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Ambiguity in Schubert's Recapitulations

Author(s): Daniel Coren


Source: The Musical Quarterly, Vol. 60, No. 4 (Oct., 1974), pp. 568-582
Published by: Oxford University Press
Stable URL: https://www.jstor.org/stable/741765
Accessed: 28-02-2019 16:37 UTC

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AMBIGUITY IN SCHUBERT'S
RECAPITULATIONS

By DANIEL COREN

N his essays "Franz Schubert" and "Tonality in Schubert" Donald


Tovey devoted a large portion of his attention to the architec-
ture of Schubert's movements in sonata form. Tovey was especially
concerned with the ways in which Schubert constructed his re-
transitions from development to recapitulation, for, as he said, "when
Schubert is at the height of his powers in large forms we may know it
by the returns to his main themes."' These two articles have re-
mained among the most illuminative writings on Schubert's music.
Nevertheless, because Tovey's writings were usually confined by what
he once called "the limitations of editorial time-space,"2 he often
dwelt for only a few paragraphs on subjects that might easily have
furnished him with material for many pages. Surely, the composi-
tional techniques that Schubert brings to bear upon the recapitula-
tions of his sonata-form movements comprise such a subject. It is the
purpose of this article to examine one of these techniques in detail
--namely, the methods by means of which Schubert, in certain
pieces, blurs the demarcation between development and recapitula-
tion.

Although our subject is formal ambiguity, it must be stated at


the outset that Schubert was, in two important respects, almost en-
tirely consistent throughout his career in his approach to sonata form.
First, from the String Quartet in B-flat, D. 36, to the Piano Sonata
in the same key, D. 960, virtually all of Schubert's expositions are
separated from their developments by repeat signs.3 Second, if a
1 Essays and Lectures on Music (London, 1949), p. 119.
2 Ibid., p. 154.
3 This principle needs one qualification: none of Schubert's overtures - neither
the isolated concert pieces nor the overtures to stage works - employs repeat signs.
In making this distinction between overture and sonata form, Schubert was observing
the same convention as Beethoven, whose overtures also invariably lack repeat signs.

568

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Schubert's Recapitulations 569

movement is in the major mode, its exposition modulat


dominant by the time the repeat sign is reached. There
ceptions to this rule, even though it is common knowle
Schubert's first modulation away from the tonic is oft
parenthetical key area, usually (but not invariably) related b
to the original key. If a movement is in the minor mode
somewhat greater range of possibilities for the closing key
position; nevertheless, it is most usual for such expositio
as one would expect, in the relative major.
Thus, despite the great diversity among Schubert's music
these stable characteristics make the choice of a reperto
study a fairly simple matter. This repertory includes: (1
movements of Schubert's three- and four-movement so
works, beginning with the string quartet in B-flat ma
(2) those finales that are in sonata form; and (3) single
works in sonata form, such as the Allegro in A minor for p
D. 947. These three categories comprise a total of seventy-fi
ments from fifty-four different compositions.
In the great majority of Mozart's and Haydn's sonata-for
ments, the beginning of the recapitulation is almost invaria
acterized by the synchronized return of the tonic key an
thematic material. Furthermore - and this is importan
present study - Mozart (and to a lesser extent, Haydn) u
ther stress the moment of return by stating the prima
exactly as it was in the beginning, without such changes
chestration or new melodic figuration. However, in only fo
of Schubert's seventy-five sonata-form movements is un
mary material recapitulated in the tonic key. The recapit
the remaining twenty-eight movements are all irregular in
as the following table illustrates.

Date Work Movement Recapitulation


1813 String Quartet in C, D. 46 i begins in V
String Quartet in D, D. 74 i begins in V
1815 Symphony No. 2 in B-flat, D. 125 i begins in IV
String Quartet in G Minor, D. 173 i begins in III
Symphony No. 3 in D, D. 200 iv begins in V
Piano Sonata in C, D. 279* i begins in IV
1816 Violin Sonata in A Minor, D. 385 i begins in IV
Violin Sonata in G Minor, D. 408 iv begins in IV
Symphony No. 4 in C Minor, D. 417 i begins in V
iv begins in major I

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570 The Musical Quarterly

Date Work Movement Recapitulation


1816 Piano Sonata in E, D. 459 i begins in IV;
abridged
Symphony No. 5 in B-flat, D. 485 i begins in IV
1817 Piano Sonata in A Minor, D. 537 i begins in IV
Piano Sonata in E-flat, D. 568 i syncopated primary
material

Piano Sonata in B, D. 575 i begins in IV


1819 Piano Sonata in A, D. 664 i rescored primary
material

iii begins in IV
Piano Quintet in A, D. 667 i begins in IV;
abridged
1820 String Quartet in C Minor, D. 703* i no primary
material

1822 Symphony No. 8 in B Minor, D. 759* i first phrase


of primary
material does
not return

1824 Piano Duet in C, D. 812 iv primary material


in exposition
modulates from
A minor to C;
in recapitulation,
from C minor to
E-flat.

1825 Piano Sonata in C, D. 840* i begins in IV,


then becomes
extremely
modulatory
Piano Sonata in A Minor, D. 845 i begins in vi,
then becomes
modulatory
1826 String Quartet in G, D. 887 i transformed primary
material

1827 Piano Trio in B-flat, D. 898 i begins in bVI, with


texturally altered
primary material
1828 Symphony No. 9 in C, D. 944 i pianissimo primary
material

iv begins in bIII
String Quintet in C, D. 956 i figuration from
development
overlaps with
return of primary
material
*Incomplete work.

Let us begin our discussion with a group of movements that has


already received some attention, namely, those movements with re-
capitulations in the subdominant; moreover, let us devote special

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Schubert's Recapitulations 571

attention to one movement in this group, the first moveme


Symphony No. 2 in B-flat, D. 125. One often finds in the
comments to the effect that Schubert's subdominant rec
indicate a certain laziness on his part, since, if a moveme
major mode, beginning the recapitulation in this ma
retically allows the composer simply to copy out a transpose
of his exposition.4 The first movement of the Second S
however, demonstrates that as early as 1815 Schubert wa
composing an extended symphonic movement with a co
plan, a plan whose complexity, in part, involves a recapi
the subdominant.

As in all Schubert's sonata-form movements in the major mode,


the exposition of this one ends in the dominant, F major. But be
tween B-flat and F, Schubert inserts a lyrical melody in the surprising
parenthetical key area of E-flat major. Moreover, the modulatory
sequence that approaches the E-flat melody (measures 64-79) does s
through the subdominant of the subdominant, thus:
C minor E-flat major

i - 1117T - \'I = IV - I4 - V7 - 1.
The crucial choice facing Schubert, once he had decided to compose
a subdominant recapitulation, was whether or not to follow the
same route to the tonic as he had to the dominant in the exposition.
Such literal transposition would have necessitated a modulation to
A-flat major, that is, to IV of IV, in the course of which A-flat would
be approached through its own subdominant. Apparently, Schubert
was not willing to weight his movement so heavily towards the sub-
dominant side.

In the exposition Schubert had, at the end of his primary ma


terial, arrived on the dominant of C minor at measure 43, by
moving his bass line from B-flat to G through A-flat (see Ex. 1).
Now, in the recapitulation, the analogous E-flat does not descend
to the flatted sixth degree of F minor, as it would have in a simple
transposition of the original material. Instead, E-flat itself becomes
VI of G minor. The bass line's A-flat in the exposition had sup-
ported a triad in first inversion, but now the analogous E-flat sup-
ports not a simple triad but rather an augmented sixth (see Ex. 2).

4Tovey, op. cit., p. 118. Mosco Carner, "The Orchestral Music of Schubert," in
Gerald Abraham, ed., Music of Schubert (New York, 1947), p. 30.

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572 The Musical Quarterly

Ex. 1 Symphony No. 2 in B-flat, D. 125, 1st mvt., mm. 41-45

Ob.

Cl.

Fr.

Timp.

VC.
VIa. _ _
t Cb.
4f

Ex. 2 Symphony No. 2 in B-flat, D. 125, Ist mvt., mm. 363-367

Prl.

Ob.

CI.

Coor.
CrI,

'The.
(8)

VT.

Via.

Vr.
a Ch I

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Schubert's Recapitulations 573

By the standards of Schubert's mature works, this augm


is rather blatant, but the young composer may well hav
of such a clever solution to the modulatory problem he
self: before this juncture the recapitulation had been
dominant side of the exposition, a fifth below; after th
sixth it is on the dominant side, a fourth below its para
The modulatory sequence analogous to measures 64-79
the tonic' B-flat major, imbuing it with the same quali
that the subdominant had in the exposition.
The recapitulation of this movement may be taken as
for most of Schubert's movements with subdominant recap
In only one movement of a completed work, the first m
the Piano Sonata in B Major, D. 575, is Schubert's recap
literal transposition of his exposition.5 In those movement
the exposition contains a parenthetical key area, Schube
redirects the course of the recapitulation with the sort
nomical gesture we have observed at measure 365 of
Symphony. (See, for example, the first movement of
Sonata in A Minor, D. 385, measures 35-41 and measur
Furthermore, in those movements with subdominant
tions and without a parenthetical area in the expositio
typically recomposes the transition between primary an
themes, not by substituting one crucial chord for anot
actually writing new material. In short, in these mo
seems to go out of his way to do the sort of compositional
subdominant recapitulation might be thought to obvia
first movement of the Symphony No. 5, D. 485, and th
ment of the Piano Sonata in A Major, D. 664.)
Although (as shown on pages 569-570) several of
sonata-form movements before 1820 have recapitulatio
in keys other than the tonic, in none of these movements
doubt as to where the recapitulation actually begins. Th
form for Schubert, before 1820, was a thematically sta
ambiguous structure. For a year after the "Trout" Qui
posed in the autumn of 1819, Schubert produced rema
large-scale works. The Mass in A-flat, D. 678, was b
vember, 1819 (but not completed until late 1822), and t
completed cantata Lazarus, D. 689, was composed in Feb
5 In the incomplete Piano Sonata in C Major, D. 279, Schubert als
literally transposed subdominant recapitulation.

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574 The Musical Quarterly

From then until the next November the Deutsch cat


thirteen lesser works, not one of which contains a sona
ment. But during December Schubert composed
among them the Quartettsatz in C minor, D. 703, w
been acclaimed as his first masterpiece. For this study
Quartettsatz marks a major articulation in Schubert'
it Schubert seems to have wished to test the them
sonata form to its very limits.
While this movement is still to be understood in sonata form,
one of the most crucial structural members of that form is missing,
in that after the repeat of the exposition, primary thematic ma-
terial is heard only as a coda, after the recapitulation has run its
course. No other movement by Schubert so strongly dramatizes the
difference between the functions of primary and secondary material
in sonata form, for without the normal return of primary material
it becomes very difficult to demarcate any boundary at all between
development and recapitulation in this work.
The structure of the exposition, however, is extremely clear. The
primary material saturates C minor with the coloring of D-flat: the
climax of the opening period is a massive Neapolitan sixth, and the
succeeding period is anchored on a tonic pedal, which from measures
19-23 alternates with D-flat. At measure 24, the Neapolitan recurs,
this time as the pivot for a sudden modulation to the parenthetical
key area of the exposition, A-flat major, a modulation that ushers in
one of Schubert's most "rapturously ecstatic" themes."
Schubert's growth between 1819 and 1820 is perhaps most
strikingly demonstrated by the transition that runs from measure 61
to measure 93; in no previous work had Schubert been able to sus-
tain a chromatic modulatory passage over such a long period of time.
After implying A-flat minor, the first clear harmonic goal of the
passage is, surprisingly, the dominant of C minor, at measure 77.
But the real purpose of the measures that immediately follow is to
transform G from a dominant to a tonic by backing it with its own
flat-VI (see Ex. 3).
The overall harmonic direction of the transition is finally de-
fined by the resolution of the augmented sixth at measure 83 to I'4
of G minor. And, with an effect very similar to the one he had
created near the end of the song Der Tod und das Miidchen, Schu-
s Alfred Einstein, Schubert (London, 1951), p. 182. Einstein applies these words
to the movement as a whole.

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Schubert's Recapitulations 575

Ex. 3 Quartettsatz, D. 703, mm. 73-99

' II I~-06 - - .- - - -
A~I I =T I) T
qL) r ? r- u.__

p Ao , = . . . ..
" L ,
. . . . .. .

be
(It
of
rection.)
It is necessary to examine this particular cadence in such detail,
for its strength in the exposition is matched only by the Neapolitan
cadence at measure 13. In the absence of primary material it be-
comes the one strong cadence in the entire recapitulation. There is
no doubt as to the closing function of the remaining fifty measures
of exposition; indeed, so much harmonic instability demands a large
block of static tonic closure.

The opening fifty measures of the development need not be in-


spected here in great detail. They move from A-flat major (now
heard as the Neapolitan of G), through B-flat minor and D-flat ma-
jor, before embarking upon a sequence that opens through a by-
now-familiar augmented sixth onto the dominant of G minor at
measure 191. This dominant chord is immediately reduced to an
oscillation between D and C-sharp in the first violin. With one of

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576 The Musical Quarterly

his favorite gestures, Schubert treats D not as a domin


third of B-flat major, and at the same time adopts t
cedure of turning to secondary thematic material after
sode of what has by now become an extensive develo
One might now expect a modulatory treatment of
leading to a dominant preparation for the recapitula
To be sure, the first of these expectations is fulfi
ondary theme floats into its own subdominant as gr
surprisingly as it had sailed in, a moment before, in
Only when the theme runs its entire course in E-fla
to suspect that the proportions of what still should
ment section are getting out of hand. When the theme
the minor mode, and into the same transition that
followed it in the exposition, matters are confused stil
transition, although it seems at first very similar to it
time takes a different course. Instead of modula
minor, as it would have done by analogy to the
changes direction at measure 239, after which, sub
melodic figuration for measures 80-83, it arrives on th
F minor. At measure 245, there can no longer be any d
(shortly to become C major) is being prepared by just t
that prepared G at measures 81-92.
A natural reaction at this point, especially on a fi
the movement, might be to say to oneself, "That's s
the closing material already. I must have missed th
recapitulation," for the cadence in C major at measu
finality and weight necessary to justify the literally tr
material that now ensues. It is possible, when one l
the movement, to understand everything from the
secondary theme at measure 195 to the end as a reca
the primary material displaced to the closing bar
analysis, while it works on paper, goes against the
effect of the piece. The primary material, when it
questionably a coda, not left-over recapitulatory mat
portant of all, the secondary theme, even if it were
preparation, would forever sound secondary in fun
ambiguity, I think, must be accepted as one of the d
tures of the Quartettsatz.
Schubert never again repeated the scheme of the
(While it is true that in the "Unfinished" Symphon

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Schubert's Recapitulations 577

phrase of the first movement does not return, as in the Qu


until the coda, its character is introductory, and its absenc
at all confuse the beginning of the recapitulation.) Fro
Schubert's irregular recapitulations become less frequen
they do occur, the issues of musical form that they rai
more complex than those raised by the irregular recapi
Schubert's earlier works. Among his mature works, onl
recapitulations in non-tonic keys in the relatively strai
manner of, for example, the Fifth Symphony.7 In fact,
get at the essence of the recapitulations of the later mo
our repertory, we must consider musical parameters beyon
and thematic distribution.

The first movement of the String Quartet in G Major, D. 887,


can serve in this essay as a complement to the Quartettsatz. Tovey
discussed its recapitulation in terms of Schubert's idiosyncratic al-
ternation of major and minor modes.8 However, the differences be
tween primary material in the exposition and recapitulation g
much further than the change of mode; in fact, there is hardly an
congruence between the two passages, other than that they are both in
G. The three-voice chord opening the work is rescored for only sec
ond violin and viola at its return; the fortissimo quadruple-stoppe
bowed chord at measure 3 is now piano and pizzicato; dotted rhythm
has become even eighth-notes; the sparse progression before the
fermata at measure 14 has been softened harmonically by the sub
stitution of E-natural for E-flat, and it has grown tendrils of figura-
tion; finally, the tremolo originally following the fermata has bee
replaced by a definite rhythmic texture. Nevertheless, the functio
of the passage is never in doubt; the changes in the primary material
only stress its formal stability. One might say that the primary ma-
terial is transformed in response to the inevitability of its own return.
The influence of Beethoven upon Schubert has been discussed
again and again, and recently Charles Rosen and Edward Cone have
added to the literature especially concrete evidence of that influ

7 The finale of the "Great" C Major Symphony prepares its recapitulation with
a standard dominant pedal, but the primary material itself returns in E-flat major
The Grand Duo, D. 812, contains an especially complicated example of nontonic re-
capitulation. The finale begins with a modulatory theme that moves from A minor t
C major; in the recapitulation, the theme begins in C minor and moves to E-flat;
finally, in the very extended coda, it begins in C minor and ends in C major.
8 Tovey, op. cit., p. 119.

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578 The Musical Quarterly

ence.9 It is nevertheless necessary in this context, t


subject once more, for in recomposing his primary
work like the G Major Quartet, Schubert had availa
models the recapitulations of some of Beethoven's m
sonata-form movements. In the case of Beethoven, as with Schu-
bert, we may establish a polarity between recapitulations that are
ambiguous and those that are transformed by their own structural
decisiveness.

The first movement of the Sonata appassionata furnishes an ex-


ample of ambiguity; in this work the dominant pedal at the end of
the development refuses to resolve in response to the return of the
first theme at measure 135. The ear tries, perhaps, but is not able
to accept the C in the bass as a member of the tonic triad outlined
by the theme. Not until F minor becomes F major at the fortissimo
chords seventeen measures later does the C in the bass finally move
to the tonic. The same sort of ambiguity is to be found in the first
movement of Schubert's Piano Sonata in A Minor, D. 845. Schu-
bert's dominant pedal prepares not the tonic, but F-sharp minor, in
which key an imitative, modulatory expansion of the movement's
material begins at measure 146. As in the Quartettsatz, there is no
satisfactory way to isolate the precise moment where the recapitula-
tion begins, for the primary material shortly sequences into - and
right on through - A minor. As in the Appassionata, the tonic does
not unequivocally return until the articulation at measure 186,
towards which the primary material, here and in the exposition, is
directed.

For transformed recapitulations in Beethoven, one might most


naturally turn to examples like the opening movements of the
Seventh and Eighth Symphonies, in which the primary material is
heroically amplified upon its return. Schubert, however, despite his
occasional efforts at adopting Beethoven's grand rhetorical style (as
in the A Minor Sonata of the previous example), was not naturally
attuned to this aspect of the older composer's personality. He seems
to have responded more deeply to the possibilities offered by the re-
capitulations of more lyrical movements, movements like the sec-
ond of the Pastoral Symphony or the first of the "Archduke" Trio.

9 Charles Rosen, The Classical Style (London, 1971), pp. 456-58; Edward T. Cone,
"Schubert's Beethoven," The Musical Quarterly, LVI (1970), 779-93. Both writers con-
vincingly demonstrate that the rondo of Schubert's A Major Piano Sonata, D. 959, is
modeled after the rondo of Beethoven's G Major Piano Sonata, Opus 31, No. 1.

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Schubert's Recapitulations 579

In both these movements, the weight of the return to


brings about the transformation of the entire primary
is a mark of Schubert's strong individuality that in such
tions one is hardly aware of Beethoven's presence. Ev
"Great" C Major Symphony, which has been cited as a c
onstration of Beethoven's influence,10 Schubert's piani
capitulation is at once the antithesis of Beethoven's gran
one of the most brilliant uses of dynamics to articulate s
the symphonic literature. In fact, after 1820, texture an
play essential roles in delineating Schubert's recapitulati
For a final example, let us turn to the recapitulation o
movement of the Piano Trio in B-flat, D. 898, a recapit
which the elements we have so far considered as separat
- tonality, formal ambiguity, and the structural use of
are all operative.
As is usually the case in his later works, Schubert's t
of exposition are directed towards furnishing his expansi
with all the space they demand. On this occasion, Schube
separate tonic from dominant with a new theme in a pa
key area; he instead integrates primary material and tran
a long double period, as follows:
A: measures 1-12: The first theme, in B-flat; closed.
measures 12-18: A sequential modulation to V of vi.
measures 18-25: An extension of V of vi, returning to B-flat in measures
24-25 through its dominant.
A': measures 26-37: The first theme again, rescored, and this time modulating
to a closed ending in V.
measures 37-51: An extension of the modulation of measures 12-18, lead-
to V of iii.
measures 51-58: An extension of V or iii, at the end of which A-natural be-
comes the third of F major, and the first note of the secondary theme.

For the purposes of our discussion, the instrumentation of the


primary theme is ultimately the most crucial aspect of the passage.
The return of the theme at measure 26, with the figuration of strings
and piano interchanged, the dynamics reduced from forte to piano,
and repeated piano attacks replaced by plucked strings, is, in terms
of sonority, the complement of the first measures of the movement
(see Ex. 4).

10 Hans Hollander, "Die Beethoven-Reflexe in Schubert's grosser C-dur-Sinfonie,"


Die neue Zeitschrift fidr Musik, CXXVI (May, 1965), 183-95.

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580 The Musical Quarterly

Ex. 4a. Piano Trio in B flat, D. 898, 1st mvt., mm. 1-5

Allegro moderato.

AIegro moderato.f

dtl--..&
fw
-t -AL I I a I

Ex. 4b. Mm. 26-30

pigs.

F,

Apo. ,- . .. ., +'
A I --IN.,.- -----. T-

I, . -ji F i f rF _A I i

The primary theme, with


ning of the development, a
movement (measures 293-3
the absence of this full sonor
of its complement; it is the s
becomes the structural pivot
The approach to the recap
pedal on F (measures 161-18
the most conventional way
ten measures preceding the r
clear that the music is in F,
the close of the exposition,
major, and here the cadent
182 ensures that F still has this function.
In any event, Schubert is not preparing B-flat major at all.
Measures 184-187 are a paraphrase of the last four measures of the
exposition, which in their original version had made a crescendo
into either the repeat of the exposition or the beginning of the
development. Now these measures, with a decrescendo, modulate
into G-flat major as the primary theme returns (see Ex. 5).

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Schubert's Recapitulations 581

Ex. 5 Piano Trio in B-flat, D. 898, mm. 181-199

A I aLvq I tmp

i i.

t tempo
16.1.
a tempo

._ ,, ;,,
- or a te p

A L

As Felix Salzer
now "begins exa
harmonically, .
supertonic."" Y
biguity is not ca
already, any we
stable framewor
that G-flat has n
bass at measure 1
G-flat of the aut
cadence could ha
pronounced in t

11 "Die Sonatenform

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582 The Musical Quarterly

phrase in A-flat minor fails to parallel the analagou


exposition, and modulates into D-flat major at mea
Whatever little decisive strength the return to pr
in G-flat may have had has now been considerably d
ters become still more confused when the primary t
with its supertonic phrase, begins all over again in
last Schubert is ready to return to the true tonic. I
the consequent phrase in E-flat minor the music hesita
the substitution of G-natural for G-flat, E-flat majo
the subdominant of B-flat major. With the arrival of t
bert restates the primary theme yet again, but now
second of its two settings from the exposition. He t
the theme to the stay in the tonic (the analogous m
exposition had modulated to the dominant), and by
able to transpose the remainder of the exposition m
further alteration.

Words can express the logic of this synchronization of tonal and


textural parameters, but not the feelings of crystallization, of finely
adjusted machinery clicking gently into place, that accompany
measure 211. Here is one of those moments of controlled under-
statement that even the most accomplished composers can hope
achieve only a few times in their lives.

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