B u so n i c o o l l y r e p l i e s
i n a l e t t e r d a te d t h e n e x t d a y t h a t f o r v a r i o u s r e a s o n s h e i s u n a b le t o g iv e h i s
" f o r m a l a s s e n t t o p l a y [th e] p ie c e s ." 14 T h e re i s in d e e d n o r e c o r d o f B u so n i e v e r
h a v in g p u b l i c l y p la y e d a n y w o rk o f S c h o e n b e rg . One c a n o n l y s p e c u la te t h a t
B u so n i, a s t h e consum m ate p e r fo rm e r , i n s t i n c t i v e l y f e l t t h a t a u d ie n c e s w ould n o t
em brace th e Opus 11 p ie c e s a n d was u n w i l l in g t o r i s k h i s r e p u t a t i o n b y p u b l i c l y
p e r fo rm in g them .
In h i s f i n a l l e t t e r d e a li n g e x t e n s i v e ly w ith t h e se c o n d p ia n o p ie c e [d ated
J u l y 3, 19101, S c h o e n b e rg com m ents m ore e x p l i c i t l y o n B u so n i's t r a n s c r i p t i o n .
N e a rly o ne y e a r a f t e r t h e b e g in n in g o f t h e i r c o rre s p o n d e n c e , S c h o e n b e rg h ad
f i n a l l y re c e iv e d a co p y o f th e ' p a r a p h r a s e . T he com poser u r g e s B u so n i t o r e v is e
h is tra n s c rip tio n , re m o v in g u n v a r ie d re p e a ts (so u n c h a ra c te ris tic of
S c h o e n b e rg 's s t y l e ) a n d ad d ed n o t e s t h a t c h a n g e t h e h a rm o n ic im p lic a tio n s o f
v a r i o u s c h o rd s . S c h o e n b e rg a ls o a d d r e s s e s tw o p a r t i c u l a r l y in te re s tin g
c o m p o s itio n a l d e t a i l s se e n in t h e t r a n s c r i p t i o n . F i r s t , h e m e n tio n s a s i x t e e n t h -
n o te f i g u r e w hich, a f t e r i t s i n i t i a l a p p e a ra n c e i n m. 7, p e r v a d e s t h e e n t i r e
K o n zertm aflige I n t e r p r e t a t i o n (exam ple 4.6).
Exam ple 4.6. I n i t i a l a p p e a ra n c e o f s i x t e e n t h - n o t e f i g u r e i n B u so n i, m. 7

a n d t h e p a r a l l e l p a s s a g e i n t h e o r i g i n a l v e r s io n , m. 6
14Beaum ont, B u so n i: S e le c te d L e t t e r s . 401.
59
B u s o n i's s i x t e e n t h - n o t e f i g u r e c l e a r l y re se m b le s t h e f i g u r e w hich S ch o en b e rg
h a d p re s e n te d i n a s e r i e s o f o v e r la p p i n g im it a t i o n s , l e a d i n g t o t h e c lim ax i n m.
45 (exam ple 4.7).
Exam ple 4.7. S ix te e n th n o te f i g u r e u se d b y S c h o e n b e rg i n t h e clim ax

o f Opus 11, no. 2, m. 43.
The t r a n s c r i p t i o n n o t o n l y w eakens t h e e f f e c t o f t h e c lim a c tic p a s s a g e by
p r e s e n t in g a s i m i l a r s i x t e e n t h - n o t e f i g u r e e a r l i e r in t h e p ie c e , b u t i t a ls o
d is p e n s e s w ith t h e o v e r la p p i n g i m it a t i o n t h a t B u so n i p r o b a b ly c o n s id e re d
aw kw ard an d u n p i a n i s t ic . In a n n o t a t i o n s t o h i s p e r s o n a l co p y o f t h e B usoni
tr a n s c rip tio n , S c h o e n b e rg s a r d o n ic a lly re m a rk s on B u so n i's use of th e
s ix te e n th -n o te fig u re :
A f te r a l l , a h e ro , who w i l l s h o o t h im s e lf in t h e 3 rd a c t, s h o u ld be
p o r tr a y e d i n t h e f i r s t a c t so t h a t a n i n t u i t i v e p e rs o n c a n h a v e a
p re s e n tim e n t o f h i s f a t e . B ut o ne s h o u ld n o t b r i n g him t o th e
s t a g e a l r e a d y s h o t i n t h e f i r s t a c t. I mean: f i r s t t h e eg g , th e n
t h e c h ic k e n .15
The se c o n d d e t a i l a d d re s s e d b y S c h o e n b e rg i n t h i s l e t t e r c o n c e rn s th e
e n t r y o f a c h o rd (m. 54, o r i g i n a l v e r s io n ; m. 61 o f t h e t r a n s c r i p t i o n ) t o w hich
15J u t t a T h e u ric h , "D er B rie fw e c h s e l zw isc h en A rn o ld S c h o n b e rg u n d F e r r u c io B usoni

1 9 0 3 -1 9 1 9 (1927) (Ph.D. d is s ., H u m b o ld t-U n iv e rs ita t, B e rlin , 1979), 5 6 -5 9 ; q u o te d in
D a n ie l M. R a e s s le r , "S c h o e n b e rg a n d B u so n i," J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e
7, no. 1 (J u n e 1983): 18.
60
B u so n i a d d s a n e x tra dyad. In re fe re n c e to th is p a s s a g e (exam ple 4.8),
S c h o e n b e rg 's a n n o t a t i o n re a d s :
The e n t r y o f t h e c h o rd i s f o r me a s i f o n e p re s s e d aw ay a t e a r .
H ere [m eaning i n B u so n i's a r ra n g e m e n t] h e b lo w s h i s n o se , a s w e ll .16
tav ^
Jfc.
Exam ple 4.8. K onzertm aflige I n t e r p r e t a t i o n mm. 6 1 -6 3

O r i g i n a l v e r s io n , mm. 5 4 -5 5
The r e m a in in g c o rre s p o n d e n c e c o n c e rn in g t h e Opus 11 p ie c e s d e a ls m o s tly
w ith t h e f i n a l p u b l i c a t i o n a r r a n g e m e n ts . O r i g i n a l l y , B u so n i h a d c o n ta c te d
B r e itk o p f u n d H a r t e l a b o u t p u b l i c a t i o n o f t h e t r a n s c r i p t i o n a s p a r t o f An d ie
Ju g e n d . In t h e in te r im , S c h o e n b e rg h a d a g re e d t o a c o n t r a c t w ith U n iv e r s a l
E d itio n . The te rm s o f t h e a g re e m e n t c a ll e d f o r S c h o e n b e rg to s u p p ly t h e
p u b l i s h e r w ith a l l fo r th c o m in g w o rk s u n t i l 1920, a s w e ll a s w o rk s t h a t h a d been
com posed betw een 1903 a n d 1910. B oth B u so n i a n d t h e d i r e c t o r o f U n iv e r s a l (Emil
H e rtz k a ) w ished t o p u b lis h t h e t r a n s c r i p t i o n a s a n a p p e n d ix t o th e t h r e e p ie c e s
Opus 11. S c h o e n b e rg , i n t h e f i n a l l e t t e r t o B u so n i d e a li n g w ith t h e se c o n d p ie c e
( J u ly 16, 1910), s t a t e d t h a t t h e t r a n s c r i p t i o n s h o u ld n o t a p p e a r i n t h e sam e
volum e w ith t h e Opus 11 p ie c e s , a n d B u so n i a g r e e d i n h i s r e p l y ( J u ly 18, 1910).
In t h e f a l l o f 1910, U n iv e r s a l E d itio n p u b lis h e d S c h o e n b e rg 's Opus 11. Soon
I4T h e u ric h , "D er B rie fw e c h s e l zw isch en S c h o e n b e rg u n d B u so n i," q u o ted i n R a e s s le r ,

18.
61
t h e r e a f t e r , t h e t r a n s c r i p t i o n was p u b lis h e d w ith t h e f o l l o w i n g m agnanim ous
fo r e w a r d p en n e d b y B usoni:
T h is c o m p o sitio n dem ands t h a t i t s p e r f o r m e r command e v e r y

s u b t l e t y o f to u c h an d p e d a llin g ; t h a t h i s d e l i v e r y be in tim a te ,
im p ro v ise d , " f l o a t i n g " ; a n d t h a t h e im m erse h im s e lf l o v i n g l y i n i t s
c o n t e n t t h e i n t e r p r e t a t i o n o f w hich, p u r e l y i n te rm s o f k e y b o a rd
t e x t u r e , i s c o u n te d an a r t i s t i c h o n o r .17
T he s e v e n te e n S c h o e n b e rg -B u s o n i l e t t e r s a llo w f o r a n a b s o r b in g i n s i g h t
i n t o t h e c r e a t i v e p ro c e s s o f a com poser a n d t h e i n t e r p r e t i v e p ro c e s s o f a
v i r t u o s o p e r fo rm e r . B usoni, a s b o th p e r f o r m e r a n d com poser, f e l t i t a b s o l u t e l y
n e c e s s a r y t o i n c o r p o r a t e e le m e n ts fro m t h e p a s t t o g e t h e r w ith c o n te m p o ra ry
e le m e n ts t o c r e a t e a new u n i v e r s a l m u s ic a l la n g u a g e . S c h o e n b e rg f e l t i t
a b s o l u t e l y e s s e n t i a l t h a t o ld m eans o f m u s ic a l e x p r e s s io n n a t u r a l l y m u st be
d is c a r d e d i n f a v o r o f new modes o f a r t i c u l a t i o n . P e rh a p s t h i s e x p l a i n s th e
d u a l i t y o f B u s o n i's f e e l i n g s f o r S c h o e n b e rg 's m usic t h a t i s d e m o n s tra te d i n h i s
le tte rs . He c a n a d m ire S c h o e n b e rg 's m a s te ry o f h i s own p e r s o n a l m u s ic a l
la n g u a g e , y e t f i n d i t l a c k i n g i n u n i v e r s a l i t y . S c h o e n b e rg , on t h e o t h e r han d ,
o p e n ly a d m its h i s a d m ira tio n f o r B u so n i's i n t e r p r e t i v e a b i l i t i e s b u t seems
r e t i c e n t t o p r a i s e h i s c o m p o s itio n a l s k i l l s . T h ro u g h t h e e n t i r e e x c h a n g e , b o th
men re m a in a t t h e c e n te r o f t h e i r i d e o l o g i c a l c i r c l e s , c o n v e r g in g r e l a t i v e l y
b r i e f l y a r o u n d t h e se c o n d p ie c e o f S c h o e n b e rg 's Opus 11. H ow ever, t h e s e two
m u s ic a l g e n iu s e s f o r g e d a r e l a t i o n s h i p b a se d on a m u tu a l r e s p e c t, h ig h id e a ls ,
a n d a s t e a d f a s t p u r s u i t o f a e s t h e t i c a l l y v i a b l e m eans o f m u s ic a l e x p r e s s io n .
F o r r e a s o n s b ey o n d t h e p u r e l y m u sic a l, i t i s t h i s l e g a c y w hich g u a r a n t e e s t h e
g r e a t n e s s o f b o th men.
17 W illi R eich , S c h o e n b e rg : A C r i t i c a l B io g ra p h y , t r a n s . Leo B la c k (New York:

P r a e g e r P u b li s h e r s , 1971), 62.
CHAPTER 5
EDITORIAL QUESTIONS IN OPUS 11
The M a n u s c rip t a n d H andexem plare
Two o f t h e m ost im p o r t a n t p r im a r y r e s o u r c e s F o r a n y m u s ic o lo g ic a l
r e s e a r c h a r e t h e m a n u s c r ip t Cor f a c s i m i l e copy) a n d p r i n t e d s c o r e s c o n t a i n i n g
a n n o t a t i o n s by t h e com poser (H an d ex em p lare). The a r c h i v e s o f t h e A rn o ld
S c h o e n b e rg I n s t i t u t e i n Los A n g e le s c o n t a i n t h e v a s t m a jo r i t y o f m a n u s c r ip ts
and H andexem plare of S c h o e n b e rg 's m usic. D is p u te s c o n c e r n in g d a te of
c o m p le tio n , p r i n t i n g e r r o r s , a n d n o t a t i o n a l m a rk in g s c a n a l l be a d d r e s s e d by
c o n s u l t i n g t h e m a n u s c r ip t, H a n d ex em p lar. o r b o th . S i g n i f i c a n t d e t a i l s r e l a t i n g
t o p e rfo rm a n c e p r a c t i c e c a n o f t e n be d is c o v e r e d in th e co m p o ser's a n n o t a t i o n s
t o h i s p e r s o n a l s c o re s . T he m a n u s c r ip t o f t h e p ia n o p ie c e s Opus 11, a l o n g w ith
tw o h a rd b o u n d H a n d ex em p lare a r e am ong t h e h o l d i n g s o f t h e S c h o e n b e rg I n s t i t u t e
a r c h iv e s . B oth m a n u s c r ip t a n d H an d ex em p lare s e r v e d a s t h e p r im a r y s o u r c e s in
t h e p r e p a r a ti o n o f t h e s o l o p ia n o m usic f o r t h e co m p lete e d i t i o n o f S c h o e n b e rg 's
w o rk s ,1 b u t e d i t o r i a l d e c is io n s c a n be b e t t e r u n d e r s to o d i n l i g h t o f a c lo s e
i n s p e c tio n o f t h e p rim a ry s o u rc e s .
A rn o ld S c h o e n b e rg , S a m tlic h e Werke: K la v ie r z u 2 H anden, R e ih e n A u n d B, Band 4

(Mainz: B. S c h o tt's S ohne; V ienna: U n iv e r s a l E d itio n AG, 1968).
62
63
The m ost o b v io u s q u e s tio n a d d r e s s e d b y s c r u t i n y o f t h e m a n u s c r ip t i s t h e
d a t e o f c o m p o s itio n . R u f e r s c a t a l o g o f S c h o e n b e rg 's w o rk s g iv e s t h e f o l l o w i n g
d a t e s o f c o m p le tio n f o r each p ie c e i n Opus 1 1 :2
No. 1: 19 F e b ru a ry , 1909
No. 2: 22 F e b ru a ry 1909
No. 3: 7 A u g u st 1909
S e v e r a l s o u r c e s m a in ta in , how ever, t h a t t h e f i r s t p ie c e was n o t co m p leted u n t i l
a m o n th l a t e r (19 M arch 1909), t h u s m a k in g Opus 11, no. 2 t h e f i r s t p ie c e
c h r o n o l o g i c a l l y . 3 S t y l i s t i c a l l y , t h e se c o n d p ie c e , w ith th e t o n a l im p lic a tio n s
o f i t s o s t i n a t o f i g u r e a n d e x a c t r e p e t i t i o n o f th em es a t v a r y in g p itc h l e v e l s ,
w o u ld seem t o be t h e e a r l i e r w ork. I t w o u ld be l o g i c a l t o assum e t h a t t h e d e n se
m o tiv ic d e v e lo p m e n t, com plex rh y th m a n d c o u n t e r p o i n t o f th e f i r s t p ie c e d a te s
l a t e r t h a n num ber 2. S uch s t y l i s t i c a s s u m p tio n s a r e m e a n in g le s s, ho w ev er, when
c o n f r o n t e d w ith t h e t a n g i b l e e v id e n c e o f t h e m a n u s c r ip t o f Opus 11. The t h r e e
p ie c e s a r e w r i t t e n in p e n c il on f i v e l e a v e s o f m a n u s c r ip t p ap e r. The f i r s t p ie c e
i s c o n ta in e d on o n e s id e o f tw o le a v e s o f p a p e r (each m e a s u rin g 14.5 x 36.7 cm).
One l e a f c o n t a i n s t h i r t e e n s ta v e s , t h e o t h e r c o n t a i n s e le v e n . The end o f th e
p ie c e i s c l e a r l y d a te d "19/11. 1909." The se c o n d p ie c e i s a l s o c o n ta in e d on two
l e a v e s o f s i m i l a r s iz e , w ith t h e f i r s t l e a f c o n t a i n i n g w ork on b o th s id e s . T h is
p ie c e i s d a te d a t t h e b e g in n in g " 2 2 /2 . 1909. The f i n a l p iece i s w r i t t e n on o n e
l e a f o f t w e n t y - f o u r s t a v e s (m e a su rin g 29 x 36.8 cm), d a te d a t t h e en d " 7 /8 . 1909."
A f t e r t h e f i r s t f i v e m easu res o f t h e t h i r d p ie c e , tw o t h r e e - l i n e s t a v e s h a v e been
2J o s e f R u fe r , The Works o f A rn o ld S c h o e n b e rg , t r a n s . D ika N ew lin (London: F a b e r a n d

F a b e r, L td ., 1962).
3P h i l i p F ried h eim , " T o n a l i ty an d S t r u c t u r e i n t h e E a r ly Works o f S c h o e n b e rg " (Ph.D.

d is s ., New Y ork U n iv e r s ity , 1963), 416.
c o m p le te ly c ro s s e d o u t. T h is i s th e o n ly m ajo r c o m p o s itio n a l r e v is i o n see n in
t h e m a n u s c rip t. The e i g h t - b a r d e le tio n b e g in s w ith p i t c h m a t e r ia l fro m m easure
s ix , w hich i s d e v e lo p e d i n i n c r e a s i n g l y l a r g e r b u r s t s o f t h i r t y - s e c o n d n o te s .
The s u s t a in e d momentum o f t h i s p a s s a g e w ould h a v e o v e rsh a d o w e d t h e im p o rta n c e
o f t h e o p e n in g f o u r - b a r g e s t u r e a n d d e s tro y e d t h e c o m p o s itio n a l b a la n c e o f th e
w ork, w hich i s so d e p e n d e n t on th e c o n t r a s t o f s h o r t o u t b u r s t s . The two
H an dexem plare a r e h a rd b o u n d c o p ie s o f t h e 191G U n iv e r s a l E d itio n . A b lu e
h a r d c o v e r volum e, c o n t a i n i n g t h e p ia n o a r r a n g e m e n t o f t h e S ix O r c h e s t r a l S ongs,
Op. 8, a s w e ll a s t h e Opus 11 p ie c e s, in c lu d e s r e l a t i v e l y few e m e n d a tio n s t o th e
p ia n o p iece s. A g r a y h a r d c o v e r volum e o f s e le c te d p ia n o w orks, how ever, h a s an
a b u n d a n c e o f m a rk in g s i n Opus 11. Most o f t h e c o r r e c t i o n s a n d i n d i c a t i o n s in
t h i s co p y o f t h e s c o r e w ere in c lu d e d in t h e 1924 r e v i s i o n o f th e w ork, and
lik e w is e a p p e a r in t h e S a m tlic h e Werke. Two d e t a i l s fro m t h e H andexem olar
d i f f e r s l i g h t l y fro m t h e v e r s io n p r i n t e d i n th e c o l l e c te d w orks: a l t e r e d tempo
i n d i c a t i o n s (w ith m etronom e m a rk in g s) f o r a l l t h r e e p ie c e s , a n d a s t r i c t l y
c o sm etic c h a n g e i n t h e n o t a t i o n o f p ia n o h a rm o n ic s i n t h e f i r s t piece. The tempo
i n d i c a t i o n in t h e f i r s t p ie c e h a s been r e v is e d i n t h e H an d ex em o lar fro m "Maflige
J t o "Maflig ( J = 66)." From a p e r fo rm e r 's p e r s p e c tiv e , t h e e d i t o r o f th e
S a m tlic h e Werke made t h e c o r r e c t c h o ic e i n i n c l u d i n g t h i s m etronom e m a rk in g
w hich s u c c e s s f u l l y a llo w s f o r t h e l a n g u o r o u s u n f o l d i n g o f p a th o s so e s s e n t i a l
t o t h e w ork. The tem po i n d i c a t i o n f o r t h e sec o n d p ie c e r e p r e s e n t s y e t a n o th e r
is s u e . S c h o e n b e rg h a s c r o s s e d o u t t h e p r i n t e d "M afiige " a n d re p la c e d i t w ith
" s e h r la n g sa m ( = 120) i n r e d p e n c il (a lo n g w ith i t s E n g lis h t r a n s l a t i o n , " v e r y
s lo w ly ," im m e d ia te ly u n d e r n e a th it). F o r t h e p o n d e ro u s , p lo d d in g o s t i n a t o , t h i s
tem po seems i n a c t u a l i t y e x tre m e ly f a s t . E d u a rd S te u e rm a n n , o n e o f t h e f i r s t
p i a n i s t s t o p e rfo rm t h e Opus 11 p ie c e s p u b l i c l y , re m a rk ed : "To p l a y t h e Opus 11,
65
No. 2 a s s lo w ly a s S c h o e n b e rg w a n te d f o r su c h a n a u d ie n c e was q u i t e so m e th in g
i n th o s e d a y s ." 4 P e rh a p s t h e s w i f t tem po i n d i c a t i o n i n t h e H andexem olar was
sim p ly a n im m ediate r e a c t i o n t o p e r f o r m e r s ' c o m p la in ts a b o u t t h e m o notony o f th e
p iece. E v id en c e t h a t t h i s tem po i n d i c a t i o n i s a c t u a l l y f a s t e r t h a n S c h o e n b e rg
d e s ire d c a n be fo u n d i n t h e S c h o e n b e rg /B u s o n i c o rre s p o n d e n c e . In a h u m o ro u s
e x c e r p t fro m h i s l e t t e r o f J u l y 3, 1910, S c h o e n b e rg w r i t e s t o B usoni:
Maybe y o u h a v e been p l a y i n g i t [Opus 11, no. 2) a t a tem po o t h e r

t h a n t h a t in te n d e d . I p r e s c r ib e : " m o d e ra te e ig h th s " ; y e s, m o d era te
e ig h th s . B ut a m o d e ra te e i g h t h - n o t e i s o f c o u r s e f a s t e r th a n a
m o d e ra te q u a r t e r - n o t e ; b e c a u s e i t is , o f c o u rs e , a n e ig h t h , a n d
o th e rw is e t h e r e w ould be n o r e a s o n t o w r i t e e ig h th s . P e rh a p s t h i s
h a s m isle d y o u . P e rh a p s I s h o u ld h a v e w r itte n : m oving e i g h t h s
( c ir c a MM J' = 80-90). T h a t i s m o d e ra te f o r e i g h t h s , b e c a u se t h e
v a lu e w ould t h u s become J - = 2 6 -3 0 !s
P e rh a p s b e c a u se o f a l l t h e c o n f l i c t i n g e v id e n c e , t h e e d i t o r o f t h e S a m tlic h e
Werke h a s a v o id e d t h e is s u e a l t o g e t h e r a n d em ployed a tem po i n d i c a t i o n o f
"Mafiige w ith o u t m etronom e i n d i c a t i o n . In t h e H andexem plar. S c h o e n b e rg
r e v is e d t h e tem po f o r t h e t h i r d p ie c e fro m "B ew egete^" t o "B ew egt 132)." The
c o lle c te d e d i t i o n h a s ch o se n t o i n c l u d e t h i s tem po, ev en th o u g h t h e f i e n d i s h l y
d i f f i c u l t o p e n in g f o u r m e a su re s become n o t h i n g m ore t h a n a lo u d o u t b u r s t o f
n o is e when p la y e d a t su c h a f a s t tem po. A lth o u g h t e c h n i c a l l y p o s s ib le , su c h a
p e rfo rm a n c e re n d e rs th e th re e d is tin c t la y e rs of c o u n te rp o in t a u ra lly
in d e c ip h e r a b le . The p a r t i c u l a r p ro b le m s r e l a t e d t o t h e tem po i n d i c a t i o n s i n th e
H andexem plar i l l u s t r a t e t h e n eed t o e x e r c is e c a u ti o n in in te rp re tin g th e
G u n t h e r S c h u l l e r , "A C o n v e rs a tio n w ith S te u e rm a n n ," P e r s p e c tiv e s o f New M usic 3,

no. 1 (1964): 27; q u o te d i n J o h n J o s e p h P .eible, I I I , " T r i s ta n R om anticism a n d t h e
E x p re ssio n ism o f t h e 'T h ree P ia n o P ie c e s Opus 11 o f A rn o ld S c h o e n b e rg " (Ph.D. d is s .,
W a sh in g to n U n iv e r s ity , 1980), 226.
sA n to n y Beaum ont, F e r r u c io B usoni: S e le c te d L e tt e r s (London: F a b e r an d F ab er, L td.,

1987), 404.
66
com p o ser's com m entary. O n ly t a k e n i n t h e c o n t e x t o f t h e B u so n i l e t t e r a n d
S te u e rm a n n v i g n e t t e c a n t h e tem po i n d i c a t i o n F o r Opus 11, no. 2 be u n d e r s to o d .
The c o sm e tic n o t a t i o n a l c h a n g e r e l a t e d t o t h e p ia n o h a rm o n ic s i n mm. 1 4 -
17 o f t h e f i r s t p ie c e i s n o t n e a r l y a s p ro b le m a tic a s t h e m o d ified tem po
in d i c a t i o n s . S in c e t h e d ia m o n d -sh a p e d n o te s o f t h e r i g h t - h a n d c h o rd a l r e a d y
d e n o te h a rm o n ic s, S c h o e n b e rg c r o s s e d o u t th e u n n e c e s s a r y n o t a t i o n a b o v e t h e
s t a f f (la b e le d f l a g e o l e t t , t h e Germ an te rm f o r h a rm o n ic s). F o r some m y s te r io u s
re a s o n , t h e e d i t o r s o f t h e c o l l e c te d w o rk s d ec id e d t o i g n o r e t h i s c h a n g e . The
e x p l i c a ti o n in t h e H and ex em p lare. t h e r e f o r e , m u st be u se d i n c o n ju n c tio n w ith
o t h e r s o u r c e s t o make d e f i n i t i v e c o n c lu s io n s c o n c e r n in g i n t e r p r e t a t i o n o f t h e
Opus 11 p ie c e s.
The S a m tlic h e Werke
The e a r l y a t o n a l c o m p o s itio n s o f S c h o e n b e rg p r e s e n t e s p e c i a l l y d i f f i c u l t
e d i t o r i a l p ro b lem s. B ecause t h e l a t e r tw e lv e - to n e w o rk s a r e more o b v io u s ly
o r g a n iz e d w ith r e s p e c t t o p itc h , i t h a s o f t e n been assum ed t h a t t h e a t o n a l w o rk s
w ere l o o s e l y o r g a n iz e d and th e c h o ic e s o f p itc h le s s s tr ic t. W hile th e
c o m p o s itio n a l p ro c e s s may be m ore s u b t l e a n d d i f f i c u l t t o a n a ly z e a t f i r s t
g la n c e , t h e m a n ip u la tio n o f m a t e r i a l i s a lm o s t a lw a y s h i g h l y l o g i c a l a n d
t i g h t l y o rg a n iz e d . Edw ard Cone, i n h i s re v ie w o f t h e s o l o p ia n o m usic a s p a r t
o f t h e co m p le te e d i t i o n o f S c h o e n b e rg 's m u sic,6 p o i n t s o u t tw o p a r t i c u l a r l y
c o n t r o v e r s i a l ex a m p le s t h a t seem t o d e f y th e l o g i c o f t h e com posers c r e a t i v e
m ethod. The f i r s t c a s e i n v o l v e s t h e r e s o l u t i o n o f a c o n f l i c t betw een a m isp la c e d
a c c i d e n t a l a n d t h e n o te t o w hich i t a p p lie s . In m. 55 o f Op. 11, No. 1, t h e sec o n d
Edw ard T. Cone, " E d i t o r i a l R e s p o n s i b i li t y a n d S c h o e n b e rg 's T ro u b leso m e M is p rin ts ,"

P e r s p e c tiv e s o f New M usic 11. no. 1 (F all-W in t e r 1972).
67
r i g h t - h a n d c h o r d c o n t a i n s a c 2 w ith a c o r r e s p o n d in g s h a r p s i g n a p p e a r in g on t h e
l i n e im m e d ia te ly below i t (exam ple 5.1).
Exam ple 5.1. C o n f l i c t i n g a c c i d e n t a l a n d n o te - h e a d

Opus 11, no. 1, m. 55
The c o l l e c te d e d i t i o n m oves t h e s h a r p up t o a g r e e w ith t h e c 2, t h u s c r e a t i n g a
c - s h a r p m in o r t r i a d t h a t s o u n d s o u t o f c o n t e x t i n t h e h a rm o n ic idiom o f t h e
p iece. Cone d i s a g r e e s w ith t h i s s o l u t i o n , e v e n th o u g h i t i s s u p p o r te d b y t h e
m a n u s c rip t, b e c a u se a n a d ju s tm e n t o f t h e n o te (to r e a d b - s h a r p 1) c r e a t e s an
au g m en te d t r i a d t h a t h a s been a p ro m in e n t f e a t u r e t h r o u g h o u t t h e c o m p o sitio n .
The au g m en te d s o n o r i t y w o u ld seem t o b e t t e r s u p p o r t t h e c re s c e n d o b u i l d in g in
mm. 5 4 -5 7 . A lle n F o r te m a in ta in s t h a t c - s h a r p i s t h e c o r r e c t n o te b e c a u se i t s
a p p e a ra n c e i n m. 55 c r e a t e s a h e x a c h o rd s i g n i f i c a n t t h r o u g h o u t t h e w o rk .7 J o h n
R e ib le 's c o m p re h e n siv e a n a l y s i s d e r iv e s a m in o r t r i a d fro m t h e i n v e r s i o n o f t h e
h a rm o n ic s c h o rd i n mm. 1 4 -1 7 , a n d t h e r e f o r e f e e l s t h a t a c - s h a r p m in o r t r i a d in
m. 55 i s j u s t a n o t h e r m a n i f e s t a ti o n o f t h i s r e l a t i o n s h i p . 8 As a p p r o p r i a t e a s t h e
au g m en ted t r i a d m ig h t so u n d , t h e d e c is io n a r r i v e d a t b y t h e e d i t o r s o f t h e
S a m tlic h e Werke i s u l t i m a t e l y s u p p o r te d b y a t l e a s t o n e o t h e r c a se o f a
7A lle n F o r te , "The M a g ic a l K a le id o sc o p e: S c h o e n b e rg 's F i r s t A to n a l M asterw o rk , Opus

11, Number 1, J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 5. no. 2 (November 1981): 165.
8J o h n Jo s e p h R e ib le I I I , " T r i s t a n R om anticism a n d t h e E x p re ss io n ism o f t h e T h re e

P ia n o P ie ces. Opus 11 o f A rn o ld S c h o e n b e rg " (Ph.D. d is s ., W a sh in g to n U n iv e r s ity , 1980),
191.
68
m isp la c e d a c c i d e n t a l . In th e F i r s t e d i ti o n , Opus 11, no. 2 c o n ta in e d a d i n t h e
F i r s t l e F t - h a n d c h o r d in m. 46, w ith i t s c o r r e s p o n d in g n a t u r a l s ig n p la c e d on
t h e sp a c e a b o v e t h e n o te (exam ple 5.2).
Exam ple 5.2. M isplaced a c c i d e n t a l , Opus 11, no. 2, m. 46
T he c o l l e c te d e d i t i o n made t h e a p p r o p r i a t e a d ju s tm e n t h e r e a n d moved th e
a c c id e n ta l in a c c o rd a n c e w ith t h e m a n u s c rip t, t h u s c r e a t i n g a c o n v in c in g
p a r a l l e l w ith t h e exam ple oF a m isp la c e d a c c i d e n t a l i n No. 1.
The sec o n d c a s e c i t e d b y Cone c o n c e rn s a le F t - h a n d c h o rd t h a t a p p e a rs
d u r i n g t h e c lim a x oF Opus 11, no. 2. The l a s t c h o rd i n rn. 46 c o n t a i n s a s u s p e c t
( r a t h e r t h a n sim p ly m isp laced ) a c c i d e n t a l . The c h o rd c o n t a i n s a d - F l a t t h a t
s h o u ld re a d d - n a t u r a l i n o r d e r to conForm w ith t h e se q u e n c e b eg u n i n m. 45
(exam ple 5.3).
E xam ple 5.3. S p u rio u s a c c i d e n t a l , Opus 11, no. 2, mm. 4 5 -4 6
T he m a n u s c r ip t re m a in s u n c le a r . S c h o e n b e rg 's a c c i d e n t a l c o u ld be i n t e r p r e t e d
as e ith e r a F la t o r a n a tu ra l. F u r t h e r e v id e n c e c o n F irm in g a c h o ic e o f d -
69
n a t u r a l can be se e n e a r l i e r i n m. 46. Tha same s o n o r i t y w r i t t e n w ith t h e p r o p e r
d - n a t u r a l a p p e a r s on t h e se c o n d b e a t o f m. 46, w h ile t h e c h o rd o n t h e t h i r d b e a t
c o n t a i n s a d - f l a t . Khy t h e n d id S c h o e n b e rg w r i t e a n u n n e c e s s a ry a c c id e n t a l on
t h e f o u r t h b e a t, u n l e s s i t was in te n d e d t o be a n a t u r a l s ig n c a n c e l l i n g t h e d -
F l a t fro m t h e t h i r d b e a t? In t h i s c a se, t h e a rg u m e n t f o r t h e i n c l u s i o n o f a d -
n a t u r a l in t h e c o ll e c te d e d i t i o n seems i r r e f u t a b l e . A n o th e r exam ple s i m il a r to
t h i s o c c u rs , c o i n c i d e n t a l l y , a t t h e clim a x o f t h e f i r s t p ie c e (m. 5ui. The
s u c c e s s io n of th irty -s e c o n d n o te s in th e l e f t hand is c le a rly an exact
re s ta te m e n t o f p i t c h e s fro m m. 12. However, t h e f i f t h t h i r t y - s e c o n d n o te c l e a r l y
r e a d s g - n a t u r a l i n t h e m a n u s c r ip t a n d a l l p r i n t e d e d i t i o n s (exam ple 5.4).
Exam ple 5.4. C om parison o f p itc h m a t e r ia l fro m m. 50 a n d m. 12

Opus 11, no. 1
The a rg u m e n t f o r g - s h a r p w ould seem t o be r e in f o r c e d by t h e f a c t t h a t th e same
p itc h e s fro m m. 12 a l s o c r e a t e t h e f i n a l c h o r d o f t h e p iece. F o r t e c la im s t h a t
th e g -n a tu r a l ac co m o d ates a p re s e n ta tio n of S c h o e n b e rg s a n a g ra m m a tic
s i g n a t u r e . 9 He f a i l s t o r e c o g n iz e t h a t g - s h a r p (e n h a rm o n ic a lly a - f l a t , o r s) i s
a l s o a s i g n a t u r e p i tc h f o r t h e co m p o ser.10 D avid Lewin a r g u e s t h a t t h e g -
n a t u r a l i s m e re ly a s u b s t i t u t e f o r g - s h a r p t h a t a v o id s d o u b lin g t h e c lim a c tic
9A lle n F o rte , "The M ag ica l K a le id o sc o p e," 164.
,0Sse C h a p te r 2.
70
g - s h a r p o f th e p r i n c i p a l l i n e . 11 S in c e t h e m a n u s c r ip t c l e a r l y i n d i c a t e s g -
n a t u r a l , i t i s n o t b ey o n d t h e re a lm o f d o u b t t h a t t h i s a l t e r a t i o n was made b ase d
o n a n a g ra m m a tic o r h a rm o n ic c o n s i d e r a t i o n s . H owever, th e m ost l o g i c a l r e a d in g
w o u ld b e t h e g - s h a r p t h a t c o in c id e s w ith t h e tw o o t h e r o c c u r r e n c e s o f t h i s p itc h
c o l l e c t i o n i n t h e p ie c e . S uch a n e d i t o r i a l d i s p u t e w ould n o t e x i s t i n a tw e lv e -
t o n e w ork, b e c a u se a s im p le c o m p a riso n w ith t h e m a tr ix w ould y i e l d t h e an sw e r.
W hile t h e c o m p o s itio n a l l a t i t u d e w ith in S c h o e n b e rg 's a t o n a l m usic c a n c a u se
e d i t o r i a l h e a d a c h e s, i t n e v e r t h e l e s s a llo w s f o r t h e s e n s a tio n o f m u s ic a l freed o m
w ith in o r g a n iz a t i o n t h a t i s s u c h a d y n am ic t r a i t o f S c h o e n b e rg 's a t o n a l s t y l e .
D avid Lewin, "Soma N o tes on S c h o e n b e rg 's Opus 11," I n T h e o ry O n ly 3. no. 1 (1977-

1978): 4.
CONCLUSION
S c h o e n b e rg 's D rei K la v ie r s tu c k e . Opus 11, much l i k e W agner's T r i s t a n
P r e lu d e b e f o r e them , h a v e p ro v id e d m ore t h a n t h e i r s h a r e o f g r i s t f o r th e
a n a l y t i c a l m ill. The com plex p ia n o p ie c e s c e r t a i n l y d ese rv e t h e in t e n s e
a n a l y t i c a l s c r u t i n y t o w h ich t h e y h a v e been s u b je c te d . I t i s , how ever, th e
i n t r i c a c y o f t h e w ork t h a t m akes a n y s i n g l e a n a l y t i c a l a p p r o a c h u n s a t i s f a c t o r y .
No s i n g l e te c h n iq u e c a n p o s s i b ly h o ld t h e k e y t o a c o m p le te u n d e r s ta n d in g o f
Opus 11. C e r t a i n l y , t h e d i s p a r i t y o f a n a l y t i c a l p e r s p e c t i v e s o f Opus 11 i s
a s to u n d in g . Some h a v e a tte m p te d t o a p p ly a t r a d i t i o n a l h a rm o n ic a n a l y s i s ,
w h ile o t h e r h a v e s im p ly in v e n te d new a n a l y t i c a l te c h n iq u e s . E v e ry m ethod
a tte m p ts t o p ro v e i t s v a l i d i t y b y t h e e x t e n t t o w hich i t s p a r t i c u l a r f o r m u la e
c a n g e n e r a t e c o r r e l a t i o n s am ong d i s p a r a t e e le m e n ts. W hile e a c h s t u d y may make
a v a l i d p o i n t w ith in i t s own p a r a m e te rs , a co m p le te c o m p re h e n sio n o f t h e Opus
11 l i e s o u t s i d e s u c h r e s t r i c t i v e b o u n d a r ie s .
The D rei K l a v i e r s tu c k e m u st be u n d e r s to o d on a t l e a s t t h r e e le v e ls :
h i s t o r i c a l / t h e o r e t i c a l , e m o tio n a l, a n d a e s th e t ic . O b v io u s ly , t h e co m p o sitio n
s t a n d s a s t h e f i r s t co m p le te w ork i n a n a t o n a l idiom . N o n e th e le s s , t h i s r e a l i t y
c a n n o t o b s c u r e t h e f a c t t h a t t h e c o m p o s itio n i s f i r m l y r o o te d i n t h e t r a d i t i o n s
o f l a t e n i n e te e n th c e n t u r y Germ an R om anticism . T r a d i t i o n a l m eans o f c r e a t i n g
m u s ic a l c o h e re n c e s t i l l m a in ta in v i t a l r o l e s . T h em atic f u n c t i o n s , t r a d i t i o n a l
fo rm s, a n d t h e im p o rta n c e o f i n t e r v a l l i c r e l a t i o n s h i p s a r e s t i l l v e r y much in
e v id e n c e i n t h e K la v ie r s tu c k e . Opus 11. How ever, a l l o f t h e s e e le m e n ts a r e
71
72
a r t i c u l a t e d w ith in a n o n - t o n a l c o n te x t, f r e e fro m c h o r d m e a n in g s a n d p itc h
f u n c t i o n s b o rro w e d fro m t h e o ld p r a c t i c e s o f t o n a l i t y . In a t o t a l c h ro m a tic
c i r c u l a t i o n , m o tiv ic i n t e r v a l s d e te rm in e t h e c o n s t r u c t i o n s o f b o th l i n e s a n d
c h o rd s , s o t h a t t h e v e r t i c a l a n d h o r i z o n t a l d im e n s io n s o f t h e p ie c e s d e r iv e fro m
t h e sam e s o u rc e . In te rm s o f a s u s t a i n e d s t r u c t u r e (th e e n t i r e o p u s l a s t s n e a r l y
tw e lv e m in u te s), Opus 11 w as t h e f i r s t m ajo r t e s t o f t h e p o s s i b i l i t i e s o f s u r v i v a l
in a m u s ic a l u n iv e rs e not d o m in ated by tria d ic a lly c e n te r e d h a rm o n ic
c o n s t r u c ti o n .
On a n e m o tio n a l le v e l , Opus 11 r e p r e s e n t s t h e a n g u is h o f a b e tra y e d
hu sband. I n t h e s e p ie c e s , t h e i n n e r t u r m o il c r e a t e d b y S c h o e n b e rg s m a r i t a l
s trife is f ilte r e d t h r o u g h t h e a e s t h e t i c o f e x p re s s io n is m . In a l l o f h i s
c o m p o s itio n s fro m t h i s p e r io d , S c h o e n b e rg u n d e r to o k t h e ty p e o f i n t e n s e s e l f -
e x a m in a tio n so c h a r a c t e r i s t i c o f e x p r e s s i o n is t a r t a n d l i t e r a t u r e . A lth o u g h t h e
c o m p o s itio n a l medium o f Opus 11 p re c lu d e d a n o v e r t p ro g ra m , S c h o e n b e rg s t i l l
m anaged t o s e c r e t l y com m unicate h i s p e r s o n a l dilem m a. The a b u n d a n t a l l u s i o n s
t o n u m e ro lo g y a n d p i t c h sym bolism b r i n g p u z z lin g c o m p o s itio n a l a s p e c ts o f Opus
11 c l e a r l y i n t o fo c u s . The d i s t o r t i o n , a l l u s i o n , a n d e x a g g e r a tio n o f e le m e n ts
fro m t h e T r i s t a n P r e lu d e a r e am ple e v id e n c e o f t h e e x p r e s s i o n is t a e s t h e t i c a t
w ork. The p a r o d y o f T r i s t a n a l s o s e r v e s t o l i n k t h e p ie c e b a c k t o i t s r i c h
Germ an R o m an tic h e r i t a g e . T hus, t h e m any l e v e l s o f c o m p le x ity i n t h e D rei
K la v ie r s tu c k e n o t o n l y le n d m ean in g t o t h e w ork, b u t r e l a t e t o e a c h o t h e r i n t h e
c r e a t i o n o f a hom o g en eo u s w ork.
In l i g h t o f t h e m any i n t e r r e l a t e d c o m p le x itie s i n t h e Opus 11 p ia n o p iece s,
i t i s n o t s u r p r i s i n g t h a t t h e p u b l i c r e a c t i o n t o them re m a in s n e g a tiv e . W ithout
t h e w e a lth o f i n f o r m a t i o n g le a n e d fro m a m u ltitu d e o f c o n s t r u c t i v e f a c e ts , Opus
11 re m a in s a s i g n i f i c a n t b u t e n ig m a tic c o m p o sitio n . A d m itte d ly , s u c h c o n c e a le d
o r g a n i z a t i o n a l e le m e n ts a s n u m e ro lo g y a n d p itc h sym bolism r e s i s t o b v io u s
d e te c tio n b y t h e i r v e r y n a t u r e . F o r t h i s re a s o n , th e D rei K la v ie r s tiic k e . Opus 11
m ig h t n e v e r be d i r e c t l y a c c e s s ib le t o t h e g e n e r a l p u b lic . A p e rfo rm a n c e w hich
s y n th e s iz e s th e m y ria d c o m p le x itie s of Opus 11 in to a c o m p re h e n siv e
u n d e r s ta n d in g , how ever, o f f e r s a u n iq u e re w a rd t o b o th t h e p e r fo rm e r a n d t h e
a u d ie n c e : th e c h a n c e view t h e w o rld t h r o u g h S c h o e n b e rg s ey es, t o e x p e rie n c e h i s
jo y a n d a n g u is h , a n d t o g lim p se t h e d e p th s o f h i s s o u l.
WORKS C IT E D
A dorno, T h eo d o r W. P h ilo s o p h y o f Modern Music. T r a n s la te d b y Anne G. M itc h e ll

an d W esley V. B lo m ster. New York: The S e a b u ry P re s s , 1973.
A u stin , W illiam W. M usic in t h e T w e n tie th C e n tu ry . New York: W. W. N o rto n an d

Co., 1966.
B a rk in , E la in e . R eview o f A rn o ld S ch o en b e rg : D rei K la v ie r s tiic k e . Op . 11:

S tu d ie n 2u r f r tl h e n A t o n a l i t a t b e i S ch o en b e rg , b y R e in h o ld B rinkm ann.
P e r s p e c tiv e s o f New M usic 10. no. 1 (F a ll-W in te r 1971): 344-348.
Beaum ont, A ntony. B u so n i t h e Com poser. London: F a b e r a n d F a b e r, L td., 1985.
__________ ed. F e r r u c io B usoni: S e le c te d L e tte r s . London: F a b e r a n d F a b e r, Ltd.,

1987.
. "B u so n i a n d S ch o en b e rg ." P ia n o Q u a r t e r l y 108 (W inter 1979-1980):

3 2 -3 8 .
B erg, A lban. "What i s A to n a lity ? " I n te r v ie w on t h e V ienna R u n d fu n k (23 A p ril

1930). T r a n s la t e d by M. D. H e rd e r N o rto n . In M usic S in c e 1Q00. ed. N ic o la s
S lo n im sk y . New York: W. W. N o rto n a n d Co., 1937.
C a rp e n te r, P a t r i c i a . "The P ia n o M usic o f A rn o ld S ch o en b e rg ." P ia n o Q u a r t e r l y

41 (1962): 26-31-
C h ris te n s e n , Thomas. "Exem pli g r a t i a : I n t e r v a l O rd e rin g a n d R e o rd e rin g in

S c h o e n b e rg s Opus 11, No. 1 . In T h e o ry O nly 4 (F e b ru a ry -M a rc h 1979): 2 7 -
29.
__________. " S c h o e n b e rg s Opus 11, No. 1: A P a ro d y o f P itc h C e lls fro m T r i s t a n . "

J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 10, no. 1 (J u n e 1987): 3 8 -4 4 .
Cone, Edw ard T. " E d i t o r i a l R e s p o n s i b ili t y an d S c h o e n b e rg s T roublesom e

M is p rin ts ." Per s p e c t iv e s o f New M usic 11. no. 1 (F a ll-W in te r 1972): 6 5 -7 5 .
Demuth, Norm an. M u sical T re n d s in t h e T w e n tie th C e n tu ry . W e stp o rt, C o n n e c tic u t:

Greenw ood P re s s , 1975.
F o rte , A llen . "The M ag ica l K aleid o sco p e: S c h o e n b e rg s F i r s t A to n a l M asterw ork,

Opus 11, No. 1." J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 5, no. 2
(November 1981): 12 7 -1 6 8 .
74
75
__________ . " S c h o e n b e rg 's C r e a tiv e E v o lu tio n : The P a th t o A tc n a lity ." M u sic a l

Q u a r t e r l y 64. no. 2 (1978): 1 3 3 -1 7 6 .
__________ " S e ts a n d N o n se ts i n S c h o e n b e rg 's A to n a l M usic." P e r s p e c tiv e s o f New

M usic 11. no. 1 ( F a ll- W in te r 1972): 4 3 -6 4 .
F rie d b e r g , R u th . "The S o lo K e y b o ard Works o f A rn o ld S c h o e n b e rg . M usic R eview

23 (1962-3), 3 9 -5 0 .
F ried h eim , P h ilip . " R h y th m ic S t r u c t u r e in S c h o e n b e rg 's A to n a l C o m p o sitio n s."

J o u r n a l o f t h e A m erican M u s ic o lo g ic a l S o c ie ty 19. no. 1 (S p rin g 1966): 5 9 -
72.
__________ . L e t t e r t o t h e e d i t o r : " S c h o e n b e rg 's K eyboard Works." M usic Review.

23, no. 2 (May 1962): 1 7 4 -1 7 5 .
___________ " T o n a l ity a n d S t r u c t u r e i n t h e E a r ly Works o f S c h o e n b e rg ." Ph.D.

d is s ., New Y ork U n iv e r s it y , 1963.
G ould, G len n . A rn o ld S c h o e n b e rg : A P e rs p e c tiv e . C in c in n a ti: U n iv e r s ity o f

C in c in n a ti, 1964.
G ro u t, D o n ald J a y . A H i s t o r y o f W estern Music. F o u r t h e d itio n . New Y ork: W. W.

N o rto n an d Co., 1988.
L e i c h t e n t r i t t , Hugo. M u sical Form. C am bridge: H a rv a rd U n i v e r s it y P r e s s , 1951.
Lewin, D avid. "Some N o tes o n S c h o e n b e rg 's Opus 11." In T h e o ry O n ly 3, no. 1

(1977-8): 3 -7 .
Lohman, P e t e r N. " S c h o e n b e rg 's A to n a l P ro c e d u re s : A N o n - s e r i a l A n a ly tic

A pproach t o t h e I n s t r u m e n t a l W orks." Ph.D. d is s ., Ohio S t a t e U n i v e r s it y ,
1981 .
M acDonald, Malcom. S c h o e n b e rg . London: J. M. D ent a n d S ons, L td., 1976.
McBride, J e r r y . " S c h o e n b e rg s A n n o ta te d H a n d ex em p lare ." J o u r n a l o f t h e A rn o ld

S c h o e n b e rg I n s t i t u t e 5, no. 2 (November 1981): 1 8 3 -2 0 1 .
[M cColvin, R., ed.). A rn o ld S c h o e n b e rg (1874-1951): Books. R eco rd s, a n d S c o re s.

London: Lam beth L i b r a r i e s , 1974.
N e ig h b o u r, O liv e r, P a u l G r i f f i t h s , a n d G eo rg e P e r le . The New G ro v e S econd

V ien n e se S ch o o l: S c h o e n b e rg , Webern, B erg. The Com poser B io g ra p h y S e rie s ,
ed. S ta n l e y S ad ie. New Y ork: W. W. N o rto n a n d Company, 1983.
N ew lin, D ika. B ru c k n e r. M ah ler, S c h o e n b e rg . R e v ise d e d itio n . New Y ork: W. W.

N o rto n a n d Co., 1978.
__________ . "The P ia n o M usic o f A rn o ld S c h o e n b e rg ." P ia n o Q u a r t e r l y 105 (S p rin g

1979): 3 8 -4 3 .
76
__________ . S c h o e n b e rg Remembered. New York: P e n d ra g o n P re s s , 1980.
Ogdon, H ill. "How T o n a l i t y F u n c tio n s i n S c h o e n b e rg 's Opus 11, No. 1." J o u r n a l

o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 5, no. 2 (November 1981): 16 9 -1 8 1 .
P ay n e, A n th o n y . S c h o e n b e rg . London: O x fo rd U n i v e r s it y P re s s , 1968.
P e r le , G eorge. S e r i a l C o m p o sitio n a n d A to n a litv : Ah I n t r o d u c ti o n t o t h e M usic

o f S c h o e n b e rg . B erg, a n d Webern. 5 th e d i t i o n . B e rk e le y : U n i v e r s it y o f
C a l i f o r n i a P re s s , 1981.
P e tre e , K a th e rin e F. " P e rfo rm a n c e P r a c ti c e s i n t h e P ia n o M usic o f A rn o ld

S c h o e n b e rg ." DMA d is s ., U n i v e r s it y o f K ansas, 1986.
P e y s e r, J o a n . The New Music: The S en se B ehind t h e Sound. New York: D e la c o rte

P re s s , 1971.
R a e s s le r , D a n ie l M. " S c h o e n b e rg a n d B u so n i: A sp ec ts o f t h e i r R e la tio n s h ip ."

J o u r n a l o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e 7, no. 1 (Ju n e 1983), 7 -2 8 .
R eich, W illi. S c h o e n b e rg : A C r i t i c a l B io g ra p h y . T r a n s la t e d b y Leo B lack . New

York: P r a e g e r P u b li s h e r s , 1971.
P.eible, J o h n Jo s e p h , H I. " T r i s ta n R om anticism a n d t h e E x p re s sio n is m o f t h e

'T h re e P ia n o P ie c e s' Opus 11 o f A rn o ld S c h o e n b e rg ." Ph.D. d is s ., W a sh in g to n
U n iv e r s ity , 1980.
R e ti, R u d o lf. "F o rm a le E r l a u t e r u n g e n zu A rn o ld S c h o e n b e rg 's K la v ie r s tu c k e n ."

P e r M erker 17 (1911): 7 1 5 -7 1 7 .
Rosen, C h a rle s . A rn o ld S c h o e n b e rg . New York: The V ik in g P re s s , 1975.
R u fe r, J o s e f . The W orks o f A rn o ld S c h o e n b e rg : A C a ta lo g u e o f h i s C o m p o sitio n s.

W ritin g s , a n d P a i n t in g s . T r a n s la t e d b y D ika N ew lin. London: F a b e r a n d
F a b e r, L td., 1962.
Sam son, Jam es. M usic in T r a n s it i o n : A S tu d y o f T o n a l E x p an sio n a n d A to n a litv .

New York: W. W. N o rto n a n d Co., 1977.
__________ . " S c h o e n b e r g 's 'A to n a l'M u s ic ." Tempo 109 (Ju n e 1974): 1 6 -2 5 .
IS ato h , T etsu o , e d .l A B i b li o g r a p h ic C a ta lo g w ith D is c o g ra p h y an d a

C o m p reh en siv e B i b lio g r a p h y o f A rn o ld S c h o e n b e rg . Tokyo: K u n ita c h i M usic
C o lle g e L ib r a r y , 1978.
S c h o e n b e rg , A rn o ld . D re i K la v ie r s tiic k e . Op u s 11 119091 A u to g ra p h m a n u s c rip t.

A rc h iv e s o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e , U n i v e r s it y o f S o u th e r n
C a l i f o r n i a , Los A n g eles.
__________ . D rei K la v ie r s tu c k e . Op u s 11. A n n o ta te d by t h e com poser. V ienna:

U n iv e r s a l E d itio n (U.E. 2991), 1910. A rc h iv e s o f t h e A rn o ld S c h o e n b e rg
I n s t i t u t e , U n i v e r s it y o f S o u th e r n C a l i f o r n i a , Los A ngeles.
77
__________ D rei K la v ie r s tiic k e . Op u s 11. A n n o ta te d b y E d u a rd S te u erm a n n .

V ienna: U n iv e r s a l E d itio n (U.E. 2991), 1910. A rc h iv e s o f t h e A rn o ld
S c h o e n b e rg I n s t i t u t e , U n i v e r s it y o f S o u th e rn C a l i f o r n i a , L cs A ngeles.
__________ . D rei K la v ie r s tiic k e . On. 11. Los A ngeles: B elm ont M usic P u b lis h e r s ,
1938.
__________ . Kla v ie r s tU c k . Op u s 11. Ho. 2: K onzertm Sflige I n t e r p r e t a t i o n von

F e r r u c io B usoni. V ienna: U n iv e r s a l E d itio n (U.E. 2992), 1910.
__________. S a m tlic h e Werke: K la v ie r zu 2 Handen. A b te ilu n g II, R eih e A, Band 4.

H e ra u sg e g e b e n von E d u a rd S te u e rm a n n un d R e in h o ld B rin k m an n . Mainz: B.
S c h o tt's Sohne; V ienna: U n iv e r s a l E d itio n AG, 1968.
__________ . S a m tlic h e Werke: K la v ie r zu 2 Handen. A b te ilu n g II, R eih e A, Band 4.

H e rau sg eg e b en vo n E d u a rd S te u e rm a n n u n d R e in h o ld B rinkm ann. Mainz: B.
S c h o tt's S ohne; V ienna: U n iv e r s a l E d itio n AG, 1986.
__________ . S am tlic h e Werke: K la v ie r zu 2 Handen. A b te ilu n g II, R eih e B, Band 4.

H e ra u sg e g e b e n vo n E d u a rd S te u e rm a n n u n d R e in h o ld B rin k m an n . Mainz: B.
S c h o tt s Sohne; V ienna: U n iv e r s a l E d itio n AG, 1968.
__________ . T h e o ry o f H arm ony. T r a n s la t e d b y Roy E. C a r te r . Los A ngeles:

U n iv e r s ity o f C a l i f o r n i a P re s s , 1978.
__________ . U n p u b lis h e d P r e f a c e t o t h e T h re e P ia n o P ie ces, Opus 11 d a te d J u l y 27,

1949. A u to g ra p h M a n u sc rip t. A rc h iv e s o f t h e A rn o ld S c h o e n b e rg I n s t i t u t e ,
U n iv e r s ity o f S o u th e r n C a l i f o r n i a , Los A ngeles.
S c h u ltz , Donna G artm an. " S e t T h e o ry a n d i t s A p p lic a tio n t o C o m p o sitio n s by F iv e

T w e n tie th C e n tu ry Com poser." Ph.D. d is s ., M ichigan S t a t e U n iv e r s ity , 1979.
Simms, B ry a n R. M usic o f t h e T w e n tie th C e n tu ry : S t v l e a n d S t r u c t u r e . New York:

S c h irm e r Books, 1986.
S lo n im sk y , N ic o la s. L exicon o f M u sical I n v e c tiv e . S e a tt l e : U n iv e r s ity o f

W a sh in g to n P re s s , 1965.
S te in , E rw in, ed. A rn o ld S c h o e n b e rg L e tte r s . T r a n s la t e d by E ith n e W ilk in s an d

E r n s t K a ise r. New York: S t. M a r tin 's P re ss , 1965.
S te in , L eo n ard . "F o rew ard : T o n a l o r A to n a l? " J o u r n a l o f t h e A rn o ld S c h o e n b e rg

I n s t i t u t e 5. no. 2 (November 1981): 121-123.
__________ ed. S t.v le a n d Id ea: S e le c te d W ritin g s o f A rn o ld S c h o en b e rg .

T r a n l a t i o n s b y Leo B lack . Los A ngeles: U n i v e r s it y o f C a l i f o r n i a P re ss ,
1975.
S te rn e , C o lin C. " A rn o ld S c h o e n b e rg a n d t h e Harm ony o f N um ber. T y p e w ritte n

m a n u s c r ip t [p h otocopy], 1988.
78
S te u erm a n n , E d u ard . "T he P ia n o M usic o f S c h o e n b e rg ." In S ch o en b e rg , ed. M erle

A rm itage. K e s tp o rt, C o n n e c tic u t: G reenw ood P re s s , 1977.
S tu c k e n sc h m id t, H. A rn o ld S ch o en b e rg : H is L ife . W orld, a n d Work. T r a n s la te d by

H um phrey S e a r le . New York: S c h irm e r B ooks, 1978.
T u ra b ia n , K ate L. A Man u a l f o r W rite rs o f Term P a p e rs . T heses, a n d D is s e r ta tio n s .

F i f t h e d itio n . C hicago: U n i v e r s it y o f C h icag o P re s s , 1987.
W ellesz, Egon. A rn o ld S c h o e n b e rg . T r a n s la t e d b y W. H. K e rrid g e . London: J. M.

D ent a n d S ons, L td., 1925; r e p r i n t , W estp o rt, C o n e n c tic u t: Greenwood P re s s
P u b lis h e r s , 1970.
Wenk, A r th u r , comp. A n a ly se s o f N in e te e n th a n d T w e n tie th C e n tu ry Music: 1 940-

1985. B oston: M usic L ib r a r y A s s o c ia tio n , 1987.
W ittlic h , G ary. " I n t e r v a l S e t S t r u c t u r e in S c h o e n b e rg 's Op. 11, No. 1."

P e r s p e c tiv e s o f New M usic 13. no. 1 (1976): 4 1 -5 5 .

Historical and Theoretical Perspectives of Arnold Schoenberg's Drei Klavierstuecke, Opus 11 PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Historical and Theoretical Perspectives of Arnold Schoenberg's Drei Klavierstuecke, Opus 11 PDF

Uploaded by

Copyright:

Available Formats

INFORMATION TO USERS

The most advanced technology has been used to photo

The quality of this reproduction is dependent upon the

Oversize materials (e.g., maps, drawings, charts) are re

Photographs included in the original manuscript have

University Microfilms International

H istorical and theoretical perspectives o f Arnold Schoenbergs

Clinton, M ark Kennerly, D.M.A.

HISTORICAL AND THEORETICAL PERSPECTIVES

ARNOLD SCHOENBERG'S DREI KLAVIERSTOCKR. OPUS 11

APPROVED, THESIS COMMITTEE

Dr. Anne Schnoebelen, Chair

3rTWalter Balil e y , D irector

HISTORICAL AND THEORETICAL PERSPECTIVES OF

t o S c h o e n b e rg 's D rei K la v ie r s tu c k e . Opus 11, i n t o a c o m p re h e n siv e u n d e r s ta n d in g

o f t h e w ork. As t h e f i r s t co m p le te p u b lis h e d w o rk i n a n a t o n a l idiom , t h i s p ie c e

h a s been t h e f o c u s o f n u m e ro u s d i s p a r a t e a n a l y t i c a l te c h n iq u e s . T h is docum ent

a tte m p ts t o com bine a v a r i e t y o f t r a d i t i o n a l a n a l y t i c a l m eth o d s ( h i s t o r i c a l -

b a se d o n p i t c h sym bolism , S c h o e n b e rg 's f a s c i n a t i o n w ith n u m e ro lo g y , a n d an

u n d e r l y i n g c o r r e l a t i o n betw een t h e Opus 11 p ie c e s a n d W agner's T r i s t a n P re lu d e .

An e x a m in a tio n o f c o r re s p o n d e n c e betw een S c h o e n b e rg a n d t h e p i a n i s t ,

Opus 11, no. 2, w hich B u so n i a r r a n g e d in a c o n c e r t t r a n s c r i p t i o n . W hile b o th

men w ere s e e k in g t h e common g o a l o f a new m eans o f m u s ic a l e x p r e s s io n , B u so n i's

Opus 11, c o m p le te s t h e s y n t h e s i s o f a n a l y t i c a l a p p ro a c h e s . A c o m p a riso n o f t h e

q u e s tio n s o f e d i t o r i a l r e s p o n s i b i l i t y a n d p e rfo rm a n c e p r a c t i c e in t h e w ork.

I w ish t o t h a n k my a d v is o r , Dr. W a lte r B a ile y , f o r h i s g u id a n c e a n d

u n d e r s ta n d in g d u r i n g t h e d ev e lo p m e n t o f t h i s docum ent. W ith o u t h i s a s s is ta n c e ,

t h e r e s e a r c h n e c e s s a r y t o c o m p lete t h i s s t u d y w ould h a v e been v i r t u a l l y

in s u rm o u n ta b le . He made i t p o s s ib le f o r me t o m eet Dr. L e o n a rd S te in , D ire c to r

v a l u a b l e i n s i g h t s p ro v id e d much i n s p i r a t i o n f o r t h i s docum ent. Many t h a n k s a r e

W ith o u t th e su p p o rt of n u m ero u s p ro fe sso rs, a d m i n i s tr a t o r s , and

c o l l e a g u e s a t t h e S h e p h e rd S c h o o l o f M usic a t R ice U n iv e r s ity , I w ould n o t h a v e

been a b l e t o co m p lete t h i s p r o j e c t on s c h e d u le . I am t r u l y g r a t e f u l f o r t h e m any

Unpublished Preface to Opus 1 1 ................................. vi

The Critical Reception of Opus 1 1 ..................... 3

2. Non-traditional Structural Elements in Opus 11

Tristan and the Dissolution of Tonality .............. 8

Numerology and its Function in Opus 1 1 ................. 9

Schoenberg's Pitch Symbolism ........................... 13

The "Tristan" Complex of Opus 1 1 ....................... 16

3. Analytical Perspectives of Opus 11

4. The Schoenberg-Busoni Relationship

The "Konzertmaflige Interpretation" ..................... 48

The Schoenberg-Busoni Letters ......................... 52

5. Editorial Questions in Opus 11

The Manuscript and Handexemplare ....................... 62

The Samtliche H e r k e ................................... b6

The T h re e P ie ces f o r P ia n o , Op. 11 (1909), w ere n o t my f i r s t s t e p to w a rd a

I m ust c o n f e s s t h a t I was s t a r t l e d a b o u t t h e p u b lic r e a c tio n . To me, t h e

c o m p o s itio n a l l i f e . He was a b o u t t o em b ark o n a m ost r e v o l u t i o n a r y an d

tw e lv e - to n e sy stem . The c o m p o s itio n a l b r e a k t h r o u g h s o f t h i s p e r io d w ere f u e le d

t o a g r e a t e x t e n t b y S c h o e n b e rg 's p e r s o n a l c r i s i s a t t h e tim e: n am ely , m a r i t a l

s t r i f e t h a t le d t o h i s w ife 's in v o lv e m e n t w ith t h e y o u n g p a i n t e r R ic h a rd G e r s t l

d u r i n g 1906-190S . G e r s t l l i v e d w ith t h e S c h o e n b e rg f a m i ly d u r i n g t h e sum m ers

<3f 1907 a n d 1908. U nder h i s g u id a n c e , S c h o e n b e rg became s e r i o u s l y i n t e r e s t e d

l e f t h e r h u s b a n d f o r t h e p a i n t e r G e r s t l som etim e d u r i n g t h e summer o f 1908.

Upon a p p e a ls fro m s e v e r a l f r i e n d s (among them , S c h o e n b e rg 's s t u d e n t Webern), s h e

e v e n t u a l l y r e t u r n e d t o h e r f a m ily t h a t f a l l . Soon t h e r e a f t e r , G e r s t l com m itted

In a tre m e n d o u s b u r s t o f c o m p o s itio n a l a c t i v i t y fro m S eptem ber 1908 u n t i l

A u g u st 1909, S c h o e n b e rg com posed t h e f i f t e e n s o n g s fro m S te f a n G e o rg e 's Das

Buch d e r h a n g e n d e n G a rte n . Opus 15, t h e F u n f O r c h e s te r s tu c k e . Opus 16, t h e D re i

K la v ie r s tu c k e . Opus 11, a n d t h e m onodram a E rw a rtu n g . Opus 17. On 14 J a n u a r y

1910, t h e S o c ie ty f o r A rt a n d C u l tu r e p r e s e n te d a n e v e n in g o f S c h o e n b e rg 's m usic