Ambiguity in Schubert's Recapitulations (Coren)

Ambiguity in Schubert's Recapitulations
Daniel Coren
The Musical Quarterly, Vol. 60, No. 4. (Oct., 1974), pp. 568-582.
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Sun Sep 23 12:27:07 2007
AMBIGUITY IN SCHUBERT'S
RECAPITULATIONS
By DANIEL COREN
I
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- pace,"^ 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 l bi d. , p. 154.
3This 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.
RECAPITULATIONS
By DANIEL COREN
I
by the returns to his main themes."1 These two articles have re-
he once called "the limitations of editorial time-space,"2 he often
- namely, the methods by means of which Schubert, in certain
tion.
separated from their developments by repeat signs.s Second, if a
1 Essays and Lf!ctures 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
568
RECAPITULATIONS
By DANIEL COREN
I
by the returns to his main themes."1 These two articles have re-
he once called "the limitations of editorial time-space,"2 he often
- namely, the methods by means of which Schubert, in certain
tion.
separated from their developments by repeat signs.s Second, if a
1 Essays and Lf!ctures 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
568
569 Schubert's Recapitulations
movement is in the major mode, its exposition modulates to the
dominant by the time the repeat sign is reached. There are no ex-
ceptions to this rule, even though it is common knowledge that
Schubert's first modulation away from the tonic is often into a
parenthetical key area, usually (but not invariably) related by a third
to the original key. If a movement is in the minor mode, there is a
somewhat greater range of possibilities for the closing key of the ex-
position; nevertheless, it is most usual for such expositions to close,
as one would expect, in the relative major.
Thus, despite the great diversity among Schubert's musical forms,
these stable characteristics make the choice of a repertory for this
study a fairly simple matter. This repertory includes: (1) the first
movements of Schubert's three- and four-movement sonata-type
works, beginning with the string quartet in B-flat major, D. 36;
(2) those finales that are in sonata form; and (3) single-movement
works in sonata form, such as the Allegro in A minor for piano duet,
D. 947. These three categories comprise a total of seventy-five move-
ments from fifty-four different compositions.
I n the great majority of Mozart's and Haydn's sonata-form move-
ments, the beginning of the recapitulation is almost invariably char-
acterized by the synchronized return of the tonic key and primary
thematic material. Furthermore -and this is important for the
present study -Mozart (and to a lesser extent, Haydn) usually fur-
ther stress the moment of return by stating the primary material
exactly as it was in the beginning, without such changes as new or-
chestration or new melodic figuration. However, in only forty-seven
of Schubert's seventy-five sonata-form movements is unaltered pri-
mary material recapitulated in the tonic key. The recapitulations of
the remaining twenty-eight movements are all irregular in some way,
as the following table illustrates.
Date Work Movement Recapitulation
1813 String Quartet in C, D. 46 begins in V
String Quartet in D, D. 74 begins in V
1815 Symphony No. 2 in B-flat, D. 125 begins in IV
String Quartet in G Minor, D. 173 begins in 111
Symphony No. 3 in D, D. 200 begins in V
Piano Sonata in C, D. 279* begins in IV
1816 Violin Sonata in A Minor, D. 385 begins in IV
Violin Sonata in G Minor, D. 408 begins in IV
Symphony No. 4 in C Minor, D. 417 begins in V
begins in major I
Schubert's Recapitulations 569
study a fairly simple matter. This repertory includes: (I) the first
works, beginning with the string quartet in B-fIat major, D. 36;
In the great majority of Mozart's and Haydn's sonata-form move-
thematic material. Furthermore - and this is important for the
present study - Mozart (and to a lesser extent, Haydn) usually fur-
the remaining twenty-eight movements are all irregular in some way.
Date Work
1813 String Quartet in C, D. 46
String Quartet in D, D. 74
1815 Symphony No.2 in B-flat, D. 125
String Quartet in G Minor, D. 173
Symphony No.3 in D, D. 200
Piano Sonata in C, D. 279
1816 Violin Sonata in A Minor, D. 385
Violin Sonata in G Minor, D. 408
Symphony No.4 in C Minor, D. 417
Movement Recapitulation
begins in V
begins in V
begins in IV
begins in III
iv begins in V
begins in IV
begins in IV
iv begins in IV
begins in V
iv begins in major I
study a fairly simple matter. This repertory includes: (I) the first
works, beginning with the string quartet in B-fIat major, D. 36;
In the great majority of Mozart's and Haydn's sonata-form move-
thematic material. Furthermore - and this is important for the
present study - Mozart (and to a lesser extent, Haydn) usually fur-
the remaining twenty-eight movements are all irregular in some way.
Date Work
1813 String Quartet in C, D. 46
String Quartet in D, D. 74
1815 Symphony No.2 in B-flat, D. 125
String Quartet in G Minor, D. 173
Symphony No.3 in D, D. 200
Piano Sonata in C, D. 279
1816 Violin Sonata in A Minor, D. 385
Violin Sonata in G Minor, D. 408
Symphony No.4 in C Minor, D. 417
Movement Recapitulation
begins in V
begins in V
begins in IV
begins in III
iv begins in V
begins in IV
begins in IV
iv begins in IV
begins in V
iv begins in major I
570 TheMusicalQuarterly
Date
1816
Work
PianoSonatainE,D.459
1817
SymphonyNo. 5in B-flat,D.485
PianoSonata inA Minor,D. 537
PianoSonatain E-flat,D.568
1819
PianoSonata in B,D.575
PianoSonatain'4,D.664
PianoQuintet in'4, D.667
1820 StringQuartetinCMinor,D. 703*
1822 Symphony No. 8inB hiinor,D.759"
1824 PianoDuetinC,D.812
3 825 PianoSonatainC , D. 840*
PianoSonata in A Minor,D.845
1826 StringQuartetin G,D.887
1827 PianoTri oinB-flat,D. 898
1828 SymphonyNo. 9inC,D.944
StringQuintet inC,D. 956
+Incompletework.
Movement
1
Recapitulation
beginsinIV;
abridged
begins in IV
begins in IV
syncopatedprimary
material
begins inIV
rescored primary
material
beginsin IV
beginsin IV;
abridged
noprimary
material
first phrase
of primary
material does
notreturn
primary material
in exposition
modulates from
4 minorto C;
inrecapitulation,
from C minor to
E-flat.
begins in IV,
then becomes
extremely
modulatory
begins invi,
then becomes
modulatory
transformed primary
material
begins in SVI,with
texturally altered
primary material
pianissimoprimary
material
beginsin SIII
figuration from
development
overlapswith
return of primary
material
Letus begin our discussionwithagroupof movements thathas
already received some attention,namely,those movements with re-
capitulations in the subdominant; moreover, let us devote special
570 The Musical Quarterly
1816 Piano Sonata in E, D. 459 begins in IV;
abridged
Symphony No.5 in B-flat, D. 485 begins in IV
1817 Piano Sonata in A Minor, D. 537 begins in IV
Piano Sonata in E-flat, D. 568 syncopated primary
material
Piano Sonata in B, D. 575 begins in IV
1819 Piano Sonata in A, D. 664 rescored primary
material
iii begins in IV
Piano Quintet in A, D. 667 begins in IV;
abridged
1820 String Quartet in C Minor, D. 703 no primary
material
1822 Symphony No.8 in B Minor, D. 759 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-ftat.
1825 Piano Sonata in C, D. 840 begins in IV,
then becomes
extremely
modulatory
Piano Sonata in A Minor, D. 845 begins in vi,
then becomes
modulatory
1826 String Quartet in G, D. 887 transformed primary
material
1827 Piano Trio in B-flat, D. 898 begins in bVI, with
texturally altered
primary material
1828 Symphony No.9 in C, D. 944 pianissimo primary
material
iv begins in bIll
String Quintet in C, D. 956 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
1816 Piano Sonata in E, D. 459 begins in IV;
abridged
Symphony No.5 in B-flat, D. 485 begins in IV
1817 Piano Sonata in A Minor, D. 537 begins in IV
Piano Sonata in E-flat, D. 568 syncopated primary
material
Piano Sonata in B, D. 575 begins in IV
1819 Piano Sonata in A, D. 664 rescored primary
material
iii begins in IV
Piano Quintet in A, D. 667 begins in IV;
abridged
1820 String Quartet in C Minor, D. 703 no primary
material
1822 Symphony No.8 in B Minor, D. 759 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-ftat.
1825 Piano Sonata in C, D. 840 begins in IV,
then becomes
extremely
modulatory
Piano Sonata in A Minor, D. 845 begins in vi,
then becomes
modulatory
1826 String Quartet in G, D. 887 transformed primary
material
1827 Piano Trio in B-flat, D. 898 begins in bVI, with
texturally altered
primary material
1828 Symphony No.9 in C, D. 944 pianissimo primary
material
iv begins in bIll
String Quintet in C, D. 956 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
Schubert's Recapitulations 57 1
attention to one movement in this group, the first movement of the
Symphony No. 2 in B-flat, D. 125. One often finds in the literature
comments to the effect that Schubert's subdominant recapitulations
indicate a certain laziness on his part, since, if a movement is in the
major mode, beginning the recapitulation in this manner theo-
retically allows the composer simply to copy out a transposed version
of his exp~s i t i on. ~ of the Second Symphony, The first movement
however, demonstrates that as early as 1815 Schubert was capable of
composing an extended symphonic movement with a complex key
plan, a plan whose complexity, in part, involves a recapitulation in
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. hioreover, the modulatory
sequence that approaches the E-flat melody (measures 64-79) does so
through the subdominant of the subdominant, thus:
C minor E-flat major
i - I I I i - \ ' 1 = 1v-1: - v i - ~
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.
I n 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 i n 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 i n first inversion, but now the analogous E-flat sup-
ports not a simple triad but rather an augmented sixth (see Ex. 2).
4 Tovey, op. cit., p. 118. hfosco Carner, "The Orchestral Music of Schubert," in
Gerald Abraham, ed., Music of Schubert (New York, 1947). p. SO.
Symphony No.2 in B-flat, D. 125. One often finds in the literature
of his exposition.
4
The first movement of the Second Symphony,
the su bdominant.
parenthetical key area of E-flat major. Moreover, the modulatory
i - IIP - \,1 = IV - I - V7 - I.
dominant side.
In the exposition Schubert had, at the end of his primary ma-
moving his bass line from B-flat to G through A-flat (see Ex. I).
to the flatted sixth degree of F minor, as it would have in a simple
ported a triad in first inversion, but now the analogous E-flat sup-
4 Tovey, op. cit., p. 118. Mosco Carner, "The Orchestral Music of Schubert," in
Gerald Abraham, ed., Music of Schubert (New York, 1947), p. 30.
Symphony No.2 in B-flat, D. 125. One often finds in the literature
of his exposition.
4
The first movement of the Second Symphony,
the su bdominant.
parenthetical key area of E-flat major. Moreover, the modulatory
i - IIP - \,1 = IV - I - V7 - I.
dominant side.
In the exposition Schubert had, at the end of his primary ma-
moving his bass line from B-flat to G through A-flat (see Ex. I).
to the flatted sixth degree of F minor, as it would have in a simple
ported a triad in first inversion, but now the analogous E-flat sup-
4 Tovey, op. cit., p. 118. Mosco Carner, "The Orchestral Music of Schubert," in
Gerald Abraham, ed., Music of Schubert (New York, 1947), p. 30.
Ex. 1 Symphony No. 2 in B-flat, D. 125, 1st mvt., mm. 41-45
Ob.
Cor.
fa\
via.
vc.
c Cb.
Ex.2
Symphony No. 2 in B-flat, D. 125, 1st mvt., mm. 363-367
I
Ob.
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Ex. 1 Symphony No.2 in B-Bat, D. 125, 1st mvt., mm. 41-45
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Ex.2 Symphony No.2 in B-Bat, D_ 125, 1st mvt., mm. 565-567
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Ex.2 Symphony No.2 in B-Bat, D_ 125, 1st mvt., mm. 565-567
1.lIJi
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--.-.
" :8.. fie do R:i .. .."M::; ;:-
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1:1.
By the standards of Schubert's mature works, this augmented sixth
is rather blatant, but the young composer may well have felt proud
of such a clever solution to the modulatory problem he had set him-
self: before this juncture the recapitulation had been on the sub-
dominant side of the exposition, a fifth below; after the augmented
sixth it is on the dominant side, a fourth below its parallel material.
The modulatory sequence analogous to measures 64-79 now reaches
the tonic' B-flat major, imbuing it with the same quality of repose
that the subdominant had in the exposition.
The recapitulation of this movement may be taken as a paradigm
for most of Schubert's movements with subdominant recapitulations.
I n only one movement of a completed work, the first movement of
the Piano Sonata in B Major, D. 575, is Schubert's recapitulation a
literal transposition of his exp~s i t i on. ~ In those movements in which
the exposition contains a parenthetical key area, Schubert typically
redirects the course of the recapitulation with the sort of deft, eco-
nomical gesture we have observed at measure 365 of the Second
Symphony. (See, for example, the first movement of the Violin
Sonata in A Minor, D. 385, measures 35-41 and measures 112-1 17.)
Furthermore, in those movements with subdominant recapitula-
tions and without a parenthetical area in the exposition, Schubert
typically recomposes the transition between primary and secondary
themes, not by substituting one crucial chord for another, but by
actually writing new material. In short, in these movements he
seems to go out of his way to do the sort of compositional work that
subdominant recapitulation might be thought to obviate. (See the
first'movement of the Symphony No. 5, D. 485, and the last move-
ment of the Piano Sonata in A Major, D. 664.)
Although (as shown on pages 569-570) several of Schubert's
sonata-form movements before 1820 have recapitulations beginning
in keys other than the tonic, in none of these movements is there any
doubt as to where the recapitulation actually begins. That is, sonata
form for Schubert, before 1820, was a thematically stable and un-
ambiguous structure. For a year after the "Trout" Quintet, com-
posed in the autumn of 1819, Schubert produced remarkably few
large-scale works. The Mass in A-flat, D. 678, was begun in No-
vember, 1819 (but not completed until late 1822), and the partially
completed cantata Lazarus, D. 689, was composed in February, 1820.
5 In the incomplete Piano Sonata in C Major, I). 279, Schubert also composes a
literally transposed subdominant recapitulation.
Sch u bert's Reca pi tulations 573
In only one movement of a completed work, the first movement of
literal transposition of his exposition.
s
In those movements in which
Sonata in A Minor, D. 385, measures 35-41 and measures 112-117.)
first'movement of the Symphony No.5, D. 485, and the last move-
completed cantata Lazarus} D. 689, was composed in February, 1820.
5 In the incomplete Piano Sonata in C Major, D. 279, Schubert also composes a
Sch u bert's Reca pi tulations 573
In only one movement of a completed work, the first movement of
literal transposition of his exposition.
s
In those movements in which
Sonata in A Minor, D. 385, measures 35-41 and measures 112-117.)
first'movement of the Symphony No.5, D. 485, and the last move-
completed cantata Lazarus} D. 689, was composed in February, 1820.
5 In the incomplete Piano Sonata in C Major, D. 279, Schubert also composes a
The Musical Quarterly
From then until the next November the Deutsch cataloguc lists only
thirteen lesser works, not one of which contains a sonata-form move-
ment. But during December Schubert composed six new works,
among them the Qltartettsatz in C minor, D. 703, which has often
been acclaimed as his first masterpiece. For this study especially, the
Quartettsatz marks a major articulation in Schubert's career, for in
it Schubert seems to have wished to test the thematic stability of
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" theme^.^
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 85 to 1:
of G minor. And, with an effect very similar to the one he had
created near the end of the song Der Tod und dm Madchen, Schu-
6Alfred Einstein, Schuhert (London, 1951), p. 182. Einstein applies these words
to the movement as a whole.
From then until the next November the Deutsch catalogue lists only
among them the Qllartettsatz in C minor, D. 703, which has often
one of Schubert's most "rapturously ecstatic" themes.
6
fined by the resolution of the augmented sixth at measure 83 to I
created near the end of the song Der Tod und das Miidchen, Schu-
6 Alfred Einstein, Schubert (London, 1951), p. 182. Einstein applies these words
From then until the next November the Deutsch catalogue lists only
among them the Qllartettsatz in C minor, D. 703, which has often
one of Schubert's most "rapturously ecstatic" themes.
6
fined by the resolution of the augmented sixth at measure 83 to I
created near the end of the song Der Tod und das Miidchen, Schu-
6 Alfred Einstein, Schubert (London, 1951), p. 182. Einstein applies these words
Ex. 3 Qunrtettsatz, D. 703, mm. 73-99
bert establishes the major mode with the E-natural in measure 90.
(It is remarkable that a diminished triad, that constant companion
of the minor mode, should here tip the balance in the other di-
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
Ex. 3 Quartettsatz, D. 703, mm. 7399
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-
,,-
-
I ....
-
> >
,
II J;---
J
.. - '!;..
'A
,....
....-- -..-- r

-
-".
1-
iJJ'

I"'
..
':"...-..
...... -.-...
-
...."
-
> >

,

-..c-- 'C-'
-
..
of the minor mode, should here tip the balance in the other di
rection.)
Ex. 3 Quartettsatz, D. 703, mm. 7399
!

".
II jI .:!!..
L
1 "'
ft
: 11= 'I",.d-.
b
.P
I":
..
=
; jI - .::
---
= JI-
.P.
II
,.
> >
-

,-
--;- w -
......---.., -
-
iii'
-
>

:1-. ... :t:.

/.'
7.-
-
,,-
-
I ....
-
> >
,
II J;---
J
.. - '!;..
'A
,....
....-- -..-- r

-
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1-
iJJ'

I"'
..
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...... -.-...
-
...."
-
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,

-..c-- 'C-'
-
..
of the minor mode, should here tip the balance in the other di
rection.)
The hlusical Quarterly
his favorite gestures, Schubert treats D not as a dominant but as the
third of B-flat major, and at the same time adopts the Classical pro-
cedure of turning to secondary thematic material after the first epi-
sode of what has by now become an extensive development section.
One might now expect a modulatory treatment of this material,
leading to a dominant preparation for the recapitulation.
T o be sure, the first of these expectations is fulfilled as the sec-
ondary theme floats into its own subdominant as gracefully and as
surprisingly as it had sailed in, a moment before, in B-flat major.
Only when the theme runs its entire course in E-flat does one begin
to suspect that the proportions of what still should be the develop-
ment section are getting out of hand. When the theme cadences into
the minor mode, and into the same transition that had originally
followed it in the exposition, matters are confused still further. The
transition, although it seems at first very similar to its original, this
time takes a different course. Instead of modulating to V of G
-
minor, as it would have done by analogy to the exposition, i t
changes direction at measure 239, after which, substituting new
melodic figuration for measures 80-83, it arrives on the dominant of
F minor. At measure 245, there can no longer be any doubt: C minor
(shortly to become C major) is being prepared by just the same music
that prepared G at measures 81-92.
A natural reaction at this point, especially on a first hearing of
the movement, might be to say to oneself, "That' s strange -here's
the closing material already. I must have missed the start of the
recapitulation," for the cadence in C major at measure 257 has the
finality and weight necessary to justify the literally transposed closing
material that now ensues. It is possil>:e, when one looks back over
the movement, to understand everything from the return of the
secondary theme at measure 195 to the end as a recapitulation with
the primary material displaced to the closing bars. But such an
analysis, while it works on paper, goes against the psychological
effect of the piece. The primary material, when it recurs, is un-
questionably a coda, not left-over recapitulatory material. Most im-
portant of all, the secondary theme, even if it were given dominant
preparation, would forever sound secondary in function. Formal
ambiguity, I think, must be accepted as one of the definitive fea-
tures of the Quartettsatz.
Schubert never again repeated the scheme of the Quartettsatz.
(While it is true that in the "Unfinished" Symphony the opening
To be sure, the first of these expectations is fulfilled as the sec-
minor, as it would have done by analogy to the exposition, it
A natural reaction at this point, especiaily on a first hearing of
the movement, might be to say to oneself, "That's strange - here's
material that now ensues. It is possihle, when one looks back over
To be sure, the first of these expectations is fulfilled as the sec-
minor, as it would have done by analogy to the exposition, it
A natural reaction at this point, especiaily on a first hearing of
the movement, might be to say to oneself, "That's strange - here's
material that now ensues. It is possihle, when one looks back over
phrase of the first movement does not return, as in the Qztartettsatr,
until the coda, its character is introductory, and its absence does not
at all confuse the beginning of the recapitulation.) From 1820 on,
Schubert's irregular recapitulations become less frequent, but when
they do occur, the issues of musical form that they raise are much
more complex than those raised by the irregular recapitulations of
Schubert's earlier works. Among his mature works, only a few use
recapitulations in non-tonic keys in the relatively straightforward
manner of, for example, the Fifth Symph~ny. ~ In fact, in order to
get at the essence of the recapitulations of the later movements in
our repertory, we must consider musical parameters beyond key plan
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 Qztartettsatr. 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 go
much further than the change of mode; in fact, there is hardly any
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-stopped
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 been
replaced by a definite rhythmic texture. Nevertheless, the function
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-
7The 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 to
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.
phrase of the first movement does not return, as in the Quartettsatz,
manner of, for example, the Fifth Symphony.7 In fact, in order to
can serve in this essay as a complement to the Quartettsatz. Tovey
ternation of major and minor modes.
s
However, the differences be-
7 The finale of the "Great" C Major Symphony prepares its recapitulation with
a standard dominant pedal, but the primary material itself returns in EHat major.
The Grand Duo, D. 812, contains an especially complicated example of non tonic reo
C major; in the recapitulation, the theme begins in C minor and moves to Eftat;
s Tovey, op. cit., p. 119.
phrase of the first movement does not return, as in the Quartettsatz,
manner of, for example, the Fifth Symphony.7 In fact, in order to
can serve in this essay as a complement to the Quartettsatz. Tovey
ternation of major and minor modes.
s
However, the differences be-
7 The finale of the "Great" C Major Symphony prepares its recapitulation with
a standard dominant pedal, but the primary material itself returns in EHat major.
The Grand Duo, D. 812, contains an especially complicated example of non tonic reo
C major; in the recapitulation, the theme begins in C minor and moves to Eftat;
s Tovey, op. cit., p. 119.
578 The hlusical Quarterly
e n ~ e . ~ It is nevertheless necessary in this context, to bring up the
subject once more, for in recomposing his primary material in a
work like the G Major Quartet, Schubert had available to him as
models the recapitulations of some of Beethoven's most important
sonata-form movements. I n 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," T h e 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. I .
ence.
9
It is nevertheless necessary in this context, to bring up the
sonata-form movements. In the case of Beethoven, as with Schu-
decisiveness.
material begins at measure 146. As in the Quartettsatz
J
there is no
tion begins, for the primary material shortly sequences into - and
right on through - A minor. As in the Appassionata
J
the tonic does
directed.
"Schubert's Beethoven," The Musical Quarterly, LVI (1970), 779-9!1. 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 !II, No.1.
ence.
9
It is nevertheless necessary in this context, to bring up the
sonata-form movements. In the case of Beethoven, as with Schu-
decisiveness.
material begins at measure 146. As in the Quartettsatz
J
there is no
tion begins, for the primary material shortly sequences into - and
right on through - A minor. As in the Appassionata
J
the tonic does
directed.
"Schubert's Beethoven," The Musical Quarterly, LVI (1970), 779-9!1. 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 !II, No.1.
I n both these movements, the weight of the return to the tonic
brings about the transformation of the entire primary texture. It
is a mark of Schubert's strongindividuality that in such recapitula-
tions one is hardly aware of Beethoven's presence. Even in the
"Great" C Major Symphony,which has been cited as a clear dem-
onstration of Beethoven's influence,IO Schubert's pianissimo re-
capitulation is at once the antithesis of Beethoven's grandstyle,and
one of the most brilliant uses of dynamics to articulate structurein
the symphonic literature. In fact, after 1820, texture and dynamics
play essential roles in delineating Schubert's recapitulations.
For a final example,let us turn to the recapitulation of the first
movement of the Piano Tr i o in B-flat, D. 898, a recapitulation in
which the elements we have so farconsidered as separatecategories
-tonality, formal ambiguity, and the structural use of texture-
arealloperative.
As is usually the case in his later works, Schubert's techniques
of exposition aredirected towards furnishinghis expansive melodies
with all thespace they demand. Onthis occasion,Schubertdoesnot
separate tonic from dominant with a new theme in a parenthetical
key area; he instead integrates primary material and transition into
alongdoubleperiod,as follows:
A: measures 1-12:Th e first theme, in B-Hat;closed.
measures 12-18:A sequentialmodulation toV 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 endingin 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-naturalbe-
comes the third of Fmajor, 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 thethemeatmeasure26,with thefiguration of strings
and piano interchanged, the dynamics reduced from forte to piano,
andrepeated piano attacksreplaced by plucked strings, is, in terms
of sonority,the complement of the first measures of the movement
(seeEx.4).
10 Hans Hollander. "Die Beethoven-Reflexe in Schubert's grosser C-dur-Sinfonie."
Die neue Zeitschrift fur Musik, CXXVI (May, 1965), 183-95.
In both these movements, the weight of the return to the tonic
is a mark of Schubert's strong individuality that in such recapitula-
"Great" C Major Symphony, which has been cited as a clear dem-
onstration of Beethoven's influence,lO Schubert's pianissimo re-
capitulation is at once the antithesis of Beethoven's grand style, and
one of the most brilliant uses of dynamics to articulate structure in
For a final example, let us turn to the recapitulation of the first
movement of the Piano Trio in B-flat, D. 898, a recapitulation in
which the elements we have so far considered as separate categories
- tonality, formal ambiguity, and the structural use of texture-
are all operative.
of exposition are directed towards furnishing his expansive melodies
with all the space they demand. On this occasion, Schubert does not
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.
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 Anatural be-
comes the third of F major, and the first note of the secondary theme.
The return of the theme at measure 26, with the figuration of strings
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 Beetho\'en-ReHexe in Schubert's grosser C-durSinfonie,"
Die neue Zeitschrift filr Musik, CXXVI (May, 1965), 18!1-95.
In both these movements, the weight of the return to the tonic
is a mark of Schubert's strong individuality that in such recapitula-
"Great" C Major Symphony, which has been cited as a clear dem-
onstration of Beethoven's influence,lO Schubert's pianissimo re-
capitulation is at once the antithesis of Beethoven's grand style, and
one of the most brilliant uses of dynamics to articulate structure in
For a final example, let us turn to the recapitulation of the first
movement of the Piano Trio in B-flat, D. 898, a recapitulation in
which the elements we have so far considered as separate categories
- tonality, formal ambiguity, and the structural use of texture-
are all operative.
of exposition are directed towards furnishing his expansive melodies
with all the space they demand. On this occasion, Schubert does not
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.
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 Anatural be-
comes the third of F major, and the first note of the secondary theme.
The return of the theme at measure 26, with the figuration of strings
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 Beetho\'en-ReHexe in Schubert's grosser C-durSinfonie,"
Die neue Zeitschrift filr Musik, CXXVI (May, 1965), 18!1-95.
580
I
The Musical Quarterly
Ex.4a. Piano Trio in B flat, D. 898, 1st mvt., mm. 1-5
~ l f e ~ r o f- moderato.
Ex.4b. Mm.26-30
I
/
The primary theme, with its first scoring, recurs@ the begin-
ning of the development, and, in paraphrase, near the end of the
movement (measures 293-306), but not in the recapitulation. But
the absence of this full sonority serves only to strengthen the force
of its complement; it is the second version of the primary theme that
becomes the structural pivot in the recapitulation.
The approach to the recapitulation is prepared by an extended
pedal on F (measures 161-187); that is, by what would seem to be
the most conventional way of returning to B-flat. However, in the
ten measures preceding the return of the primary theme, it becomes
clear that the music is in F, not on it. In fact, Schubert is recalling
the close of the exposition, where the tonic was unequivocally F
major, and here the cadential six-four chord at measures 178 and
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).
Ex. 4a. Piano Trio in B fiat, D. 898, 1st mvt., mm. 1-5
Allegro moderato.
egro moderato.
Ex.4b. Mm. 26-30
,....,...,.., ,..,...,....,
1"'I"'I"'i rT'T"""l rT'T"""l r"T'"I""'\
pi
...
u....L.J I

I'P pin.
-
"
_
II
---
,..
3. 0>-
,..
_4 (L 'I'"

pp
....

t II
'!It.
,..
:;
,..

,.. -

The primary theme, with its first scoring, recurs,.jlt the begin-
the most conventional way of returning to B-fl.at. However, in the
In any event, Schubert is not preparing B-fl.at major at all.
into G-fl.at major as the primary theme returns (see Ex. 5).
Ex. 4a. Piano Trio in B fiat, D. 898, 1st mvt., mm. 1-5
Allegro moderato.
egro moderato.
Ex.4b. Mm. 26-30
,....,...,.., ,..,...,....,
1"'I"'I"'i rT'T"""l rT'T"""l r"T'"I""'\
pi
...
u....L.J I

I'P pin.
-
"
_
II
---
,..
3. 0>-
,..
_4 (L 'I'"

pp
....

t II
'!It.
,..
:;
,..

,.. -

The primary theme, with its first scoring, recurs,.jlt the begin-
the most conventional way of returning to B-fl.at. However, in the
In any event, Schubert is not preparing B-fl.at major at all.
into G-fl.at major as the primary theme returns (see Ex. 5).
Ex.5 Piano Tri o in B-flat, D. 898, mm. 181-199
As Felix Salzer has pointed out, the first phrase of this theme
now "begins exactly as it had in the exposition, thematically and
harmonically, . . . even repeating the opening measures on the
supertonic."I1 Yet the passage is delicately ambiguous. This am-
biguity is not caused by the G-flat tonic in itself; as we have seen
already, any well-prepared key can serve in Schubert's music as a
stable framework for the return of primary material. The point is
that G-flat has not been well prepared; by preventing the F in the
bass at measure 184 from moving down to D-flat, Schubert deprives
G-flat of the authoritative stability that only a root-position authentic
cadence could have provided. This tonal instability becomes more
pronounced in the next few measures, as the consequent primary
11 "Die Sonatenform bei Schubert," Studien zur Musikwissenschaft, XV (1928). 123.
Ex. 5 Piano Trio in B-flat, D. 898, mm. 181-199
harmonically, ... even repeating the opening measures on the
supertonic."ll Yet the passage is delicately ambiguous. This am-
Ex. 5 Piano Trio in B-flat, D. 898, mm. 181-199
harmonically, ... even repeating the opening measures on the
supertonic."ll Yet the passage is delicately ambiguous. This am-
phrase in A-flat minor fails to parallel the analagous phrase in the
exposition, and modulates into D-flat major at measure 198.
Whatever little decisive strength the return to primary material
in G-flat may have had has now been considerably diluted, and mat-
ters become still more confused when the primary theme, complete
with its supertonic phrase, begins all over again in D-flat; but at
last Schubert is ready to return to the true tonic. I n the middle of
the consequent phrase in E-flat minor the music hesitates, and, with
the substitution of G-natural for G-flat, E-flat major is revealed as
the subdominant of B-flat major. With the arrival of the tonic Schu-
bert restates the primary theme yet again, but now restored to the
second of its two settings from the exposition. He this time allows
the theme to the stay in the tonic (the analogous measures in the
exposition had modulated to the dominant), and by so doing he is
able to transpose the remainder of the exposition material without
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 to
achieve only a few times in their lives.
last Schubert is ready to return to the true tonic. In the middle of
further alteration.
last Schubert is ready to return to the true tonic. In the middle of
further alteration.

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