The Architecture of Music:

Form & Style

by Robert Reno
 The Materials of Music: Form & Style

Table of Contents

Chapter One Anatomy of the Phrase ...........................................1

Chapter Two Phrase Relationships ............................................. 8
Chapter Three Binary Form ......................................................... 22
Chapter Four Ternary Form ....................................................... 36
Chapter Five Non-Standard Forms ........................................... 42
Chapter Six Theme and Variations ......................................... 44
Chapter Seven Rondo ................................................................... 47
Chapter Eight Sonata Form ........................................................49
Chapter Nine Concerto............................................................... 65
 Chapter One
The Anatomy of the Phrase
Many aspects contribute to the shape of a piece of music, including melody, meter,
rhythm, dynamics, texture, instrumentation, harmony and harmonic rhythm. The
primary focus of this study is how harmony and melody contribute to the overall formal
structure in music.

Phrase
The musical phrase is the most basic element of musical form, and is not always easy to
identify. Yet a phrase usually exhibits
- An appreciable musical thought.
- Some type of harmonic activity. In other words, a phrase usually involves more than a
single chord.
- A decrease in rhythmic activity at its conclusion.

Harmonic Anatomy of the Phrase

Cadences
Cadences are how we identify the ends of phrases. We might say that the cadence is the
goal of the phrase. Cadences are identified as:

Conclusive Cadences
- Perfect Authentic (PAC) – V-I. Both chords are in root position and the tonic
scale degree is in the soprano of the I chord.
- Full Cadence (FC) – an authentic cadence (PAC or IAC) with a preceding
subdominant chord (IV or ii). The subdominant chord need not be in root
position.
- Imperfect Authentic (IAC) – any V-I cadence that does not meet the criteria of a
PAC.
- Plagal Cadence (PC) – IV-I.

Inconclusive Cadences
- Half Cadence (HC) – V.
- Deceptive Cadence (DC) – Usually a V-vi.
- Phrygian Half Cadence (PHC) – iv6-V (minor key only).

1
Harmonic Prolongation within the Phrase
The harmony of a phrase may be as simple as a single chord prior to the cadence:

Example 1.1

Phrases, however, usually have more harmonic activity, in which case we will use the
terms prolongation and progression.

Harmonic prolongation occurs when a harmony is extended through the use of chord
inversions or secondary harmonies (e.g., I–vi; IV-ii). Often these harmonies are prolonged
further by neighboring or passing chords, or secondary dominants between the inverted
or secondary chords:

T T T
Example 1.2

In Example 1.2, notice that we analyze only the cadence chords and use a brace below the
bass line to show a chord prolongation with the letter symbolizing the appropriate chord
class (T-tonic, S-subdominant, D-dominant) prior to the cadence. We will continue to use
this method of annotation throughout our course of study. Example 1.3 illustrates tonic
prolongations in slightly more complex phrases:

2
 T

Example 1.3

Prolongations may occur on any harmony, even within a cadence. Example 1.4
demonstrates an elaboration of a full cadence. First there is a prolongation of the
subdominant followed by a tonic six-four which can be construed as an embellishment of
the dominant chord:

3
 S

Example 1.4

Harmonic Progression within the Phrase

A progression within a phrase occurs when the harmony moves away from the initial
tonic harmony and does not return to it before the cadence. Progressions are most
commonly sequential in nature as demonstrated in Example 1.5. We will indicate
progressions with an arrow as shown:

Example 1.5
One might argue that the submediant in these examples constitutes a tonic prolongation.
However, the strength of the sequence in each precludes this hearing. Moreover, the
intervening chords in Example 1.5b, notwithstanding the fact that the submediant is a
seventh chord, have taken our ears away from the tonic harmony significantly enough
that we no longer make the connection to the initial tonic chord.
4
Combination of Prolongation and Progression within the Phrase
A phrase may contain any combination of prolongations and progressions:

T Example 1.6

Melodic Anatomy of the Phrase

Phrases often are comprised of distinct melodic units or subdivisions. We will indicate
subdivisions with brackets and numbers above the score:

Example 1.7

These groupings help to reveal melodic structure such as symmetry, as well as motives
that may exist within or between phrases. It is important, however, not to force phrases
into subdivisions where none exists. It would be difficult, for example, to subdivide the
following passage in any meaningful fashion:

5
Example 1.8

6
Music for Study
Study the following excerpts to determine how many phrases each contains. Then analyze
the cadence chords with roman numerals, and indicate any chord prolongations or
progressions leading up to the cadence with braces and arrows as shown in the previous
examples. Finally, determine if each phrase melody lends itself to subdivision. If so,
indicate those subdivisions with brackets and numbers above the score.

Beethoven, Sonata in G, Op. 49 No. 2, II

Mozart, Sonata in B Flat, K.333, I

7
 Chapter Two
Phrase Relationships
While there might be examples in music literature where one could argue that a single
phrase constitutes an entire movement or piece, this is rarely the case. Most frequently,
one phrase leads to another and then another and so on until the piece ends. In order for
the music to make sense to the listener, the composer arranges phrases so that one
phrase creates tension and expectation followed by a second phrase that resolves that
tension and fulfills the expectation. In longer pieces, the process becomes more complex,
where a series of phrases are constructed to create a mounting sense of tension, delaying
the resolution, making the music more dramatic. In this chapter we will learn how to
describe these phrase relationships, which will enable us to understand how larger
passages of music function effectively.

Harmonic Phrase Relationships

To understand the harmonic relationship between two phrases, we must compare the
cadences of those phrases, because regardless of how the harmony is organized within the
phrase, the cadence is what creates the sense of completeness or anticipation for the
listener. Figure 2.1 summarizes harmonic relationships between two phrases with the
descriptions we will be using. The “X” is a variable, meaning it could be any chord.

Cadence Chords Description of Harmonic

Phrase One Phrase Two Relationship
V I Complete Harmonic
Movement
X Any chord but a root- Incomplete Harmonic
position tonic chord Movement
I I Repeated Harmonic
Movement
X (Key One) IAC or PAC (Key Two) Progressive Harmonic
Movement
Figure 2.1

Complete Harmonic Movement

Complete harmonic movement means that phrase two completes what phrase one
started. The half-cadence at phrase one leaves the listener expecting some type of

8
resolution. Phrase two fulfills that expectation with a resolution on the tonic chord as
demonstrated in Example 2.1:
Mozart, Sonata in B flat, K.333, III

HC

w^ Qs T
T T
PAC

w^ Qs T Q
Example 2.1

Incomplete Harmonic Movement

Example 2.2, an excerpt from one of Bach’s chorale harmonization, contains three
phrases. In the isolated context of this example, phrase one sounds like an authentic
cadence in A major. The next phrase is in D major, ending with a deceptive cadence.
Clearly, the harmonic motion from the first phrase to the second is incomplete, since
there is an expectation that more must follow. Phrase three (the final phrase of the
chorale) indeed completes what phrase two did not. Whenever one phrase is compared to
another, and the second phrase’s cadence is inconclusive, regardless of the cadence of
phrase one, we will call it incomplete harmonic movement.

D D
Example 2.2

9
Example 2.2 is a common example of incomplete harmonic movement, where both
phrases are half cadences.

Example 2.3

Repeated Harmonic Movement

Repeated harmonic movement occurs when both phrases cadence on the tonic chord,
hence either an imperfect authentic cadence or a perfect authentic cadence. Example 2.4
is a typical example of repeated harmonic movement. The first phrase is an IAC, the
second, a PAC.

T S

T S

Example 2.4
10
Progressive Harmonic Movement
Example 2.5 begins in D minor, and phrase concludes with a half-cadence. Phrase two,
however does not complete the expectation left open by phrase one. Instead, it cadences
with a perfect authentic cadence in A minor. Whenever a phrase moves to a different key
from the previous phrase, it is progressive harmonic movement.

Beethoven, Sonata in D, Op. 28, II

HC

Ä: uO7/T qs T mE Œ:Y
T T
S
PAC

w¿k qs T& q

Example 2.5

Melodic Phrase Relationships

Similar Phrases
Phrases are said to be similar when the beginning of the melody of phrase two is based
on the beginning of the melody of phrase one. Referring back to Example 2.1, the first two
measures of phrase two, with the exception of a bit of embellishment, are the same as the
first two measures of phrase one. Even though the melody is altered after the opening
measures of each of these phrases, we recognize them as being melodically related.
Therefore, they are similar phrases. Similar phrases are indicated above the score with the
same lower case letter with prime symbols to indicate that the phrases are varied either
melodically or harmonically (e.g., a, a', a'', etc.).

11
Dissimilar Phrases
Phrases are dissimilar when their melodies bear no apparent melodic relationship
(Example 2.6). Dissimilar phrases are indicated above the score with different lowercase
letters (e.g., a, b, c, etc.).

Example 2.6
Balanced Phrases
Phrases are said to be balanced when the ending of phrase two is based on any portion of
phrase one. The end of the phrase 2 of Example 2.7 is a varied version of the opening of
phrase one. We will designate balanced phrases as we do similar phrases (e.g., a, a', a'',
etc.).

Beethoven, Sonata in C Minor, Op. 13, III

a a'

Example 2.7

12
Period: Antecedent-Consequent Phrases
Whenever a phrase sounds incomplete, such as those that end with a half-cadence or in
some cases, an imperfect authentic cadence, we say the phrase is an opening or
antecedent phrase. If the following phrase fulfills the sense of incompleteness left by
phrase one, it is a closing or consequent phrase. These two phrases, then, form a
complete musical thought, or a period. Listen again to Example 2.1, and notice how the
two phrases together form a satisfying musical unit. Phrase one is the antecedent, phrase
two, the consequent.

Symmetrical Period
When a single antecedent is followed by a single consequent, such as Example 2.1, the
period is symmetrical. The symmetry is determined by the number of phrases (one
antecedent and one consequent), not the length of the phrases. Even if antecedent-
consequent phrases are of differing lengths, they are symmetrical.

Look again at Example 2.4. Does it exhibit an antecedent-consequent characteristic? Yes

it does. Although both phrases cadence on the tonic chord, scale-degree three in the
melody at the end of phrase one creates tension through a sense of incompleteness. The
consequent phrase resolves this tension by concluding on scale-degree one. Keep in
mind, however, that two phrases with repeated harmonic movement do not necessarily
form a period. For example, if both phrases have identical cadences (e.g., two perfect
authentic cadences), we simply have a repeated phrase, not a period.

Example 2.6 also exhibits an antecedent-consequent relationship, even though the

melodies are dissimilar. Example 2.5 is a period with progressive harmonic movement,
because the phrases together form a single complete idea, even though the cadence of
phrase two is in a new key.

Parallel and Contrasting Symmetrical Periods

When two phrases form a symmetrical period and the melodies are similar or balanced, as
demonstrated in Examples 2.1, 2.4 and 2.7, we call the period a parallel symmetrical
period. When the melodies are dissimilar, as in Example 2.6, it is a contrasting
symmetrical period.

Double Period
Example 2.8 contains four phrases. The first phrase, an imperfect authentic cadence,
requires a resolution, which is not fulfilled by the second phrase, being a half-cadence.
The third phrase is an ornamented version of phrase one, and only the fourth phrase
brings the passage to a satisfying conclusion with a perfect authentic cadence. This
13
creates an antecedent-antecedent-antecedent-consequent pattern, or a double period.
One might construe this passage as two antecedents followed by two consequents, which
is equally as valid. In either case, it takes four phrases to complete the period.

Example 2.8

14
Asymmetrical Period
An asymmetrical period contains an unbalanced number of antecedents and
consequences. Example 2.9 has two antecedent phrases but only one consequent:

Example 2.9

Phrase Groups, Connections and Extensions

Phrase Group
If two or any number of successive phrases do not form a period such as those in Example
2.3 (“O Canada”), they are merely a group of phrases, or a phrase group.

Phrase Connection
Looking again at Examples 2.2 and 2.3, we see that when phrase one ends there is a
distinct break, in some cases even a rest, before phrase two begins. These phrases are not

15
connected with any special means. Yet, phrases often are connected in a variety of ways,
creating the effect of a continuous flow.

Melodic Link
A melodic link is one of the most common means of connecting phrases. Examples 2.1
and 2.8 both have melodic links.

Accompaniment Rhythm
Often, the accompaniment will continue between phrases. This is seen in the left-hand of
Examples 2.5, 2.6 and 2.7.

Elision
An elision, or elided cadence, occurs when phrase two begins on the same beat that
phrase one ends:

Example 2.10

16
Phrase Extension
Phrases are sometimes extended simply by prolonging the final chord longer than
expected. Example 2.11 is a parallel contrasting period with an elided cadence at the end
of phrase one, and progressive harmonic movement. Play this example at a keyboard,
stopping on the downbeat of measure eight. Notice that the passage sounds complete
without the final measure. Play the passage again through the end, and listen to how the
composer has prolonged the tonic chord.

Example 2.11

We already have studied the first eight measures of Example 2.12 (Example 2.7). If we look
beyond those measures, we see that Beethoven repeats the second phrase with only
minor changes, mostly in the accompaniment. When the repeat of phrase two concludes
at measure 12, it is extended an additional five measures.

17
 Beethoven, Sonata in C Minor, Op. 13, III

a b

6
b

Extension
11
11

16

Example 2.12

18
Music for Study
Return to the excerpts at the end of chapter one and determine the following:
- What is the harmonic relationship of the phrases (complete, incomplete, repeated
or progressive)?
- What is the melodic relationship of the phrases (similar, dissimilar or balanced)?
- Do the phrases form a period? If so, what type?

Study the excerpts below and determine the following:

- How many phrases are there in each excerpt?
- Analyze the cadence chords of each phrase.
- What is the harmonic relationship of the phrases (complete, incomplete, repeated
or progressive)?
- What is the melodic relationship of the phrases (similar, dissimilar or balanced)?
- Do the phrases form a period? If so, what type?

19
 Mozart, Sonata in B flat, K.330, I

10

14

20
 Mozart, Sonata in B flat, K.330, III

14

19

21
 Chapter Three
Binary Form

Parts, Sections and Subsections

As we have seen already, tonal music is organized in identifiable patterns that can be
described in terms of relationships. In this chapter, we will look at relationships between
larger parts, that constitute the formal organization of entire pieces of music. We will
discover also that, as compositions become longer and more complex, parts are divisible
into sections, and sections into subsections. Musical forms range from rather simple to
extremely complex. We will begin with the simplest forms that composers of Western
music have favored over the centuries.

Design
When we hear a piece of music, we usually can distinguish the various parts by their
differences in sound. For example, the melody or rhythm might change from one part to
another; the texture of the first part might be more contrapuntal in the second part; or
maybe the surface harmonies are different. All musical elements (melody, rhythm,
timbre, texture, dynamics, etc.) contribute to the delineation of parts, constituting the
design of a piece of music. However, as we shall see shortly, the melodic relationships
tend to be the most influential factor in determining how we label a piece in terms of its
design. Our labeling method for part design will be uppercase letters, using the prime
symbol to indicate variations (A, A ', B, B ', etc.).

Tonal Structure
Musical parts also are defined by how the harmony is organized; this organization is
called the tonal structure. The key to determining the tonal structure of a piece is to
identify the cadences. The cadence is one of the strongest formal delineators in music. An
authentic cadence, especially in a short piece, frequently signals the end of a part. In
addition to identifying the location of the cadences in the music, we need to identify their
tonality as well. If a piece begins in a certain key and cadences several measures later in
the same key, we say the piece is in a sectional form. Even short pieces, however, often
modulate and cadence in a new key before returning to the first key near the end of the
piece. When a musical part ends somewhere other than the original tonic, it is called a
continuous form, meaning that the tonal structure requires a continuation in order to

22
close in the original key. Traditionally, major-key pieces modulate to the dominant,
minor-key pieces to the relative major.

Binary Form
When a piece of music is in two parts, we call it a binary form, the parts being delineated
by the design and tonal structure. Composers used binary form extensively throughout
the seventeenth and eighteenth centuries for instrumental music, especially stylized
dance pieces.

Binary Design
We use the term simple binary to describe a binary form where the melodic material of
part one does not recur in part two. We label part one “A,” part two, “B.”

Often, we find pieces that divide clearly into two parts, however, the first phrase of part
one is restated as the second phrase of part two. Due to the sense of “return” created by
the restatement of the opening phrase, we call the form rounded binary. As we shall see,
some rounded binary pieces contain the return of the entire first part. The design label
for rounded binary is “ABA'.”

Balanced or rhymed binary form is where the second phrase of part one is restated as
the second phrase of part two. The design label for balanced binary is “AA '.”

Bar Form is a type of binary form, occurring primarily in chorales, where part one is
repeated literally and part two is not.

Binary Tonal Structure

Binary forms always have two conclusive cadences. Depending on where those cadences
are tonally determines the tonal structure of the piece. Sectional binary has both
cadences in the original tonic key. In essence, both parts of a sectional binary form are
tonally independent. Continuous binary parts, on the other hand, are not tonally
independent. Part one modulates to and cadences in a new key. Part two generally begins
in the new tonal area established by part one, then modulates back to and concludes in
the original tonic. Figure 3.1 diagrams the tonal structure of sectional and continuous
binary forms.

23
 Binary Tonal Structures
Sectional Binary
Part I Part II
PAC PAC

KEY: I I X I

Continuous Binary
Part I Part II
PAC PAC

KEY: I V X I

Figure 3.1

Summary
When designating the form of a piece, we must reference the design and tonal structure.
Traditionally, the design designation comes first, followed by the tonal structure. For
example, a simple binary form with a continuous tonal structure is called simple
continuous binary; a rounded binary form with a sectional tonal structure is called
rounded sectional binary.

When designating the design letters, we will refer to the tonal structure through the use
of dashes for sectional parts, thus emphasizing the tonal independence of the parts. For
example, a simple sectional binary form is A – B, whereas a simple continuous binary is
AB.

Figure 3.2 summarizes the most common binary forms and their symbology, followed by
short pieces representing those forms. The diagram is organized by tonal structure, the
lowercase letters referring to the phrase level. Where two letters are indicated (e.g., a '/b)
it means that the phrase may be similar (a) or contrasting (b) without affecting the form.

24
 Binary Form Summary
Sectional Tonal Structures
PAC PAC
A – B
Simple Sectional Binary a a '/b c c '/d
A–B
Key: I (i) I (i) X I (i)

PAC PAC
A – B A'
Rounded Sectional Binary a a '/b c a '' (b)
A – BA'
Key: I (i) I (i) X I (i)

PAC PAC
A B
Bar Form a a '/b c c '/d
A–A–B
Key: I (i) I (i) X I (i)

Continuous Tonal Structures

PAC PAC
A – B
Simple Continuous Binary a a '/b c c '/d
AB
Key: I (i) V (III) X I (i)

PAC PAC
A – B A'
Rounded Continuous
a a '/b c a '' (b)
Binary
ABA'
Key: I (i) V (III) X I (i)

PAC PAC
A A'
Balanced Binary a b c b'
A A'
Key: I (i) V (III) X I (i)

Figure 3.2

25
Small Binary Forms
Each of the following pieces represents one of the binary forms. Use the following steps to
determine the form of the piece. The answers appear following the examples.
1. Find the conclusive cadences, and determine their keys. This will tell you whether
the piece has a sectional or continuous tonal structure.
2. Study and compare the phrases of part one to determine their melodic
relationship. Are the phrases similar, dissimilar or balanced? Label the phrases
accordingly. Now do the same for part two, comparing them also with those of
part one.
3. Compare the parts to determine if the design is simple, rounded, balanced or bar
form.

Mozart, Sonata in D, K. 284 III

Example 3.1
26
 chorale Aus meines Herzens Grunde
harmonized by J.S. Bach

Example 3.2

Example 3.2

Example 3.3

27
Example 3.4

28
 Bach, English Suite in G Minor

Example 3.5

29
Example 3.6

30
Example 3.6

Example 3.7

31
Answers
Example 3.1 – Rounded Continuous Binary.
Example 3.2 – Bar Form.
Example 3.3 – Simple Continuous Binary
Example 3.4 – Balanced Binary
Example 3.5 – Rounded Sectional Binary
Example 3.6 – Simple Sectional Binary
Example 3.7 – Balanced Binary

Larger Binary Forms

The previous examples have been straightforward: two conclusive cadences, two parts of
relatively equal length, and melodic relationships that fit clearly into one of the standard
forms studied thus far. Once we step into the realm of larger pieces, however, the answers
are not always clear-cut, and thankfully so, as music is not a science.

Compare, for example, Example 3.8 with Example 3.1. Both pieces are rounded continuous
binary. The second part of Clementi’s sonatina, however, is significantly longer than the
first part because the entire first part returns in part two (but closes the tonality by not
modulating to the dominant). So, while there are only two conclusive cadences, the
design comes very close to a three-part (ternary)form: part one, part two, a digression
(mm. 16-23), and part three, the return of part one as the second section of part two. In
fact, many music theorists consider this a ternary form.

It is important to understand that we use labels for convenience only. Whether we call
this piece binary or ternary is not important, understanding the musical structure is. We
are calling Example 3.8, and similar pieces, rounded binary rather than ternary due to the
insignificance of what would be considered part two of a ternary form (mm. 16-23 of this
example). First, the harmony of these measures is almost exclusively the dominant of the
original key. Second, the melodic material clearly comes from the opening measures.
Therefore, we tend not to hear these measures as a separate, independent part. When we
get to ternary forms, we will see pieces with a structure not unlike the Clementi
movement, but fall into the ternary form because of the distinct independence of what
here is merely a digression.

32
Example 3.8

33
Domenico Scarlatti
Domenico Scarlatti (1685-1757) wrote 555 sonatas, most of them for harpsichord, and
most of them single-movement pieces in binary form. Figures 3.3 and 3.4 illustrate the
structure of two of his sonatas.

When diagramming larger pieces, we use the lowercase letters to indicate sections rather
than phrases. Any musical element can signal a sectional division, melody, harmony and
texture being primary delineators. Note also the descriptive names for the sections. The
opening theme is self-explanatory. The next section, functioning as a modulatory
passage from the primary key to the dominant, is called the transition. The second
theme generally begins with the new key established, and, at least in Scarlatti sonatas,
contrasts melodically with the opening. The closing theme features a repeated cadential
pattern that signals the close of the part.

Typical of Scarlatti’s sonatas, is the balanced binary structure. In both sonatas, the
opening theme does not return. The second and closing themes return, always in the
tonic key. In some of the longer sonatas, such as K.119, measures 124-142, there is
modulatory material that prepares for the return to the tonic. We will call passages such
as this a retransition.

Scarlatti, Sonata in E Major, K. 380

Figure 3.3

34
 Scarlatti, Sonata in D Major
A K.119
b: 18‐35: Transition

..
a: 1‐18: Opening Theme
18 28

D: Q Q A: T&

c: 36‐72: Second Theme d: 73‐95: Closing Theme

..
36 56 65 73 80

R Qs T Q
(repeated pattern)
A: q V Q

V
A' c''': 124‐142: Retransition
c': 96‐106: Digression 1 c'': 107‐123: Digression 2

..
96 107 112 124 130 137

T7/w w Tk
D: V V Q V

..
c'''': 143‐175: Second Theme d: 176‐207: Closing Theme
143 160 176 184

R Qs T Q
(repeated pattern)
D: q Figure 3.4 Q
 Chapter Four
Ternary Form
Three-part, or ternary form, generally features the complete return of part one, and can
be very similar to the rounded binary form. As we alluded to in the previous chapter, it is
the significance or independent character of part two (before the return of the opening
music), that suggests three distinct parts. The design (A, B, A', etc.) and tonal structure
(sectional and continuous) nomenclature used for binary form applies to ternary form as
well.

Sectional Ternary
Sectional ternary is probably the most common ternary form. Folk songs, hymn tunes and
other popular tunes traditionally are in sectional ternary form. The structure of sectional
ternary is A-BA. The dash between the first A and B signifies that the first A is complete
harmonically, that is, it begins and ends in the same key. B may or may not begin is the
same key as A, but its harmonic structure is not complete, normally leading to a half-
cadence of the original key in preparation for the return of A. The eighteenth-century
English song Drink to Me Only with Thine Eyes (Example 4.1) demonstrates a small
sectional ternary structure. Notice that the second phrase is nothing more than a literal
repetition of the first. The B phrase is distinctly different from the opening phrase, ending
on the dominant chord.

Full Sectional Ternary

Full sectional ternary is characterized by three harmonically independent parts: A-B-A, B
generally being in a contrasting key (Example 4.2). It is possible to analyze full sectional
ternary as rounded sectional binary, but, as stated above, it is the independent character
of B that leads us to favor the ternary label.

Continuous Ternary
The least common of the ternary forms is continuous ternary. In this form, the entire
piece is a single harmonic movement, that is, we expect the music to continue from one
part to the next until the end of the piece. We hear three parts due to the differences is
the other musical elements (i.e., the design). We will see an example of a continuous
ternary form in the Brahms intermezzo discussed below.

36
 A

R Qs T7 Q
T

Qs T7
T
A

Example 4.1

37
 Example 4.2

Composite Ternary
The minuet (also spelled menuet) was a popular dance in the eighteenth century.
Eventually composers began to include the minuet as inner movements of sontatas and
symphonies. To expand these movements, it became common to put two minuets
together in a single movement, the second one called a trio, which in its original context,
literally meant to be played by three instruments (e.g., two oboes and a bassoon). After
the trio, it was traditional to return to the first minuet without the repeats. The result of
the minuet-trio movement is a composite ternary form, that is, forms within a form.
Example 4.3 is the minuet-trio from Haydn’s Sonata in E-flat (Hob. 16). Both the minuet
and the trio are rounded continuous binary. The movement as a whole is full sectional
ternary since each part represents a complete harmonic movement:

Minuet Trio Minuet

aba ' aba ' aba '
A – B - A
Figure 4.1

38
 A Haydn, Sonata in E b, Hob. 16, II
œ œ. œ œ. œ
a
œ˙ œ œ œœœ
b b 3 œ . œœ ˙˙
Menuet
œ. œ ˙ œ œ œ œ œ Œ œ œ œ.nœ œ. nœ
œ . ‰ œ3n œ ‰ œ œ ‰ œ
3

& b 4 nœ.
3

œ
3

? b b 43 Œ œ Œ œ œ œ œ œ œ Œ ˙˙ Œ Œ ? œœ œœ œœ
b & ˙˙
œ
œ
bb ‰ œ œ ‰ œ ‰ œ3 œ œ œ . œ œ . œ œ Œ Œ . .bœ . b œœ ˙˙
3

œ œ. œ œ˙
3

& b nœ. . . œœœœœ œ

nœ. œ œ. œ ˙
8

3
œ œ œ œ œ œœ œ œœ
3

œ œ
3 3

œ œ ˙
3

? b b œœ œœ œœ œ œ
.. .. Œ nœ œ Œ œ œ œ
b œ œ œ œ nœ œ
a' œ ˙ œ ˙ œ œ œ œœ 3œ 3
bb œ
3œ
œ ˙ œ œ. œ ˙ œ. œ ˙ œ œœ œœœœ œ
& b œœ œœ œœ œœœœ œ œ œ œ . œ œ . œ ˙ Œ ..
16

œ3 œ3 œ œ 3 œ.
œ
3

œ ˙. œ œ œ œ œ Œ œ œ
3

? bb ˙ œ
3

b œ Œ œ Œ œ œ œ œ ˙ Œ ..

b
Trio aB
j j j œ œ œ œ œ œ œ j j j
& b b .. ‰ œ ‰ œ ‰ œ ‰ œ ‰ œ ‰ œ ‰ œJ ‰ œJ ‰ Jœ œ n œœ Œ ‰ b œœ ‰ œœ ‰ œœ œ œ œ œ œ œ
25

J J J
? b b .. œ œ œ œ œ œ œ œ œ œ
œ œ œ œ
b nœ œ œ Œ
j j j
b b b ‰ j ‰ j ‰ j ‰ œ ‰ œ ‰ œ œ œ3 œ Œ .. .. ‰ n œœj ‰ œœj ‰ œœj ‰ n œœj ‰ œœj ‰ œœj
b
31

& œ œ œ œ œ œ œ œ ˙
œ œ œ œ œ œ
? bb œ œ œ œ
œ ˙ Œ .. .. œ &œ
nœ ?œ
b
œ œ
b j j j j j j j j j j j j
& b b ‰ œœ ‰ œœ ‰ œœ ‰ œœ ‰ œœ ‰ œœ ‰ œœj ‰ œœj ‰ œœj ‰ œœj ‰ œœj ‰ œœj ‰ œœ ‰ œœ ‰ œœ ‰ œœ ‰ œœ ‰ œœ
37

œ œ œ œ ?œ œ œ ?
? bb œ œ œ ?œ œ œ œ œ œ œ
b œ & œ œ & &
œ
b j j
&bb ‰ œ œ œ œ œ Œ ‰ œj ‰ œj ‰ œj ‰ œ ‰ œ ‰ œj ‰ œj ‰ j ‰ œj Œ ..
43 a'
œ
j
n˙ J œ ˙
œ œ œ œ
? b ˙
bb #œ œ œ œ œ œ œ œ œ ˙ Œ ..
˙
Menuet da Capo
Example 4.3
Composite ternary is not limited to the minuet-trio. Composers have utilized the form as
the architecture for larger scale compositions. Brahms’ Intermezzo, Op. 118, No.2 (see
Figures 4.2 and 4.3) is a structural though beautiful masterpiece. Brahms uses some
notable means to connect parts that make much of the piece seamless. For example, at
measures 28-29, he dovetails the end of part two and beginning of the return of part one:

Brahms, Intermezzo, Op. 118, No. 2, mm. 28-30

Return of “a”

End of “b”

Example 4.4

Measures 73-76 function as a retransition, preparing for the return to A major:

Brahms, Intermezzo, Op. 118, No. 2, mm. 73-76

Example 4.5

Op. 118, No. 2 Composite Design

Continuous Rounded Continuous
Ternary continuous Ternary
binary
aba ' aba ' aba '

A – B A
Figure 4.2

40
 Brahms, Intermezzo in A Major
Op. 118, No.2

A
a: X Motive  b: Y Motive  a' Fine
1‐8 9‐16: varied repetition 17‐25 25‐28: extension 29‐34: X, Y 35‐38: X 38‐42: Coda: Y 42‐48: Coda: Y‐X 8

A Q E Q A Q E Q A: zE6 V RÖr Q

B
a: New Theme (NT) b: Canon of NT a': NT Invertible Counterpoint Da capo al Fine
49‐52 53‐57: varied repetition 57‐60 61‐64: varied repetition 65‐68 69‐73 73‐76: Retransition

f# i V7 i V7 Q V7 Q V7 i V7 i A V7

Figure 4.3
 Chapter Five
Unconventional Forms
Composers have favored binary and ternary forms over the centuries; therefore we tend
to consider them standard. Yet examples abound of other types of forms that are not as
common. In this chapter, we will look at two of these forms: the unary, or one-part
form, and the five-part form.

Unary Form
Bach’s Prelude in C from the Well-Tempered Clavier, Book One, affords us a good example
of a unary form. Typical of a one-part form, the prelude only has one conclusive cadence,
one type of texture, and no contrasting melodic material. While there are cadential
patterns before the final cadence (mm. 9-11 and 17-19), they are not marked by any
stoppage, or even slowing of the rhythmic activity. Figure 5.1 illustrates the overall
harmonic structure of the prelude:

Figure 5.1

Five-Part Form
Frédéric Chopin (1810-1849) was a Polish composer and has over 230 compositions, almost
all of them for piano. 58 of those compositions are Mazurkas, a Polish dance in triple
meter, characterized by dotted rhythms and an accent on the second beat.

Mazurka No. 5 in B-flat Major, Op. 7, No. 1 (Figures 5.2 and 5.3) is an example of a five-
part sectional form. The first three parts are harmonically complete. The fourth part has
very little harmonic activity, but stands apart from the other parts by design. This part
ends with a half-cadence of B-flat leading to the final return of A.

42
 Mazurka in B-flat Design Structure
A – B – A - CA
Figure 5.2

Figure 5.3

Two aspects of this piece, and others like it, tend to confuse students first encountering
formal analysis. First, remember that repeats add nothing to the formal structure of a
piece of music; they are merely repeats. Repeats are there sometimes to balance the
length of sections, or to help familiarize the listener with the music, or sometimes they
are there simply by tradition. In this mazurka, the publisher, for whatever reason, has
chosen to write out the repeat of the first 12 measures (in mm 13-24), but it does not make
the piece a six-part form.

Secondly, this piece starts with a dominant chord, not the tonic, which incidently is
another characteristic of much of Chopin’s music. However, that opening dominant
chord does not change the overall effect of the first part being a complete harmonic
movement in B-flat.

43
 Chapter Six
Theme and Variations
Theme and Variations first appeared as movements within compositions or as
individual pieces in the sixteenth century. For convenience, we will divide the concept of
theme and variations into two broad categories: sectional variations and continuous
variations.

Sectional Variations
In a set of sectional variations, a musical idea, or theme is presented, followed by a series
of separate variations on that theme. Usually the theme is in one of the binary forms, and
the following variations maintain that form. It is important to remember, however, that
while composers often followed conventions, there are no rules that the composer follows
when writing variations on a theme. Also, when we refer to theme, it is important also to
note that it does not necessarily mean the melody. The theme, then is the melody,
rhythm, harmony, texture, and overall structure. Any of these parameters may be the
vehicle of variation. In some cases, the composer will maintain the harmonic framework
and alter the melody to the point that it is unrecognizable.

There are numerous examples of sectional variations in music literature. Probably the two
most famous are Handel’s The Harmonious Blacksmith, the last movement of Suite No. 5
in E Major for harpsichord, and Bach’s Goldberg Variations. We will look at the former
presently.

The Harmonious Blacksmith

It is unclear how this movement came to be called the Harmonious Blacksmith. It was not
given by Handel, but became popular during the nineteenth century and has endured to
this day.

The theme or air as it is called, is in simple continuous binary form. The five variations
that follow employ a style of variation that seems to have originated with the English
division style called doubles. In fact, it is not unusual to hear these variations referred to
as doubles (e.g., double one, double two, etc.). The double style essentially divides the
rhythm (i.e., makes it faster) in successive variations. Figure 6.1 illustrates how Handel
implements the doubling technique in each of the variations.

44
 Harmonious Blacksmith Variations
Section Rhythm
Air (Theme)

Variation 1 Right Hand

Variation 2 Left Hand

Variation 3 Right Hand

Variation 4 Left Hand

Variation 5 Both Hands

Figure 6.1

The only elements that undergo change in the variations are the melody, the bass line
and the texture. Other musical elements, such as the key, mode, tempo, and the harmony
(other than slight alterations), are unchanged. The overall form and length of the theme
also are unaltered, and this is usually the case in sectional theme and variations.
Nevertheless, it is important to keep in mind all musical elements are available to the
composer for variation, and composers over the generations have indeed taken advantage
of every possible means when creating variations on a theme.

Variations on the “Emperor’s Hymn”

Haydn wrote his String Quartet, Op. 76, No. 3 in 1797. The second movement of the
quartet is a set of variations on a hymn he originally composed as a four-part chorus for
Francis II, then emperor of the Holy Roman Empire and the first emperor of Austria. The
familiar tune is the former Austrian national anthem.

In contrast to Handel’s variations, Haydn never alters the melody, perhaps out of respect
for the original purpose of the tune. In each of the variations, the melody is in a different
register and played by a different instrument, but the tune is left intact. Also, while
Handel’s variations use rhythmic accumulation from one variation to the next, Haydn, on
the other hand increases the intensity through textural accumulation:
- Variation one is a violin duet.
- Variation two a trio, the viola only playing to provide a bass when needed.

45
 - Variation three is the most complex contrapuntally.
- Variation four uses all instruments throughout and achieves a climax through the
high register of the instruments.

Variations on the “Emperors Hymn”

Instrument with Tune Description
Theme Violin 1 4-part chorale style
Variation 1 Violin 2 Violin duet
Variation 2 Cello Trio texture
Variation 3 Viola Contrapuntal texture
Variation 4 Violin 1 High register
Figure 6.2

Continuous Variations
Continuous variations are those where there is no obvious break, but a continuous flow of
music over a repeated bass, or a repeated harmonic pattern, or both. As early as the
sixteenth century composers called these compositions either a passacaglia or
chaconne. There has been much discussion and disagreement as to which term describes
the repeated bass and which the repeated harmonic pattern. It seems clear, however, that
composers made no meaningful distinction.

Nevertheless, one of the most prominent features of continuous variations is an incessant

bass line called a ground bass or basso ostinato (It., stubborn or obstinate bass).
Claudio Monteverdi (1567-1643) uses the following ground bass in his madrigal Zefiro
Torna. The melodic variety he achieves with the unchanging bass attests to his skill as a
composer:

Example 6.1
Another type of ground bass that appeared regularly in the seventeenth century was a
descending bass line, either in a diatonic or chromatic form. Henry Purcell (1659-1695)
uses the chromatic version for the aria Dido’s Lament near the end of his opera Dido and
Aeneas.

Example 6.2

46
 Chapter Seven
Rondo
Rondo form has a long history, probably going back to the French rondeau poetry of the
14th and 15th centuries. For our purposes, however, we will limit our discussion to what is
known as the classical rondo form of the 18th century.

The rondo is characterized by a returning section called a refrain with sections in

between called episodes or couplets. The refrain, which is usually harmonically
complete, begins the piece, with the first episode being in a contrasting key (the
dominant or the relative major). As with any musical form, composers rarely follow a
formulaic method when composing a rondo. We must always remember that we are
looking back at these pieces to see what composers did. We make observations and
generalizations, but there is no one “mold” for the rondo form. The only truly static
features of a rondo are the refrain and the episodes. As to how many refrains, how many
episodes, or how many different keys, these all are specific to a given piece. Even Mozart’s
Rondeau from his Violin Sonata, K.26, written when he was nine, does not lend itself to a
ready-made formula. With that said, we will outline what a typical classical rondo form
looks like (Figure 7.1) Then, we will look at a Beethoven sonata movement to see how he
treats the rondo.

A Typical Classical Rondo

Part: Refrain Episode 1 Refrain Episode 2 Refrain Episode 3 Refrain
Design: A B A C A B' A
Major: I V I X I I I
Minor: i III i X i i i
Composite
A B A
Design:
Figure 7.1

The classical rondo reveals the composers’ interest at that time in symmetry of form and
tonal resolution. The symmetry is clear from Figure 7.1. Notice also that episode one
returns as episode three but in the tonic key. This type of “tonal resolution,” as music
scholars have sometimes called it, is typical of classical musical forms, particularly the
sonata form discussed later.

The middle episode, in a different key from the first, is often the longest and most
complex part of the form. Due to this length and complexity, the rondo form sounds
47
similar to a composite ternary form, or possible two ternary forms (ABA) with a part in
between (C).

Numerous examples of the rondo form exist in the literature, but rarely as a separate
piece. Most often, composers employ the form as the last movement of a sonata or
symphony.

The last movement of Beethoven’s Sonata, Op. 13 (Sonate Pathetique) is a rondo that
adheres to the standard form (Figure 7.2). It is not uncommon for the composer to have
transitional material between parts that are in different keys, as Beethoven has done
between parts one and two. Common also, is a retransition preparing for the return of the
home key with a dominant prolongation. Beethoven extends the dominant harmony here
for nearly 14 measures, achieving great intensity and drama.

The return of B in the major tonic provides the tonal resolution of the material that was
originally in the relative major. Beethoven also balances key relationships, a characteristic
of his style, especially in his later works. Here, the relative major of B (a third above the
tonic) is balanced by the submediant major (a third below the tonic) of C.

Beethoven, Sonata in C Minor, Op. 13, III

Figure 7.2

48
 Chapter Eight
Sonata Form

Historical Background
Historically, the term sonata (Latin, sonare, “to sound”) was used for pieces to be played
as opposed to pieces to be sung (Latin, cantare, “to sing”). These pieces were usually
written for a solo instrument (e.g., piano), or a solo instrument and accompaniment (e.g.,
violin and piano). Eventually sonatas evolved into pieces in three or four movements of
contrasting character, tempo and key. The classical standard settled primarily on three
movements.

The opening movement of a sonata was typically in a continuous binary form.

Throughout the 18th century, composers, in an effort to intensify musical drama, became
intrigued with the idea of exploring contrasting tonal areas in greater length and detail.
Consequently, the opening movement became longer and more complex. Eventually a
new form emerged that, while clearly related to the continuous binary form, had salient
features that took the form beyond the standard binary structure. Because this “new”
form seemed to evolve within the sonata, it became known as sonata form. It is also
referred to as first-movement form, or sonata-allegro form, as the first movement
generally was fast and lively.

The term, sonata form, however is deceiving, as it became the standard first-movement
form for most instrumental pieces (e.g., string quartets, opera overtures, symphonies,
etc.) from the middle of the 18th century, through most of the 19th century, and even into
the 20th century.

As with any musical form, the sonata form is not a rigid mold, but an organic and flexible
structure that serves the creative process to heighten musical drama and expression. With
that in mind, we will outline what is called the “textbook” sonata form. Then we will
study several pieces in order of increasing complexity to learn how composers utilized the
form in remarkable fashion.

Structural Components
Exposition, Development, Recapitulation
The overall structure of a typical sonata form looks very much like a continuous binary
form especially due to its two conclusive cadences. However, it divides into three major

49
parts: the exposition, development and recapitulation. Figure 8.1 outlines how these
parts correspond to the binary structure:
- The exposition corresponds to part one of the binary form.
- The development corresponds to the first half of part two (the digression). It is
called the development because often (but by no means always) it contains
motives and other materials from the exposition that are treated in a
developmental manner (e.g., fragmentation, sequence, etc.).
- The recapitulation corresponds to the restatement of the first half of part one
(rounded binary) and the second half of part one (balanced binary).

Exposition Development Recapitulation

Rounded Balanced
A B A'
a b c d Digression a b c d
I (i) V (III) X V7 I (i) I (i)
Figure 8.1

In order to identify the inner components of the sonata form in a descriptive and
meaningful way, we will use symbols developed by the musicologist, Jan LaRue:

Main Section Symbols

P – Principal Theme group – theme or themes in the tonic key.
1P, 2P, 3P, etc. – distinctly different themes within the principal theme group
P', P'',etc. – variations of the same theme within the principal theme group

T – Transition – the modulating section between P and S.

S – Secondary Theme group – theme or themes in the second key (e.g., V, III)
1S, 2S, 3S, etc. – distinctly different themes within the secondary theme group
S', S'', etc. – variations of the same theme within the secondary theme group

K – Closing Section – final section of the exposition (and/or recapitulation). Often it is

its own theme, and usually cadential in character and functions establish the secondary
key.

Other Symbols
N – New Theme – At times composers will use new themes either in the development,
the recapitulation, or the coda.

50
S(P) – It is not unusual for the theme in the secondary theme group to be derived from
the theme in the principal theme group. In this case, S is derived from P. However, any
combination is possible [T(P), K(S), etc.].

x, y, z – motives within a theme. Motives are important to designate when they appear
outside of their original context. For example, it is common to find a motive from the
theme in the P or S theme group, but not the entire melody, in the development,. When
we discover a motive treated outside of its context, we label it at its origin and identify it
later (e.g., Px, Py, Sx, Sy, etc.).

Now, we superimpose these symbols on to the original diagram:

Exposition Development Recapitulation

Rounded Balanced
A B A'
a b c d Digression a b c d
P T S K (PTSKN) P T S K
I (i) V (III) X V7 I (i) I (i)

Figure 8.2

Take note that while we are calling the divisions P and S theme groups, the tonality is
the structural bedrock, not the theme. The themes in the principal theme group contrast
to the themes in the secondary theme group most of the time, but by no means always.
As we shall see, Haydn was fond of using the same theme for an entire movement. The
contrast and tension, then, is the tonality, not the theme itself.

Characteristics of the Development

When we analyze the development, the PTSK symbols take on a purely thematic
meaning. Traditionally, the tonality in the development is unstable, moving from one key
to another, usually without establishing those keys. The symbols (PTSK) then, tell us
what thematic material the composer has developed. Also, it is not unusual for the
composer to introduce new thematic material in the development, in which case we use
the designation N.

Analysis: Kuhlau Sonatina, Op. 20, No. 1, Mvt. 1

Kuhla’s Sonatina in C Major provides a representative example of a simple sonata form.

51
There is one primary theme:

Example 8.1

We have indicated three motives for the principal theme. Only after the piece progresses
do we know that these are motives, as they occur in other parts of the movement. The
principal theme here is a typical classical theme with its triadic outline and lyricism.

The transition is labeled T(Px) as it contains the x motive from the primary theme:

Example 8.2

Generally, we label the transition at the beginning of a phrase, even if the modulation has
not begun. The transition here is typical in that it sounds like a varied version of the
principal, but begins to move away from the tonality of the home key in preparation for
the new key area.

The secondary theme is clearly in the dominant key as expected:

52
 Example 8.3

The closing theme’s primary function is to establish the secondary tonal area. This is
usually achieved by a repeated cadential pattern as Kuhlau has done here:

Example 8.4

The last two measures of the exposition function as a melodic link to the repeat and to
the development.

The development (Example 8.5) is where we find the y and z motives from the principal
theme. This development does not explore any new keys, but rather functions primarily
as a dominant prolongation of the home key. Notice how the dominant scale degree (G)
is in the bass most of the time. The retransition is typical in that it “sits” on the dominant

53
harmony while fast, scalar “filler” material is played to create a driving effect to the
recapitulation:

Example 8.5

The recapitulation is “textbook” in that it restates the entire exposition in the tonic key.
The transition is still present, but is altered so it does not modulate:

Example 8.6
54
Analysis: Haydn, Quartet, Op. 76, No. 3, Mvt. 1
With the Haydn quartet we begin to see the sonata form as an organic structure with
boundaries that yield to the composer’s creative endeavors and demands. We can look at
hundreds of pieces and recognize the sonata form, yet each piece will be completely
different, bearing the marks of a composer’s style, while revealing the riches of his
imagination.

The principal theme of this quartet movement displays the typical characteristic’s of a
Haydn theme: tuneful, yet laden with motivic possibilities:

Example 8.7

These three motives, along with the dotted rhythm from the transition provide
everything that Haydn needs to build the entire movement. Although we have labeled
them as three separate motives (x, y, z), the y and z motives are derived clearly from the x
motive. Nevertheless, throughout the movement, Haydn treats them as separate motives.

In each section of the movement, Haydn’s economical use of musical material is

evidenced as he utilizes the same motivic material from the principal theme. For example,
when the secondary theme enters at measure 13, it still sounds like the primary theme.
This is an example where we recognize that the structural foundation of the sonata form
is the tonality not the thematic material. We know measure 13 is the secondary theme
group because it is in the dominant key, not because it is a new theme.

By studying the summary diagram of this movement (Figure 8.3), we see that in every
section there is at least one motive from the principal theme. We use the term
monothematic to describe this Haydnesque tendency for a single theme permeating an
entire movement. By the time the recapitulation begins, our ears have been saturated
with the principal theme in one form or another. Consequently, it is not uncommon for
Haydn to shorten the recapitulation, particularly by skipping all or some of the secondary
theme group. Here, he skips what we have called 1S (Pxz) from measures 13-18 and jumps
directly to 1S' (Pxz). (Compare measures 13-26 with measures 90-97).
55
 Haydn, String Quartet in C Major
Op. 76, No. 3, Mvt. I
Exposition
..
P: 1‐4 (Motives xyz) T (Px): 5‐12: non modulating 1S (Pxz): 13‐18 1S' (Pxz): 18‐26 1K (Py): 26‐32 2K (Px): 33‐37

C: Q V G: Q V7 Q bY V7

Development Recap
.. ..
1K (Py): 38‐44 P(x) T: 45‐48 P(xyz): 49‐64 P(x) T: 65‐75 P(x): 75‐78 P: 79‐82

G: Q Q E: V Q q C: Q

Coda
..
T (Px): 83‐90 1S' (Pxz): 90‐97 1K (Py): 98‐104 P(x): 105‐108 P(x): 109‐114 1K' (Py): 115‐121

C: V7 Q V7 Q bY V7 Q

Figure 8.3
Yet, Haydn’s music is not without the unexpected. In fact, Haydn is known for humor and
the element of surprise in his music. At measure 26, Haydn introduces a cadential figure
that sounds like the exposition is winding down. At measure 29, a shift to the minor
mode sets up a modulation to E-flat. Then we hear what sounds like the primary theme in
E-flat major. Shortly thereafter, Haydn adds a seventh to the chord, making it a sounding
German augmented sixth in G after which the closing cadential pattern returns to end the
exposition.
As stated above, the tonality of the development is traditionally unstable. Haydn,
however was fond of introducing new keys in the development. Here, there is an
extended area in E major (mm. 65-75). Also, we traditionally expect a retransition where
the dominant of the home key is prolonged to prepare and dramatize the recapitulation.
Instead, Haydn uses a melodic retransition, where scale degrees one and three in E
minor become scale degrees three and five in C major (mm. 76-79).

The Coda
Coda in Italian means “tail.” Any time there is extraneous music after where we expect
the recapitulation to end, we identify that music as a coda. In this coda, there is a
complete break followed by a più presto (faster) indication. The deceptive cadence on the
flat submediant-turned German augmented sixth parallels the end of the exposition, and
exemplifies, once again, the classical ideal of tonal balance and symmetry. A codetta is a
short coda. In terms of sonata form, it is a coda that appears at the end of both the
exposition and the recapitulation.

Analysis: Mozart, Sonata in F Major, K.332, Mvt. 1

In the first movement of Mozart’s piano sonata (Figure 8.4), there are two distinct and
separate themes in the principal theme group, two different themes in the secondary
theme group, a different thematic idea for the closing theme, and a new theme in the
development. Thus, we see clearly the difference between Mozart’s treatment of form and
Haydn’s. The traditional term used to describe Mozart’s style is thematic abundance. To
make a stylistic generalization, Haydn tends to favor exploiting a single theme for its
motivic possibilities, while Mozart favors using multiple themes with little or no
development. Of course, this is a generalization, which does not mean that every piece
Mozart has written has a multitude of themes. Because of this thematic abundance, the
recapitulation is restated exactly (except for the lack of modulation), since the themes
have remained fresh.

57
 Mozart, Sonata in F Major
K.332, Mvt. 1

Exposition
.. ..
1P: 1‐12 2P: 13‐22 T: 23‐40 1S: 41‐56 2S: 56‐70 K: 71‐81 K (ext.): 82‐86 Codetta: 86‐93 8

F: Q C: Q q V Q

Development Retransition: 127‐132

..
N: 94‐109 2S: 109‐126

C: F: V7

Recap
..
1P: 133‐144 2P: 145‐154 T: 155‐176 1S: 177‐192 2S: 192‐206 K: 207‐217 K (ext.): 218‐222 Codetta: 222‐229

F: Q Q q V Q

Figure 8.4
The new theme in the development also is a Mozartian trait. Notice also that, other than
2S, there is no thematic development. While not the case here, Mozart’s developments
tend to be short when compared to Haydn’s.

Analysis: Beethoven, Sonata in C Minor, Op. 13, Mvt. 1

Beethoven’s published named this sonata Grande sonate pathétique with his approval. The
thickly textured minor harmonies and frequent use of diminished seventh chords seem to
evoke feelings of great sorrow or empathy toward tragedy. The sonata, written when
Beethoven was 28, achieved widespread popularity, and is still a part of the standard
repertory today. (See Figure 8.5 for a summary diagram.)

The Introduction
It is common for a piece in sonata form, especially symphonies, to begin with a slow
introduction. The introduction is usually solemn in character, and often begins in a minor
mode even when the sonata movement is in a major key. Typical also of the introduction
is harmonic movement that ends on the dominant, thus preparing for the entrance of the
principal theme.

While generally uncommon, but not unheard of, Beethoven brings the introduction back
at the beginning of the development, and as part of the coda, reinforcing the solemn
character of the work.

Beethoven became interested in employing the cyclic principle in his compositions,

which is evident here and became more common and pronounced in his later works.
(See, for example, Symphony No. 5 in C Minor.) The cyclic principle is where a single
motive appears in other movements. In Opus 13, the opening motive of the slow
introduction appears as the secondary theme and again in the last movement:

59
 Example 8.8

This movement also demonstrates Beethoven’s interest in using unconventional keys for
the secondary theme group. In the exposition, the secondary theme starts in E flat minor
instead of the expected relative major. In the recapitulation, instead of staying in C minor,
the music modulates to F minor for a short period then back to C minor.

Analysis: Beethoven, Sonata in C Major (“Waldstein”),

Op. 53, Mvt. 1
Beethoven’s creative output is traditionally divided into three stylistic periods. While
Opus 13 is from his early period, the Waldstein is from his middle period. During the
middle period, Beethoven’s music becomes longer and more technically demanding. The
first movement of the Waldstein Sonata exemplifies both of these characteristics. The
sonata, dedicated to his patron and friend, Count von Waldstein of Vienna, is considered
one of his greatest and most technically demanding sonatas.

When comparing the Waldstein first movement (Figure 8.7) with the same movement of
the Pathétique (Figure 8.6), the expansion of the sonata form is apparent. The Waldstein
is considerably longer, most notably after the exposition: when the recap begins, the
movement is barely at its halfway point. Part of the increased length is that Beethoven
treats the coda as a second development section. Instead of functioning only to bring the
piece to a close, the coda contains further development of the principal and secondary
theme groups.

60
The Waldstein also exemplifies Beethoven’s increased interest in harmonic balance, and
in establishing distantly-related keys, more specifically, chromatic thirds, as the structural
harmony of the sonata form. Instead of the conventional dominant key (in this case, G
major), the Secondary Theme Group is in E major, a chromatic third above C major.
When 1S returns in the recap, it is in A major, a chromatic third below C major.

Figure 8.5

The principal theme (P) is comprised of three motives that are developed extensively
throughout the movement:

Example 8.9

The initial secondary theme (1S), in stark contrast to the principal theme, is a chorale-like
tune:

Example 8.10

61
 Beethoven, Sonata in C Minor
Op. 13, Mvt. 1

Exposition
..
Into: 1‐10 P: 11‐27 T: 27‐50 1S: 51‐88 2S: 89‐113 K: 113‐121 Codetta (P): 121‐132 7

1. Cm V7
Cm q q V7 Eb V7 q V7 Q V7 Q 2. Gm V7

Development
Into: 133‐136 (P + Intro): 137‐167 Retransition: 167‐194

Gm q Em V7 q Cm V7

Recap Coda
P (Extended): 195‐220 1S: 221‐252 2S: 253‐277 K: 277‐285 Codetta (P): 285‐294 Intro: 294‐298 P: 299‐310

Cm q Fm V7 q Cm V7 q V7 q uo7/T V7 q

Figure 8.6
 Beethoven, Sonata in C Major
"Waldstein," Op. 53, Mvt. 1
Exposition
..
1.
P: 1‐13 P': 14‐22 T: 23‐34 31 1S: 35‐42 1S': 43‐50 2S: 50‐61 3S: 62‐73 K: 74‐86

C: E: V7 Q I-i C: V7

2.
Development Retransition Recap
K (Ext.):86‐89 P: 90‐112 2S: 112‐141 P(y): 142‐155 P (extended): 156‐173 P': 174‐183 T: 184‐195 192 1S: 196‐203

F: V7 Q C: V Q A: V7 Q

Coda (Dev. 2)
1S': 204‐211 2S: 211‐222 3S: 223‐234 K: 235‐243 K (Ext.):243‐248 P: 249‐259 P: 259‐283 1S: 284‐294 P: 295‐302

C: Q D b: C: Q

Figure 8.7
Figure 8.8 summarizes the style characteristics of Haydn, Mozart and Beethoven
regarding how they tended to treat sonata form:

Haydn Mozart Beethoven

Thematic Style Instrumental Lyrical tendencies Instrumental/motivic
tendencies cell tendencies;
Timbral interchange
in symphonic works
Thematic Form Monothematic; Thematic Focus on the motivic
and Growth exploits motivic abundance; often unit; builds thematic
possibilities of a more than one material from
theme contrasting theme motivic cells
in a given key area
Tonality Traditional but with Traditional, usually Innovative tonal
unexpected stays within relationships;
modulations expected tonalities, exploits median
however with some relationships
modal inflections
Development Developments Often introduces Develops material
themes from new themes; from exposition; may
exposition; often sequential establish distantly
establishes secondary treatment of keys related keys; long
key areas within the and thematic retransitions with
development; material; dominant pedal
consequently, developments are
developments tend to relatively short
be long; “false recaps”
Recapitulation Often leaves out All themes are Tends to introduce
material, particularly usually present in new material in the
S themes (result of the tonic key recap; from the
monothematic middle period on,
treatment) codas become
extremely long and
developmental
Figure 8.8

64
 Chapter Nine
Concerto
Generally speaking, a concerto features two contrasting groups: a small group of
instrumentalists (soloist, duet or ensemble) set against a larger ensemble. The element of
contrast has always been an important part of music, whether it be contrasting sections of
music, contrasting ensembles (e.g., two choirs), or contrasting vocal and instrumental
soloists or ensembles (e.g. choral versus brass ensembles). There seem to be two origins
of the term concerto, one from Italian meaning “to unite,” the other from Latin, meaning
“to contend,” or “to fight,” the latter being the most widely accepted. We will look at two
of the most popular types of concerto: the Baroque concerto grosso, and the Classical
solo concerto.

Concerto Grosso
The Baroque concerto grosso, is typically in three movements (fast-slow-fast), and
consists of a small group of soloists called the concertino (“small ensemble”) and a larger
ensemble called the ripieno (“full”), tutti (“all”), or grosso (“large”). The Latin meaning
of concerto is certainly the intention in the concerto grosso, where the concertino and
ripieno are in opposition to one another, one group plays, then the other, and so on,
resulting in continually alternating sections of music.

Ritornello Form
The outer movements of a concerto grosso are in what is called ritornello form. The
ripieno, which always begins and ends the movement in the tonic key, is called the
ritornello (“refrain”), between which are alternating sections for the concertino and
further ritornellos.

The most influential and prolific Baroque concerto composer was the Italian Antonio
Vivaldi (1678-1741), having written approximately 500 concertos. Many of his concertos
follow a pattern of four ritornellos, the second and third ritornellos in the dominant (or
relative major) and nearly related keys respectively. This four-ritornello format was
influential in the development of the concerto in the 18th century, yet it is not necessarily
the standard. For example, the first movement of Vivaldi’s Concerto in A Minor, Op. 3, No.
8, for two violins and orchestra contains eight ritornellos. In Figure 9.1, ritornellos are
indicated by R(n), solo sections, S(n).

65
 Vivaldi, Concerto in A Minor, Op. 3 No. 8, I

Figure 9.1

Classical Solo Concerto

The Classical concerto continued the Baroque ideal of contrast. The focal point, however,
turned more toward the soloist rather than a small ensemble, and the alternating sections
became longer and less frequent. By the middle to late 18th century, the four-ritnornello
format became integrated with the main structural components of the sonata form
resulting in the concerto-sonata form design (Figure 9.2).

Exposition Development Recapitulation

R1 S1 R2 S2 R3 S3 R4
I (i) I(i) V (III) X I (i)
Figure 9.2

The exposition is played twice, however without the traditional repeat signs. Instead, the
orchestra plays the exposition (R1) without the soloist, and without modulating. The
soloist enters, and the exposition is repeated (S1), this time with the normal modulations.
This double exposition is the only significant formal difference (other than the cadenza
near the end of the recapitulation) between the concerto-sonata form and the standard
(non-concerto) sonata form,.

The cadenza is an opportunity for the soloist to display his or her virtuosity. The
orchestra normally stops playing, allowing the soloist to improvise without the
constraints of a strict metric pulse. The Classical concerto cadenza traditionally is an
elaboration of a Qs – T cadential pattern, the cadenza occurring after the orchestra sounds
the Qs chord as in Example 9.1 from Mozart’s Piano Concerto in A Major, first movement:

66
 Mozart, Concerto in A Major, K. 488, I

Example 9.1

The resolution to the dominant chord does not occur until the soloist has completed the
cadenza. The trill followed by the V7 chord played by the soloist signals the end of the
cadenza and the orchestra’s final entry of the movement.

Mozart composed 27 piano concertos, many for his own performances. These works are
among the most significant ever written for the genre. The first movement of K. 488 in A
Major is exemplary of the classical concerto-sonata form (Figure 9.3).

67
 Mozart, Piano Concerto in A Major
K.488, Mvt. 1
Exposition 1 (orchestra) Exposition 2 (solo)
P: 1‐18 T: 18‐30 S: 31‐46 K: 47‐62 Codetta: 63‐66 P: 67‐82 T: 82‐98 S: 99‐114 K: 115‐137 Codetta: 137‐142

A: Q Q E: Q V

Development N'': 170‐178 cadenzetta

N: 143‐156 N': 156‐170 (cl., fl. canon) Retransition: 178‐198 189

E: Q A: V

Recap Coda
P: 198‐213 T: 213‐228 S: 229‐244 K: 245‐260 N: 261‐284 Codetta: 284‐289 N: 290‐297 cadenza: 298 K: 299‐313

A: Q

Figure 9.3