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Fugue and Fugato in Beethoven's Variation Form

Author(s): Ludwig Misch and G. I. C. deCourcy


Source: The Musical Quarterly, Vol. 42, No. 1 (Jan., 1956), pp. 14-27
Published by: Oxford University Press
Stable URL: http://www.jstor.org/stable/740471
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Musical Quarterly

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FUGUE AND FUGATO
IN BEETHOVEN'S VARIATION FORM
By LUDWIG MISCH

W HEN Beethoven made his appearance in musical history, the


Sfugue was regarded as an outmoded form. True, it still played a
role in sacred music, but it had disappeared more and more from instru-
mental music. According to Alfred Einstein,1 "Haydn wrote no fugue
finales in his quartets after 1780," and after 1783 or 1784 "Mozart
wrote no more fugues just for the sake of writing them." Nevertheless
both these masters developed a new species of free counterpoint that
enriched the originally homophonic sonata and increased its depth to
classical perfection.
But in the new soil of the sonata it was also only a step from imitative
counterpoint to the principle of the fugue. Thus in the London sym-
phonies, Haydn in the course of thematic elaboration returned at times
to the fugato (finales of Nos. 96, 99, 101) and Mozart went back to the
principle of the fugue, creating in three famous instances special forms
of the synthesis of fugue and sonata principles, namely the finales of the
G-major String Quartet (K. 387), the Jupiter Symphony, and the Over-
ture to The Magic Flute.
Beethoven took up from here the structural process that aimed to
weave a fugal texture into the sonata and developed it to an ever greater
degree and continually with new constructive features. This led to the
re-animation of the fugue, or, more exactly, to the renascence of the
fugue through the genius of the sonata.
We know that from boyhood on he was acquainted with the Well-
Tempered Clavier and in Vienna had made a thorough study of fugal
composition; yet when he came to write himself, he arrived at the fugue
by way of the fugato. That is, he did not take over the fugue - apart
from its integral form in sacred music2 - as a valid, finished form, but
SAlfred Einstein, Mozart, His Character, His Work, New York, 1945.
2 Except the interruptions of the fugue form in the Cum sancto spiritu of the C-
major Mass through the Quoniam interpolations.

14

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Fugue and Fugato in Beethoven's Variation Form 15
as a model of compositional technique that might advantageously be
applied also to contemporary musical forms, a technique that he freely
made use of in conformity with the demands of his own style.3 Neverthe-
less up to his middle period it was only exceptionally that he wrote a
complete fugue, though in later years he did so with increasing frequency.

Since the Beethoven instrumental fugue (barring the unjustifiably


neglected Quintet fugue, Op. 137, and the Grand Fugue, Op. 135, which
achieved its independence only later) does not appear as an independent
form but as part of a higher form, it can be regarded, in view of its
function, as a special type of fugato, except that a fugato is part of a
movement while a fugue is usually a movement in a cycle.'

Beethoven's fugal treatment involves sometimes a whole movement


in the sonata cycle (complete fugue) and at other times fugal writing
in the course of a single movement, whether it be in the sonata, rondo,
scherzo, or variation form. Not only does he employ fugal writing in
sonata movements in variation form, but he also applies it in independent
variation cycles.

In the following general survey of the fugue and the fugato in the
variation form, we shall consider a portion of the infinite variety of forms
that resulted from Beethoven's employment of fugal technique.
* *

The first contact of the Beethoven var


in a composition dating from as ea
Siissmayr's theme, Tiindeln und Scherzen
and apparently superficial: the final
begins with the exposition of a three-pa
derived from the first four measures of
sition is followed only by an entry of th
the fugal treatment then comes to a ra
However, after the surprising modul
mm. 9-10 of the variation theme) th

SBeethoven's attitude towards the fugue is m


own words, as quoted by Karl Holz: "There's n
dozens of them in my student days. But im
nowadays another and really poetic element mu
Lenz, Beethoven, Part V, p. 219; Thayer, Lif
ed., 1917-23), V, 76.
Exceptions: Op. 110 and Op. 124.

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16 The Musical Quarterly
chords, returns again to introduce a homophonic tre
motifs (the germ cell of a "form idea" wonderfu
110) and to provide at the last the material for a

For Beethoven's contemporaries, this allusion to


regarded as obsolete in a work that then represente
light music, may have had the charm of the piquan
the procedure apparently had a deeper significance. (
of the procedure are easily recognizable in the imitat
on La stessa, la stessissima, and in the strettos of the cod
on Kind, willst du ruhig schlafen.) Like the use of fo
and subdominants) in Variations V and VI, it was a s
enrichment of the variation form, and in a retr
Beethoven's later works, it represents the first i
"form idea."

Apart from experimental studies, Beethoven's first complete fugue is


found in a set of variations, the so-called Eroica Variations, Op. 35.
While the little fugato in the finale of the Siissmayr Variations is hardly
more than an ingenious episode, the fugue in Opus 35 is a component
part of the form - a logical constituent in the constructive plan of the
work as a whole.

When Beethoven chose for a set of variations a theme that he had


already employed twice before (as Contredanse and as final theme in
the Prometheus music) his choice was certainly dictated not by mere
predilection for the theme, but by an intuitive feeling that he had not
yet exhausted all its possibilities. Among its lasting appeals to his fantasy
was especially the characteristic thematic configuration that the bass of
the Contredanse had assumed in the Prometheus music resulting from the
important octave transposition of the second note.5 For in Opus 35 he
places this bass theme-still not fully utilized-in unison and octaves at
the very beginning, to employ it-like a chaconne theme-as cantus
firmus for three variations (a due, a tre, a quattro) in the contrapuntal

S From this small but very significant deviation, Riemann (Thayer, op. cit.,
Vol. II) draws the cogent conclusion that the Contredanse represents the earliest
version of the theme and not, as Nottebohm assumed, that the Contredanse derived
from the Prometheus music.

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Fugue and Fugato in Beethoven's Variation Form 17

voices of which can be heard the melody of the theme." The melody
destined for the bass is not introduced till after this Introduzione col Basso
del Tema; and with this the real theme is stated on which fifteen varia-
tions are based, as expressly indicated in the heading.

The following fugue, which begins the great "finale" and derives its
theme from the bass of the theme of the variations, is the consequence
of the Introduzione:7 the continuation and climax of the contrapuntal
elaboration originating there in the Basso del Tema. In turn, the fugue
gives the Introduzione greater constructive significance, since the latter
serves not only to prepare the theme of the variations but at the same
time to give the Basso del Tema the independence of a theme partici-
pating recurrently in the structure of the form. The canonic Variation
VII forms a contrapuntal link between Introduzione and fugue, and
the chaconne principle also shimmers through the set of variations (Nos.
IX, XIII, XIV). On the other hand, a melodic fragment of the theme
of the variations (in a rhythmical variant, which finds similar employ-
ment in the finale of the Eroica) breaks into the fugue and dominates
so preponderately the great episode between the two main sections as to
give the illusion of a thematically contrasting middle section. Since the
bass theme plays only a secondary role in comparison with the real theme
of the variations, the fugue cannot conclude the work. Hence, it leads
into a more richly embellished repetition of the theme of the variations,
which undergoes its apotheosis in a final variation (with the melody in
the bass), and ends in a thematic coda.

A comparison of the set of variations, Op. 35, with the finale of the
Eroica gives us insight into a splendid creative process of further de-
veloping and re-forming a musical idea.

It is customary to call the finale of the Eroica a variation movement,


but such a designation does not do justice to the individuality of this

6 The counterpoints, which at first are taken to be treatments of the bass theme
- and which besides finally approximate to a homophonic structure - are at the
same time variations of the melody. One can call them anticipatory variations of a
still unknown theme.

7 Riemann already implies this when in his discussion of the Variations, Op. 35,
and the Eroica finale he says somewhat imprecisely: "The contrapuntal structure
appears again in both works.., and finally leads to a long drawn-out fugue." (The
Eroica finale, as we know, does not contain a complete fugue, but only two fugato
sections.)

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18 The Musical Quarterly
particular form. Although leading constructive ide
details of the thematic elaboration,8 and even one w
the principal features of half of another one have b
the piano work, Op. 35, into the symphonic movem
represents an entirely new and fundamentally diffe
is clearly shown by the fact that it has only three c
the melody theme to the piano work's fifteen vari
the fugue; and moreover, instead of one complete fu
and distinct fugatos.

Since the first fugato immediately follows the e


theme, and since this, within the Allegro molto - pr
movement - has only one variation (which further
key, D major, through a modulation from B min
question of a movement written in the variation form
two fugatos in the main section of the symphonic m
plete fugue in the finale of the piano work, and the
tinuing set of variations into a much reduced numb
components clearly indicate the nature of the chan
and fugue have relinquished their formal indepe
synthesis in which they are mere constituents.

If for this interpretation there would seem to be


tions, as compared with the fugatos, one must
contrapuntal treatments of the bass theme (reduced
ally as closely related to the fugatos as to the varia
indeed, thematically even more so. And the cantus-
which were newly composed for the symphonic mov
closely related to the likewise newly composed fuga
ponding sections in Op. 35. The beginning of the firs
transposition of the first cantus-firmus variation.

Thematic elaboration, which lets the C-major re-e


theme pass into a little piece of real "development,
gether the basic form types. Apart from the introd
in the closing stretto), we find, as a new form c

8 For example: the initial motif of the sixteenth-note fig


variation (bass of the piano variation IV); the bass variant
the theme melody (Andante con moto, Op. 35); the rhythmic
of the theme melody in the second fugato; the sequence treat
of the bass theme after the second fugato (both prepared in
the stretta motif of the theme melody in the presto.

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Fugue and Fugato in Beethoven's Variation Form 19
trast of the G-minor theme, to which the head motif of the bass
theme provides the foundation as a rhythmically varied, transposed, and
freely completed ostinato.

According to Paul Mies,' the sections are arranged on the principle


of the "rondo form," with the G-minor section as the middle one. How-
ever, as Riezler says, here we "no longer have a juxtaposition of sections
of equal importance, but a real symphonic development to climaxes, the
last of which (the solemn hymnodic turn of the theme) forms a truly
monumental close to the work."0

In Riezler's opinion" the bass, not the melody, is the "real theme" of
the symphonic movement. It is perhaps more correct to speak of a
double theme, both components of which (bass and melody) play equal
roles. If the bass theme alone enters first, then the melody alone has
the last word. In the Andante variations, the bass theme is absent
altogether. In one, half of the variation manifests a different har-
monic treatment; and in the other half, the bass only forms the
harmonic fundament. In the other variation, the melody itself assumes
the role of the bass. And the closing stretta also derives its motif from
the melody of the theme.

In this connection one may once more raise the question why Beet-
hoven went back, for the finale of the Eroica, to a theme he had already
repeatedly used in the past. Riemann12 and Bekkerl3 see in this choice of
theme an identification of the Eroica hero with Prometheus, the Titan
and benefactor of mankind. That may be true; but a musical criterion
probably counted more with Beethoven than such symbolism. At any
rate, in the stylistic world of the Eroica no theme was better suited as
bearer of the final idea of the Eroica than that of the Prometheus finale.
The stylistic relationship of the final theme to the diametrically different

SPaul Mies, Ludwig van Beethovens Werke iiber einen Kontretanz in Es dur, in
Beethoven-Jahrbuch, 1953-54.
to Another illustration of such a climactic treatment is the heightened pace, which
is not found in the piano variations and which leads from the bass theme over the new
cantus-firmus variations (eighth notes, eighth-note triplets) to the theme melody in-
troduced here by the sixteenth-note figuration.
1 Walter Riezler, Beethoven, Berlin & Zurich, 1936.
12 Hugo Riemann, Beethovens Prometheus-Musik ein Variationenwerk, in 1te
Musik, IX (1909-10), Nos. 13-14.
13 Paul Bekker, Beethoven, Berlin, 1911.

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20 The Musical Quarterly

main theme of the first movement of the sym


clearly in the following comparison of their resp

Ex. I (Hom)

FinoIe

* *.
Jk?

In the composition of the variation form in the second movement of


the Seventh Symphony, we find fugal treatment employed in another
way. Here too a fugato evolves from the contrapuntal tendency of the
theme, which from the first variation on unites with a "counter melody"
and does not break away till after the fourth variation. Therefore here
also a "double theme" operates over a fairly wide section.

But for all that, the form of the movement is totally different from
that of the Eroica Variations or the Eroica finale. Here the ground plan
is a variation movement with a contrasting theme alternating twice with
the variations and playing at the same time the role of a trio and of the
"Maggiore" episode customary in minor variations. The "counter
melody" to the variation theme has, and achieves, no structural independ-
ence no matter how prominent it may be as melody. As is clearly ap-
parent, it is the varied middle voice of the theme. It is therefore not a
prime element, but a product of the variation process. And through its
entire existence it remains linked with the theme. It effects the first
variation of the theme; and with the theme undergoes in turn further
variation. The variation theme dominates the entire movement and its
rhythm also dominates the thematically contrasting middle sections.

14 Bekker also sensed a relationship between the two themes but laid it to a
"color symbolism" that he attributed to them. He finds that the main theme of the
first movement was planned from the first "to be given out by the brazen voice of
the brass," and in the same line of thought says of the finale: "This theme also is
adapted most closely to the character of the horns and achieves a last intensification
through the timbre of the instruments." Although the themes, in the horn parts, are
very closely interrelated, Bekker's presumable tertiumn comparationis is probably only
an accidental phenomenon.

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Fugue and Fugato in Beethoven's Variation Form 21
The fugato evolves directly and quite naturally, as exposition of a
double fugue, from Variation IV. Then after a short free continuation,
it leads to a shortened variation on measures 1-4 and 13-16 of the theme.
Since the countersubject develops from the broken motion of the
sixteenth-note figuration of Variation IV and with its constant sixteenth-
note motion and its motifs supplies the figuration for the following
shortened variation, and since further the dynamics lead in a powerful
crescendo from the piano of Variation IV over the pianissimo of the
fugato to the fortissimo of the shortened variation, this represents the
climax and coda of a large section beginning with Variation IV. The
fugato not only serves to combine the parts into a large entity but it also
generates a tremendous tension that must perforce erupt in a powerful
climax.

One gets a better understanding of the importance of the fugato if


one compares the section in which it appears with the first part of the
movement. The first three variations also form a group of interrelated
parts that mount to a climax stepwise through the ascending registers of
the different instruments, by a heightened pace (eighth-note figuration
in the second variation, eighth-note triplets in the third), and by a
constant, gradual crescendo. The fugato represents a new way of achiev-
ing a corresponding climax in a section whose form is similar to that of
the preceding group, the A-major middle section of both groups creating
the analogy.

In the last movement of the Violin Sonata, Op. 96, the variations are
followed by a fugato, whose brooding and apparently entirely new theme
is derived from the first three measures of the variation theme: it is de-
veloped from the first twelve notes transposed to the minor in a new
rhythmical-metrical order.

Ex. z

The structure of the exposition in four-measure groups forming two


corresponding eight-measure groups, and the new key (subdominant)
of the stretto beginning in measure 17 make it seem as though the
fugato were going to develop into another real variation. But the rapid

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22 The Musical Quarterly
transition of the stretto into a bridge passage lea
tion of the variation theme (with increased figu
the fugato is the beginning of the "finale" of the
E- -?.

In two numbers of the V


piano alone or with flute o
finale. The three variatio
No. 1 are followed by a G-
the last variation (Allegr
dantino quasi Allegretto) it d
of the air in dotted rhythm
and then, with an original
passes diminuendo into th
on an Air de la Petite Ru
finale, which comprises tw
and both linked by a fugat
this fugato is a special case
of the bass of the air) afte
freely; then after a last en
bass in the final variation,

In the Diabelli Variation


"fughetta" designated as
if very freely - the grou
measure exposition corresp
the first section of the fo
steps of which are imitate
sion of the episode (with the
here) represents the four-m
of the waltz. The similarity
transparent, is equally unm
meter in polyphonic texture
measures with their overla
ture of the corresponding
dominant upbeat and the
intimate the nature of the
that again follows has a di

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Fugue and Fugato in Beethoven's Variation Form 23

variation theme in the final measures of the fughetta is perfectly ap-


parent. Moreover the re-entry in straight motion of the previously in-
verted fugue theme clearly differentiates these final measures from the
preceding.

The tremendous triple fugue also counts as a variation (XXXII),


though technically speaking it should not be so regarded. It is a product
of the variation theme inasmuch as the head of the first and main theme
is evolved from the beginning of the waltz and the close perhaps from
measures 13-14 or 29-30 of the waltz.

Ex. (Comes
3 - Tronsposdon) (WIh,,~~ 29-30~). -

Moreover, like the fugue in Op. 35, it i


and climax of the contrapuntal treatment th
- in imitations, canonic parts, one whole
canon, and another in the form of a fugue.

The Trio Variations on Wenzel Miiller's so


Kakadu (Op. 121) also contain a fugato lin
the last numbered variation (X) and a con
Tricked out with features to heighten the
form of a complete fugue: a four-part dou
lowed, after a short episode, by three d
strettos in alternating keys and differentiated
larger analogous episodes.

Structurally there are two new motives for i


it rounds out the rapidly fleeting presto Var
the preceding variations while maintainin
rhythm. (However, for all that, the variatio
to the fugato through the major-minor con
ponents.) And secondly it reverts, for its s
first four measures of the song-melody, to
ploys the same fragment in preparation fo
*t *t

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24 The Musical Quarterly
The instrumental double fugato in the finale of t
(like the fugato in the second movement of the Sev
from one variation and leads into another, linkin
powerful section (differentiated by tempo and met
gards dimensions, thematic content, and relationship
variations, this fugato has a totally different structural
nificance. It does not connect two interrelated varia
tions of different tonality and entirely different ch
two it stands as a coordinated, substantially independ
from both in expressive content. It presents, so to
situation," which evolves from the preceding variati
concluding variation is the logical consequence.
For the fugato does not derive its theme from th
the rhythmic material of the B-flat major variatio
form elements having here a different function. In
themes, the syncopated rhythm that varies the Joy
melodic medium. In the other, the eighth-note rhyth
which bridges over a caesura of the Joy theme a
cumscribes its "Abgesang," takes the form of the in
the Joy theme. It is as though the rhythms flowed o
the variations in order to carry on their tremendous im
original functions. And the eighth-note rhythm - on
of a figuration - then really dominates the followin

And what is more, it is as though the instrum


through into the realm of the vocal in order to
pendent of words - something inexpressible or u
Perhaps one might, with Bekker, characterize this
mental movement as an "interpretative complem
battle song" of the B-flat major variation. But one
the essence better by recalling Riezler's interpretatio
contrasts that disclose "the other side," the "Hinterg
- that which is not in, nor of, the world.

The purport of the choral double fugue is of c


the triumphant synthesis of the dithyramb and th
The independent contrasting theme Seid umschl
become one with the Joy theme.

To have the fugato - after the climax - resume


Adagio devoto in a new arrangement instead of com
would round it out to a complete fugue is a wonderf

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Fugue and Fugato in Beethoven's Variation Form 25
For with this continuation and conclusion of the section (in which the
metaphysical strophic close Ueber Sternen muss er wohnen is replaced
by the other: Briider, iiberm Sternenzelt muss ein lieber Vater wohnen,
bespeaking a childlike faith) the religio-metaphysical universal feelings
associated with the declaration of brotherly love (which does not yet enter
into the fugato) are also drawn into the great synthesis in a very special
way.

The Heiliger Dankgesang in the Quartet Op. 132 undergoes varia-


tion after the contrasting movement Neue Kraft fiihlend, and the con-
trasting movement likewise returns again in the shape of a variation.
But what about the form of the last Adagio molto, the concluding section
of the Dankgesang? A great deal has been written about the ecstatic
power and unique beauty of this piece. But with the exception of Wilhelm
von Lenz,'" none of those writing on the A-minor Quartet seem to have
taken the trouble to go into the form of the third Adagio molto.16 And
Lenz's findings on this point seem to have been forgotten, otherwise one
would find some reference to them in the later literature. He character-
ized it as a "double fughetta between prelude and episodes and the cantus
firmus." And he is right, if only his imprecise mode of expression is rightly
understood. And furthermore: the exposition arises out of a canonic pre-
lude, which returns in altered form as introduction of the second section.
Moreover, as we shall see, the variation principle governing the preceding
Mlolto Adagio and Andante is still operative, namely, in the configuration
of one of the two themes and in a transformation of the other.

In view of the unfamiliar structure of the movement, a short analysis


may be found useful.
The subject of the fughetta is the first chorale line of the Dankgesang,
without the ending.

Ex. 4

15 Wilhelm von Lenz, Beethoven: eine Kun


16 See Halm, Beethovens Streichquartette,
Streichquartette, Leipzig, 1911; Arthur She
van Beethoven, Cleveland, 1935; Joseph de
Paris, 1925; Valetta, I Quartetti di Beethov
biographies of Beethoven: Marx, 1902; Tho
Bekker, op. cit.

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26 The Musical Quarterly
The countersubject arising out of the theme o
is the final configuration of a progressive varying
phrase of the Dankgesang:

Ex. 5 a) AdagoHI, var. I b) Adoalo m.I Cnon th

)Ado.io]N: Counfersubjecd

The important melisma

Ex. 6

is prepared in the variation of the first and third


Molto Adagio. The new motif of the countersubje

Ex. 7

by the beginnings of the second and third episodes.


The fugue theme of the chorale continues straightaway the opening
voice of the introductory theme, which is carried canonically through
three voices ("b" in Ex. 5);17 and the fourth voice, entering in imitation,
changes the theme of the canon into the countersubject of the fugue.
This initiates a regular double fugue exposition, which after two alterna-
tions of dux and comes leads, in free continuation, to a point of repose
in D minor.

A version of the canonic prelude in a different register and with the


voices in a different order leads, as already indicated, to the second sec-
tion, which the chorale theme (expanded to include the entire chorale
line) dominates in strettos (dux in 'cello, deceptive entry of the comes,
corrected by dux in 1st violin, comes in 'cello) while the complete
countersubject only appears once. Otherwise it is represented by its motifs.
The "thematic elaboration" characteristic of the "episodes" of Beet-
hoven's fugues finally dominates the chorale theme also in the inde-
scribable close of this section.

17 Variant through a subsequently corrected octave transposition in the viola part.

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Fugue and Fugato in Beethoven's Variation Form 27
The coda, in which the complete countersubject returns, brings a
variant (variation!) of the chorale theme before the final entry of the
double theme:

Ex. 8

This sketch of the form, which does not go into detail or touch on
the transcendental content - the strictest form is the handmaiden of
the freest inspiration! - shows that the Dankgesang as a whole repre-
sents another new synthesis of the variation and fugue structure.

The viewpoints set forth in the foregoing observations resulted from


the writer's analysis of the Grand Fugue and the finale of the C-major
Quartet, Op. 59, No. 3.*8 They principally have to do with the relation-
ship of Beethoven's fugal writing to the modern forms of his day, and
especially to the individual work. This exposition may give an idea
of how rewarding it would be to extend to Beethoven's entire creative
output the method of approach here applied to a particular phase of it.
Although there is a valuable treatise on Fugal Treatment in the Works
of Beethoven by Friedrich Deutsch, wherein he undertakes to demon-
strate the principal resources of Beethoven's fugal treatment along with
critical evaluations with regard to style, the subject of the relationship
of the fugal principle to Beethoven's sonata principle does not yet seem
to have been thoroughly exhausted.

(Translated by G. I. C. deCourcy)

18 Ludwig Misch, Beethoven Studies, Norman, Okla., 1953.

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