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ORGANIC RELATIONSHIPS: MOTIVIC PARALLELISMS
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SONATA FORM

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BREN SHANTZ

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ORGANIC RELATIONSHIPS:
MOTIVIC PARALLELISMS BETWEEN THE FIRST AND SECOND THEMES OF
SONATA FORM
By

Bren Shantz

A THESIS

Submitted to
Michigan State University
in partial fulfillments of the requirements
for the degree of

MASTER OF MUSIC
Music Theory

2008

ABSTRACT
ORGANIC RELATIONSHIPS:
MOTIVIC PARALLELISMS BETWEEN THE FIRST AND SECOND THEMES
OF SONATA FORM
By

Bren Shantz

One of the principal agents of creating interest and melodic contrast in sonata
form is the establishment of two distinct themes, varied in character and texture.
However, careful listening to the two themes Often leaves one with an underlying
sense of familiarity- that motivic relationships exist within the figuration of the
music to create subtle, yet profound relationships.

This paper is a study of select movements from the classical sonatas of
Mozart, Beethoven, and Schubert with a focus on revealing such relationships. I will
use Schenkerian analysis to explore the primary and secondary themes, revealing
organic relationships that belie the surface contrasts. To this end, I will provide

sketches of the music discussed, accompanied by a detailed, descriptive commentary.

TABLE OF CONTENTS

INTRODUCTION ................................................................................. 1
ANALYSES ........................................................................................ 7
Beethoven Op. 10, No. 1 (I) ............................................................ 7
Beethoven Op. 31, No. 3 (I) ............................................................ 10
Mozart, K. 280 (I) ........................................................................ 14
Mozart, K. 283 (I) ........................................................................ l7
Mozart, K. 330 (I) ........................................................................ 20
Mozart, K. 333 (I) ........................................................................ 24
Mozart, K. 570 (I) ........................................................................ 29
Schubert, D. 644 (III) ..................................................................... 33
CONCLUSION ................................................................................... 38
APPENDIX A: THEMES ..................................................................... .39
WORKS CITED ................................................................................... 41

iii

INTRODUCTION

One of the principal means of creating interest and melodic contrast in sonata
form is the establishment of two distinct themes, varied in character and texture.
Careful listening to the two themes, however, often leaves one with an underlying
sense of similarity, for motivic relationships exist within the figuration of the music
that create subtle, yet profound relationships. In his review of Ernst Oster’s
translation of Der fieie Satz, Edward Laufer states that “a close, organic relationship
[between the first and second themes within Sonata form]... is always to be found. ”‘
The comment was prompted by one of several sketches of the first movement of
Mozart’s piano sonata, K. 545 that Schenker had included in Derfiieie Satz-in

particular, one regarding a discussion of middleground detail (Ex. 1.1). Schenker’s
point is the direct transfer of register of the Urlinie, which he reads as 3, as it

progresses down to 3 in m. 14. On a more local level, he suggests that 3 is first

established in m. 4 before falling to an inner voice (12 over the dividing dominant (m.

12), which is then projected up an octave and is given structural status as am the
secondary thematic area. Schenker’s discussion of the sketch is very brief, sharing
several small paragraphs with commentary fi'om two other pieces, before he moves
on to follow his main train of thought.

Rather than only sketching the measures under review as in his other sketches

of the same piece, Schenker provided a deep-middleground sketch for the entire

 

' Laufer, Edward. Review of Heinrich Schenker, Free Composition: Vol. 111 afNew Musical Theories and
Fantasies. Music Theory Spectrum, Vol. 3. (Spring, 1981), p. 173

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movement. Astonishingly enough, the movement’s striking feature-the first theme
returning in the recapitulation in the subdominant key—does not receive comment!
No detail is included in his sketch, nor is any annotation or footnote provided to
describe this anomaly. Instead, he notes the voice-leading as the upper voice moves
from Etc Z—composed out as a descent of a sixth, rather than an ascent of a third—all
over a prolonged dominant that begins in the second tonal area and lasts until the
return of the tonic (m. 59).

This omission, combined with Schenker’s choice of; as the Kopflon, inspired
Laufer to gather this particular sketch into a section of his review titled “Problematic
Readings.” Given above is his sketch of the movement (Ex. 1.2), in which his
primary departure from Schenker’s interpretation is easily seen. As detailed below,
Laufer reads 2 as the Kopflon, which does not descend to 3 at the point of

interruption, but rather is maintained through the development and into the

recapitulation2 before finally descending to '1‘ in the final measures of the movement.3

The tone that Schenker read as 3 of the fundamental line comes instead from the

chordal third of the tonic harmony, and is thus read as an inner voice.

 

2 Laufer is admittedly recalling Oster’s well-known footnote, which describes a second order of
interruption, one that takes place in an inner voice while the principal voice persists on g .
3 Twenty years after publishing his review, Laufer revisited K. 545 and slightly altered his interpretation,
reading ;to maintain perpetually throughout the movement with no “[descent] at all in the sense of a
fiindamental line.” (see appendix to Gordon Sly’s “Schubert's Innovations in Sonata Form: Compositional
Logic and Structural Interpretation,” Journal of Music Theory, vol. 45, no.1. (Spring 2001), pp. 119-150).
He defended this reading by stating:
This particular movement closes with an auxiliary cadence (starting in m. 59). One idea behind
Schenker’s concept of the auxiliary cadence concerns withholding the arrival of the main chord
tmtil the end of the progression (here, In. 71). Thus, I at m. 59 is evaded—it’s being withheld
paradoxically lending the movement a further sense of conciseness, as the pace of the movement is
thereby not held back or drawn out by presenting the I both at m. 59 and 71. Since the auxiliary
cadence is not a background procedure, there is no background support for the descent of a
fundamental line. Thus, one should speak here not of a fundamental line, but rather of a
descending 5*.progression, in the middleground, with the g, the top note of the 5‘“, remaining.

In regard to the reading of the form, Laufer reasserts Schenker’s general plan,‘
showing the recapitulation beginning at m. 58 with the return of the original tonic.
Given that Schenker’s theory of sonata form was based entirely around the divided
voice-leading structure, and that the recapitulation was seen essentially as the
recommencing of the fundamental line, by definition the recapitulation would arrive
simultaneously with the return of the tonic key. Theoretically, as long as both
themes expressed the same voice-leading descent, either would suffice to reestablish

the Kopflon.5

* ‘k *

Returning again to Laufer’s conclusion quoted at the opening of the article, it
is cited here in its entirety:

The “r ” recapitulation (mm 58 it) might have started with the first

theme, as in a “norm ” sonata movement. But the second subject

which occurs instead is really another version of the first, as is obvious.

That the first and second subjects should be intimately related in such

a way is perhaps not recognized in traditional theory; and yet a close,

organic relationship I am sure is always to be found. Often, such an

organic correspondence makes itself known more clearly in a

recapitulation: just to reveal such secrets!6

A study of the structural levels quickly provides insight into his statement that
the first theme is “really another version of the second,” especially when taking into
account his comment about secrets revealed in the recapitulation. First, consider the
motive of mm. 1-2. The opening melody arpeggiates up the tonic triad before falling

down to neighbor-note bI and then returning to c2 (Ex. 1.3). This very same motive,

 

‘ Laufer’s choice or; as Kopfion prompted him to read F Major as a harmonized neighbor note, belonging
to a prolongation of the dominant harmony, rather than the seventh of dominant harmony, which better
suited Schenker’s choice.

5 Though in this particular work, since gdoec not descend at the interruption, it is an inner voice that
regains the third of tonic harmony.

‘ Laufer, Review of Free Composition, p. 173.

though being somewhat disguised by inversion and repetition, opens the second
theme as well (Ex. 1.4). To begin, the motive descends the g major triad and then
falls to lower-neighbor {ii2 twice before returning to g2 at the start of the sequential
passage. Furthermore, the opening fifth is composed out in the form of a long,
falling-fifth sequence that controls a large portion of the theme. Second, as Examples

1.3 shows, an important motivic figure of the first theme is the g— a dyad that

prolongs g , first locally in m. 3 over a neighboring 2 chord (repeated in
augmentation in m. 5), and then again on a middleground level as the harmony
moves to a ii" chord (m. 9). Notice how the second theme incorporates this
neighbor-note figure, first on a local level at the start of the sequence (m. 63), and

then on a deeper level as the harmony again moves through a ii6 chord (m. 67).

Also, observe Laufer’s notation in Example 1.4 “2 for 3 .” He is describing the abrupt

leap in mm. 67—68 up to a2 which resolves locally to the g2 of the following measure.
His reading suggests that 2 is standing in the place of z , much the same way that 9

often substitutes for 3. I suggest that in doing so, Mozart is once again recalling the

neighbor-note motivic figure as a final statement in the closing measures of the

movement.

For Laufer to refer to his conclusion that “the second subject which occurs
instead is really another version of the first, as is obvious” as “perhaps not recognized
in traditional theory” is understated. Many would focus on the marked contrast
between the first and the second themes as one of the driving forces of sonata form.

Certainly, contrasting themes exist as one of the form’s most recognizable aspects.

Example 1.3: min. 1-11 (based on Laufer)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

That the second theme is simply “another version of the first,” “organically related”
in some fundamental way is glaringly counter-intuitive without some systematic
process (i.e. Schenkerian analysis) capable of identifying and separating out motivic
elements on various levels.

Having provided the context for Laufer’s conclusion, I plan to explore further
the validity of his sweeping statement regarding the underlying relationships between
sonata themes. It is not my intention to provide an exhaustive defense. Rather, I
will provide Schenkerian sketches and annotations of selected, well-known sonatas
to show how motivic parallelisms— sometimes clear, but more often hidden on
various levels— demonstrate remarkable organic relationships between aurally
contrasting themes. The selections will be linrited to the piano literature of by
Beethoven, Mozart, and Schubert, and will be ordered by composer and published

date, in an efl’ort to provide a simple, yet logical progression through the material.

ANALYSES

Beethoven 0p. 10, No. I (I)

To begin this study, we turn first to the opening movement of Beethoven’s

Piano Sonata Op. 10, I. I read the primary tone to be g , specifically the g2 in m. 9

(Ex. 2.1). The primary tone is reached through ascending, step-wise motion from e53

of m. 2 and through f3 in m. 6. I hear the first theme as a composing out of 3 , with a

fifth progression to closure on c1 in m. 22. The Kopfion, however, is prolonged into

the measures of the second theme, where it eventually descends from 3 through 2 to 3
(Ex. 2.2)?

One interesting point of comparison is the harmonic rhythm first found in the
primary theme. Notice the harmonic support as the Kopfion is approached (mm. 1-
8). As the upper-voice moves ebz- f 2- g1, the bass moves in parallel tenths (Ex. 2.3).

This supports the upward continuation of the f 2 (the seventh of dominant harmony)

so that 3 can be attained. Now consider the opening eight measures of the second

theme. Observe how the harmonic rhythm is nearly identical, with the first four

measures moving from I - V 3 , while the second four continue the dominant
harmony, before resolving back to the local tonic. In this case, however, the
principal tone is already present, prompting a change of inversion down to the
leading tone, forcing the at (again, the seventh of the dominant) to resolve down to

the 3’, creating an upper-neighbor, rather than an ascending passing tone.

 

A A A
7 Acting locally as 3 - 2 - 1 in the key ofthe mediant.

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Example 2.3: Harmonic rhythm mm. 1-8, 56-64

A

 

An important motivic interval in the first theme is the neighbor figure, first
seen in the alto voice through mm. 1-8 (see bracket, Ex. 2.1). This motive is
prevalent within the first theme. Two specific examples can be seen in the bass
voice—with the motion eb- f- e5, and then inverted as c- biI- c-but since the first 18
measures are a lengthy prolongation of the tonic, nearly every voice in almost every
measure exhibits this idea. Similar voice-leading takes place within the second
theme. Observe how the principal tone is bordered by its upper-neighbor abz, while
the e52 in the alto voice moves to its lower-neighbor d2 and back. Even more striking

is the use of suspension to delay movement into and out of the neighbor tone, exactly

as seen in mm. 4 and 8. This motivic cell is later used to prolong the cadential 20f
m. 86. Notice the bass motion from bl? up to c, and then falling to its lower-neighbor
all before returning again to bl’.

Another underlying relationship the second theme shares with the first is the
highlighting of the tones g and e5, almost always composed out as an ascending leap
of a sixth. This can first be seen in m. 1, with the opening leap from gI to e52. This
same intervallic leap returns in the opening measures of the second theme (m. 55-56),
and then again mm. 63-65, 70-71, 76-78 and m. 79. On a deeper level, the first

theme highlights the initial ascent to the primary tone g2 by a motion from e5.

Conversely, the second theme shows the descent from 2 to 3 , composing out the

opening motive as a descending third, rather than an ascending sixth.

Beethoven 0p. 31, No. 3 (D

The other Beethoven sonata in this study is the third piece of the Op. 31
collection. This particular sonata presents some difficulty initially in selecting the
primary tone of the movement. In an article that addresses this piece, Roger Kamien

names the g1 of m. 6 as the primary tone, supported by dominant harmony (resulting
in a cadential 2). He defends his analysis by stating:

...The fichord [of m. 6] poses a serious problem for the Schenkerian
analyst. What is the structural significance of the g1 in the top voice of
m. 6? On the one hand, it seems unlikely that this g1 is heard merely
as an appoggiatura resolving to the f l of the V chord of m. 7. Yet how
can w; hear it as a tonic prolongation if there is no preceding tonic
chord.

He goes on to suggest that the g1 is indeed 3 , the point of departure for the
movement, describing the prolongation occurring as the composing out an implied
tonic chord that precedes the opening notes (Ex. 3.1). He cites as supporting
evidence two features of the music. First, he notes that mm. 10-17 repeat the
opening eight measures. In this case, the supertonic harmony analogous to m. l is
indeed preceded by a tonic chord (m. 8). Second, he points to a related portion in
the final measures of the exposition, as ch harmony is momentarily expressed to

navigate back to the unique opening measures.

 

' Kamien, Roger. Non-Tonic Settings of the Primary Tone in Beethoven Piano Sonatas, Journal of
Musicology, Vol. 16, No. 3 New Perspectives on Beethoven Sources and Style. (Summer, 1998), p. 388.

10

Example 3.1: Op. 31, No. 3- mm. 1-8 (Kamien)9

i

 

A careful study of the first and second themes reveals several motivic
elements that pervade both structure and figuration. Observe how the f 1 of mm. 1-3

moves to its upper chromatic-neighbor girl before being modally corrected above the

cadential 2. This chromatic idea is recomposed in the second theme in m. 47-48

Notice how the neighbor-note g2 is approached chromatically from 3 (now spelled
enharmonically as an fII rather than a gt, see Ex. 3.2). The chromatic passing tone is
further developed in the primary theme, starting with the scalar passage of m. 9 and
then again with the chromatic dyad bIII- c2 of m. 11. The eight measure extension
(mm. 18-25) continues to explore this motive with the grace note lower-neighbor to

e52. Finally, looking again at the second theme, notice how the bass voice also picks

 

9 While I agree that g is in fact the primary tone of the movement, I differ in my reading of the opening few
bars. Kamien considers the gl" of m. 5 to be a chromatic passing tone, leading from the fI of mm. 1-3 to
the gl of m. 6. This reading is problematic, as the contrapuntal goal of the gl" must be f ' supported by

dominant harmony, which is then achieved in the following measure. The g that occurs as part of the
cadential 2 is merely a modal correction, a necessary feature of the key signature, and not the goal of

motion of mm. 1-5. I interpret the primary tone to be 3 as well, but given as a part of the implied tonic
harmony he describes (see Ex. 3.2). The f l of mm. l-3 is part of a descending 3'd progression that controls
the primary theme. The git of mm. 4-5 acts as an upper neighbor, prolonging the f and delaying its descent

to the ei’ of m. 8. The gh of m. 6 is not a structural tone at all, but does serve to “remind” the listener the
Kopflon implied from very the beginning.

11

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12

up the chromatic idea, moving through eh to f, and then from fIi to g (again,
enharmonic to the mm. 1-6).10

Two additional underlying relationships can be seen with the pick-up and
opening notes of the second theme (m. 46). First, the opening descending 5tn interval
from m. l is inverted and used as an ascending 4“1 to open the second theme, leaping
from 2 to a cover tone bbz. Second, the neighbor-note figure bbz- aIIZ- bbz- c3- bbz is an
arrhythmic transposition of the turn found in m. 7 (f ‘- g‘- f 1- ehl- f1). Beethoven
expands the figure and places it in an inner voice that spans the majority of the
theme (see tenor voice, Ex. 3.3).

One final motivic connection between the two themes can be found again in
mm. 18-25, starting with the descending fourth motive ebl- d‘- c- bl? (emphasized by
yet another chromatic passing tone, immediate repetition, and parallel motion in
other voices). This cell is also found in the hidden within the second theme. Notice
first that the melodic climax of the phrase leaps unexpectedly up to e53 (m. 50), and
then descends a fourth to bI’Z. This is then duplicated in an inner voice one measure
later, as the seventh of the dominant chord (e51) is reached, descends through d1 as a
deceptive progression, moving to c1 first over predominant harmony before
progressing to the structural dominant of the phrase, and then finally to bb with the
resolution to the local tonic tonic. On a deeper level, notice the movement of the
bass voice fiom the start of the phrase (m. 46) up to the submediant chord (m. 52).
Inverted and transposed, this same fourth motive mirrors the pace of the turn figure

motive in the tenor voice mentioned above (see Ex. 3.3).

 

1° Kamien concerns himself with this chromatic motive in his article as well (pp.390-92), defiling many of
the same points.

13

Mozart, K. 280 (0

Turning now to Mozart, we will look first with the first movement of K. 280.

David Beach-in an article regarding IIIii as the goal of motion for the
development1 1—described some of the design and motivic content of the first theme of

this piano sonata. Structurally, he marks the c2 of m. l as the Kopfion. The opening
eight measures of the first theme has the Urlinie begin its descent, moving through 2

and arriving atainm. 8. While local closure to ioccurs in mm. 12-13, Sremains in

control through the end of the first theme and the transition that follows (Ex. 4.1).

Example 4.1: Mozart, K. 280- mm. 1-13 (Beach)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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Beach notes that an important motivic event of the first theme, both in design
and structure, is the outline the tonic triad.

The descending arpeggiation of the tonic triad is a firndamental
motivic component of this movement. As shown in Example [4.2], it
occurs twice in the opening two measures, first in the bass and then
embellished immediately afterward in the treble. The descent of a fifth
and its subdivision into thirds is articulated in a different way over the
span of the entire first theme. Following the initial prolongation of the
c2 by the neighboring motion of mm. 4-5, the line is split into two
registers. The lower register completes the descent of a fifth to f 1 in m.
13. However, in the upper register the line moves only as far as a2 (m.

 

rr Beach, David. A Recurring Pattern in Mozart ’3 “Music". Journal of Music Theory, Vol. 27, No. 1.
(Spring, 1983), pp. 1-29.

14

11), which is picked up later in the transition (In. 17), as indicated in
Example [4.2]. ‘2

Example 4.2: nIrm. 1-13 (Annotations by Beach)

 

This triadic motive, both as a descending fifth progression subdivided into
thirds and as a simple arpeggio, plays an important role in the composition in the
second theme as well. Measure 27 starts the secondary theme with the statement of
a c major triad, now acting as the local tonic. This is then answered by the g major
arpeggio four measures later. In the top voice, 3 is established and prolonged by a
descending outline of a c major triad (see first bracket, Ex. 4.3). This is in turn
answered in mm. 32-34 by a second arpeggio, outlining the local dominant, with the
f 2 as an added seventh (Ex. 4.3). On a deeper level, these two fifth progressions are
prolongations of a larger descent, as the upper-voice has moved the first two steps

(from g2 to f 2) in the descending fifth progression that guides the entire phrase. In

addition, this fifth descent (acting as a local 2 to '1‘ in the key of the dominant)

 

’2 Beach, p. 5.

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16

emphasizes the subdivision at the third (m. 35), much in the same way the first
theme did. In a similar manner, the bass voice is guided by descending fifth motion.
Observe how, on a deep-middleground level, the local tonic is prolonged through the
first eight measures of the theme. The chromatic material of mm. 35-39 (which will
be discussed below) highlights the movement between the tonic of m. 34 to the
submediant chord of m. 40. The a in the bass of the submediant chord then acts as a
divider between the c of the tonic and the f of the supertonic chord of m. 41,
outlining yet another arpeggiated fifth.

One last section worth considering in regard to our topic is the chromatic
portion that occurs in the middle of the second theme (mm. 36-39). The primary
motivic idea that this segment shares with the opening melody is the neighbor
motion highlighted in Example 4.2. Observe now in Example 4.4 the circled notes
of mm. 35-41. Each represents an upper or lower chromatic neighbor to a chordal

tone, disguising the otherwise diatonic ascending 5—6 sequence.

Mozart, K. 283 (D
Next in this study’s choice of Mozart sonatas is the first movement of K. 283.
Beach, in a second article—regarding 3 supported by the cadential 2 ‘3— reads the

principal voice to begin on the d2 of m.l (Ex. 5.1)“. The following four measures

contain a descending third—which Beach describes as the “main melodic motion of

the opening phrase”—as 2 moves locally to inner voice b‘. The Kopfion is regained

 

'3 Beach, David The Cadential 2 as Support for ’3‘ ofthe Fundamental Line. Journal ofMusic Theory, Vol.
34, No. 1. (Spring, 1990), pp. 81-99.
" The sketch is essentially Beach’s, rewritten for notational consistency and to add the brackets.

17

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18

through a reaching-over motion to g2 that moves stepwise back down to 5 . The

Urlz'nie then descends, moving through 2 to 3 over a cadential 2. The motion is

completed locally, with another third descent closing on g1 to end the phrase.” I

read 3 to remain in place, finally moving to 3 at the beginning of the second theme
(m. 23). This in turn is prolonged throughout the second theme, being composed out
by another descending fifth progression. On a deep-middleground level, the bass
motion moves from a root position tonic chord in m. 23 to its first inversion in m.
36—composed out as a descending sixth, rather than an ascending third (discussed in
further detail below)—before moving to closure in m. 38.

As Beach mentions, the opening third progression is indeed an important
motivic cell, which bears influence not only in the first theme, but also in the second.
As already noted, the motive controls the voice-leading of the first four measures.
Closer to the foreground, I read the bass figure at m. 7 and mm. 2-3 and 8 to be
influenced by this descending third motive (see brackets, Ex. 5.1). The second theme
begins in a manner similar to the first, though thoroughly disguised by motion into
an inner voice. The local ; (a2) is prolonged to m. 30, where it descends to g2 over
local dominant harmony. The voice is momentarily abandoned for an inner voice,
to be immediately regained by leap (see dotted slur, Ex. 5.2), at last resolving to f 2,
completing the third progression (see bracket, Ex. 5.2). On a more local level,
observe how the melody (and the bass line that mirrors it) is grouped in small units of

third progressions, further developing this motive.

 

1’ Beach’s article related specifically to the cadential grind looked at only the first theme, therefore his
sketch shows complete closrn'e on '1‘ in m. 10 and does not involve the remainder of the movement.

19

To point out a second underlying relationship between the first and second
themes, let us return to the reaching-over motion found in m. 5. This descending
fourth from g2 to d2 becomes an influential motivic event. The first such parallelism
is found in the tenor voice, mm. 5-8. Observe how the descent from c1 to 3 becomes
the prolongational agent to extend the tonic harmony. Looking to the second theme,
observe the reaching-over motion up to the d3 of m. 33. In the same manner as
before (now modified with chromatic passing tones), the principal voice is reached
by the descending fourth motive. This motive is then answered by another fourth
descent, this time moving fiom the principal voice to an inner voice e2. Finally, an
interesting effect is created by conjoining the two primary motives. Observe in m. 34
the bass voice echoing the chromatic fourth descent just mentioned, moving from d1
to a. This is then answered by the third motive, [tom 3. to f II. The effect of such a
motion is to move the bass from a root position tonic chord to its first inversion, by

manner of descending sixth, rather than ascending third, utilizing both motivic cells.

Mozart, K. 330 (0

Next, we turn to first movement of the well-known K. 330, a sonata form rich
in motivic influences and parallelisms. I read the principal line to start on g ,
specifically with g2 immediately in m. 1 (Ex. 6.1). The Kopflon is held over a tonic
prolongation that lasts until m. 7, where the line descends to z and 3 over an

imperfect cadence in m. 8. 3 is then composed out for the remaining of the phrase

through local closure to the tonic in m. 12, and then again in mm.l4 and 16. I then

20

muse—n PH" gonna. N. um...- BBu at;

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

21

read a descent to S with the start of the second theme, itself composed out by a fifth
progression in the key of the dominant (Ex. 6.2).

A comparison of the two themes, even on a foreground level, reveals several
motivic relationships. For instance, on the most basic level, consider the noticeable
similarity between the opening motives of both themes. Both start with a descending
5th idea, outlining the tonic (and local tonic) triads. Notice the motive as seen in m.
1, observing how the b1 acts as a neighbor-note to highlight the movement to c2 (Ex.
6.3). The opening motivic idea to the second theme is also incorporates the
neighbor-note, now a CI2 that accents the d2 to start the phrase.

Example 6.3: Opening idea of first and second themes, reduction.

rrLl m.l9

 

LL

 

 

The opening motivic idea, as seen in mm. 1-2, is further elaborated within the
second theme. Notice that when originally presented, the 5'h motive is conjoined to a
second idea, an ascending motion of a third, back up to the e2 (Ex. 6.1). These two
motives are then brought into the second theme in mm. 27-28 with a different
harmonization (Ex. 6.2). Observe how the motive descends a fifth, and begins to
move down to the lower neighbor b‘, as seen in the first theme. Now rhythmically
accented, what was an incidental neighbor tone is now given chordal status and is
supported by g-major harmony, while the c2 that follows is now non-chordal, acting
as a passing tone between the b1 and its upper third (Ex. 6.4). The result is a

recomposition of the two motives, slightly altered to better represent the change of

22

key. To a lesser extent, this motive can also be seen in mm. 25-26 (itself subsumed
within a deeper motivic idea, detailed below) and again in 29-30. In m. 25, the
harmony is different, reinterpreting the fliz and d2 as harmonic, and the g2 and e2 as
non-chordal tones. In contrast, m. 29 begins exactly as m. 27, but breaks after

reaching the b‘.

Example 6.4: Conjoining of 5til and 3" motives.

 

 

 

 

 

 

 

m. l/I’px m. 27
%— \Vll ;
Q)

As mentioned above, the material of mm. 25-26 is subsumed within a larger,
deeper motivic idea. Note the middleground voice-leading of the first phrase. 5 is
prolonged for the first 4 measures before moving up to its upper-neighbor a2 over a
neighboring 2, then conring back to 5 .16 Now see the parallel in the second theme,
as the dz—acting as the local 5—moves to its upper-neighbor e2 before returning over
local dominant harmony. The neighbor-note motion is itself subsumed within a

larger idea shown seen within mm. 1-8. After 5 moves to its upper-neighbor and

back, it then continues to the cadence in mm. 8, moving down through 1 and

A A A A A

progressing to S . While 5 - 5 - 5 - 4 - 3 is a rather common progression in classical
literature, an interesting feature of this piece is the parallelism found in the second

theme in arm. 19-26 (Ex. 6.2). After the d2 is prolonged with the neighbor motion

described above, the voice falls through a local 1; to 3 at the cadence in mm. 25-26.

 

‘6 This technique is emphasized by being paired with similar motion in the tenor voice, moving e‘- f ‘-
e‘.

23

Mm. 27-31 add emphasis to the motive by repeating it 3 times before finding local

closure in m. 33.

Mozart, K. 333 (I)

One of the most famous of Mozart’s piano works, K. 333, is also well-known
for its motivic parallelisms. Returning again to the Recurring Pattern article, Beach
discusses the opening motive of K. 333.17 He focuses again primarily on the
descending fifth aspect of the motive and its influence within the piece as a whole.

In regard to the first theme, he includes the first ten measures of music, with brackets
highlighting repetitions of the motive (Ex. 7.1). Note that with the motivic
repetitions in mm. 4-8, he is pointing out the fifth descents from f 2 to bb‘, with both
an upper-neighbor (32) and lower-neighbor (a1). He goes on to consider the
progression as it unfolds over the entire theme (Ex. 7.2a). The initial motion
descends to d2 at m. 4, which is prolonged through repetition until 111. 9. At this
point, a final reiteration of the fifth motive takes place, starting with f 3, which picks
up the prolonged d2 and finally completes the closure to bl».

In large part, Beach seems to consider the opening tone g2 as incidental; as far
as his discussion was concerned, surely it was no more than an oddity of the
movement. For our discussion here, however, the opening tone g2 plays a rather
influential role, with three separate motivic cells being developed around this single
note. To start, we will consider the opening idea in its entirety, descending a sixth

from the g2 neighbor-note to inner voice bl” (Ex. 7.2b). Notice how the initial

 

'7 Beach, David. A Recurring Pattern in Mozart '3 “Music P. 1-29

24

statement of the motive is reiterated in mm. 2-3, now descending from f 2 to a‘. The
motive is then brought back twice in mm. 4—7, and then one last time, picking up the

high f 3 and descending to a2, before the theme closes in m. 10.

Example 7.1: Mozart, K. 333- mm 1-10 (brackets by Beach)
“yam—x A A

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Example 7 .23: mm 1-10, motivic detail (Beach)

 

25

Example 7 .2b: mm 1-10, Urlinr’e added.18
3

 

This motive plays a guiding role in the second theme as well. Consider first

the Opening measure of the new theme, immediately establishing S (acting again as a

local 3), before moving to upper-neighbor d2 and then descending a sixth to f1 (see
bracket, Ex. 7.3), outlining almost exactly the motive as initially stated. This motive
appears again in the second branch, with a scalar passage that outlines the motive

descending, ascending, and descending. Finally, consider the upper voice of the

second branch. Notice the activity around 2 once the tone is regained after the
interruption, first ascending to its upper-neighbor d2 before progressing through its
final descent, closing on f ‘ in m. 38.

A second motivic cell that I read that is developed from the first tone of the

piece comes from the upper-neighbor relationship of the g2 to the principal tone. In
the first theme, this is seen with the upper-neighbor 32 that prolongs 3 for the majority
of the first thematic area (Ex. 7.2b). The motion occurs immediately, as the primary
tone gives way to 32 over supertonic harmony (parallel fifths are avoided by a 5-6
motion in the upper voice), before returning to ; over dominant and then tonic
harmony in mm. 3-4. This figure is then repeated in diminution at the highpoints of

mm. 4 and 6 as part of the descending sixth motive. In the same manner, the brief

 

" My analysis of K. 333 is influenced by a lecture I received from Gordon Sly, who pointed out the motivic

similarity ofthe fifth descents-with 2 as an upper-neighbor—that started both themes and how that
particular motive influenced the development section.

26

Hana—En 4...: 3.5:... N. mum- 55. wam

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

neighbor figure is depicted in the opening measure of the second theme as a part of

the sixth motive as well (Ex. 7.3). On a larger scale, this motive is once again used to

prolong the local 2 , moving from c2 to its upper-neighbor d2 (now harmonized by
subdominant harmony) and back.

The third motivic repetition stems from the accented dissonance the g2
represents. This is first exhibited by the accented passing tone that occurs on the first
beat of m. 1, to be followed by the first beats of mm. 2-5 and later 7. This technique
is used even more abundantly in the second theme, often taking the shape of a
chromatic neighbor or passing tone (Ex. 7.4). Observe, even in the few measures of
the theme provided below, the regularity of accented dissonance on beat one of
many of the measures. Another example of accented dissonance occurs on a deeper
level in mm. 27-28. When the upper voice again moves to the upper-neighbor d2 in
m. 27 (a rhythmically accented measure), the remaining voices move as well, shifting
to what appears as a ii“. This is not a harmonic progression, but rather the motion to
a neighbor chord and back again. Another deeper occurrence can be found in the
voice-leading in m. 25. As Example 7.5 shows, mm. 24-26 are controlled by a voice

exchange between the b5 of the bass voice and the d2 of the upper by use of a passing
2 chord. The N chord that is prolonged begins on m. 24 (a rhythmically weak
measure) moves through the :chord in the rhythmically accented measure to follow,
to its first inversion at the start of m. 26. In addition, the passing 2 chord is itself

momentarily displaced by an apparent g major-minor seventh chord in the first beat

of m. 25. This chord should not be perceived as part of a harmonic progression, but

rather a collection of neighbor and passing tones to the passing 2 chord (see Ex. 7.5).

28

Finally, the final beat of m. 24 should not be considered as a tonic harmony in root

position, but rather a lower-neighbor chord to the bi? chord of the previous beat.

Example 7.4: mm 24-29- indicates accented dissonance
'/\‘

24

     
 

f.

  

Example 7.5: mm 23-26- voice-leading reduction

 

Mozart, K. 570 (1)

Last in our study of Mozart sonatas comes K. 570. I read the Kopflon to be
the f 2 attained in m. 4, achieved through an arpeggiation of the tonic. This tone is
prolonged, first through a turn figure (see treble staff, second bracket, Ex. 8.1) and

later through an upper-neighbor motion to g. The principal voice begins its descent
in mm. 1920, moving through 2 and landing on 3 at the end of the first theme. The

second theme then composes out 3 with a fifth progression of its own.

29

Example 8.1: Mozart, “K. 570- mm. 1-20
5

 

The triadic motive seen in the opening measures (see first brackets, treble and

bass staffs, Ex. 8.1) has such a pervasive emphasis throughout the work that it takes

on motivic significance. One example of this representation occurs with the descent

from g . As Example 8.1 details, the line splits into two registers in m. 14. One
continues on as the principal voice, as already detailed above. The lower register
descends a fifth, emphasizing a movement to d2 over an imperfect cadence (m. 16)
and then to bit with closure to end the phrase. The effect of this motion is to
emphasize the tones f- d- b5, which is the triadic arpeggio in retrograde.

The triadic motive is seen as a principal element within the second theme (m.
41) as well. Consider, for instance, the opening four measures of the new theme.
While the bass voice reiterates exactly the motive from the first four measures of the
piece, counterpoint is added in an upper-voice, which quickly descends a fifth,
outlining the local tonic now in a retrograde version of the motive (Ex. 8.2). These
four measures are then repeated, outlining the local dominant harmony. On a
deeper level, the upper-voice is composed out by a fifth progression that is divided
midway by a seven-measure prolongation of a2, expressing the motive as c’- az- f 2.

Finally, the bass clef added to the sketch below. The added sketch is not a reduction

30

of the voice leading, but rather is provided to point out a motivic detail. Notice that
the d major harmony of m. 54 divides the motion of the bass voice as it moves from
an f major chord to the bb of the predominant harmony, providing another

reiteration of the opening triadic motive in retrograde.

Example 8.2: mm. 41-57 (staves added for motivic detail)

‘0 0‘
L c \"'z
IV V

 

 

h
I
$5

 

 

 

~s‘.
Vi“
5
:1)
L.

.._:'__t‘
4_1.

‘V

Another underlying connection between the two themes is the turn figure
expressed six times throughout mm. 12-18. This idea, disguised by changes of
register, is developed and used to prolong 2 in mm. 5-8 (Ex. 8.1). The upper—voice
that begins m. 5 on f 2 is transferred down an octave before moving to its lower
neighbor eh and then returning to f. This procedure is then reversed, with the
original register being regained before moving to the upper-neighbor (g’) and falling

back to f 2. The end result is the transposition of the turn figure of m. 12 now in

31

retrograde (f- eh- f- g- f). This procedure is repeated, moving as far as f 2(-f ‘)- eh‘- f 1,
before being interrupted by the cadence at m. 11. The regaining of the original
register is delayed until m. 13 with the sudden leap up to g2, which acts as a cover
tone resolving to the f 2 of the following measure and completing the motivic
statement.

The influence of this motivic cell in the second theme can be seen in mm. 43-
48, in a manner similar to m. 5-14. Observe the treble clef added to the top of the
sketch in Example 8.2. Notice how the motion in the upper line begins on (9. This
tone is repeated several times before moving to its upper-neighbor d3 and then back,

before descending to an inner voice. The top voice is regained in m. 47 on bbz,

which on a deeper level is acting locally as heading for 3 in the key of the dominant.
However, as the sketch shows, the figure then moves back up to c3, referring back to
the turn figure motive, with a re-harmonization that alters the firnctions of the final
tones.

A second and more complex manner in which the turn figure influences the
second theme is seen with the passage from mm. 49-55. As Example 8.2 shows, the
bass voice moves from the f of m. 41 through its lower-neighbor eh and then
returning to an implied f in m. 49. On the surface, the ell is used in a voice-exchange
with the bi? from the upper voice, bringing the bass instead to an a‘, rather than the
expected f. The a1 is then prolonged in the lower register by use of the turn figure
motive, moving immediately to its upper-neighbor bi" and then back to a‘, ‘9 and then

falling to the lower-neighbor g‘. At this point, the voices exchange once again,

 

'9 The d major harmony of m. 54 is a foreground detail, serving to emphasize the motion to the lower-
neighbor g

32

returning to their original registers. The upper-voice regains the g, harmonized by
the V6 chord on beat 2 of m. 55, before resolving at last to a2 one heat later. Thus,

the entire turn figure is represented here as a‘- bl’l- a'- g1 (g2)- a2 (see bass clef, Ex. 8.3)
Concurrently, the upper-voice prolongs the f 2 in the same manner, moving initially
to its lower-neighbor ehz and back, and continuing to its upper-neighbor g2.20 With
the second voice-exchange, the g2 is transferred the bass register, before returning at

last to f to complete the motive.21 The result is the mirrored version of the turn

figure, expressed f 2- ehz- f 2— g2 (eh) f.

Example 8.3: mm. 49-55- tum motives

 

Schubert, D. 644 (IE)

Last in our discussion comes the third movement of Schubert’s piano sonata,
D. 644. The interval of a third is a fundamental motivic aspect of this piece, on
many levels. To begin with, on the deepest level, the principal voice is controlled by
a third descent, as the principle voice begins with 3 , specifically the cii2 of m. 1 (Ex.

9.1). This tone is prolonged over a tonic pedal, with a local descending third

 

2° The tfiz represents the applied dominant as mentioned in the previous footnote, accenting the
motion between f 2 and g2.

2' The eh substitutes for the g to provide better counterpoint.

33

Ewen—En eh" wore—.81. U. an ad- 35. at;

 

 

 

EWFMZ//]§_
v \m nullulusl)
a

 

 

 

 

 

 

‘ ii
It
in:

 

 

 

 

 

 

 

In
H
N
E
B

'u
—
0
2"

E?
E

.5

w

u-

és

H

 

 

 

 

n >
r _
4|

m J \ymji i]. it jpl/Hiy

~3F1 . \ _—\ \lxl’ _ V ‘-’/)/ _ ‘I' )

: _ _\I.I | .F - FN.): ‘ - ' _ ‘ . -
z: ‘1'} __\ 1‘__.n_..1 L‘.~ ‘. _
-.LV _\1 .
i
.I.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

34

occurring in mm. 3-4. The descending third to al is then answered by an ascending
third, beginning on fii‘ and moving through gtl to a1 (mm. 4-5). The ascending third
motive is then repeated up an octave, closing the first phrase of the theme. The
second phrase (seven measures long, plus a four measure repeat, mm. 9-19) begins
the same as the first, then continuing with a descending 5-6 sequence (mm. 11-13)
that gives the first real harmonic motion of the piece. Notice how the chromatic
alteration of the sequence accents a repeated third descent in the bass voice. This is
accompanied by the upper-voice, which incorporates constant transfer of register to
emphasize the third descent. The effect of the sequence is to move the upper-voice to

an incomplete upper-neighbor d3 (m. 14) before falling to its lower third b2. The b2

now acts as a local 3 , moving to the closure of yet another descending third in the
next measure. On a more local level, notice the ascending leap of a third from d2 to
fii2 seen first in the opening measure. This gesture returns frequently, in mm. 3, 4, 5,
7, 9, and even becomes incorporated into the sequence in mm. 11-14 and 15-17.
Before discussing the motivic content of the second theme, it bears worth to
first consider its structure. The theme in its entirety (mm. 35-61) is organized as an
interrupted double period, with the first branch moving to a half cadence on the
second beat of m. 51 (Ex. 9.2). The first branch is further divided by a weaker half
cadence at m. 43. The eight measures between mm. 43 and 51 are a varied
restatement of the opening mm. 35-43. The second branch recommences with a
dramatic bass entry of the theme, moving to a half cadence on beat three of m. 56

before again restarting and finally moving to closure.

35

In regard to the principal voice, the commencement of the second theme
coincides with the movement to 3 . However, unlike the previous works discussed,

the second theme is not controlled by the descent of a local 5-line. Instead, gill acts

the local primary tone, and the descent consists of yet another third progression,

while the structural 2 , b‘, is given a reduced role, almost like a background reminder
of the tone actually in control. Allen Cadwallader and David Gagné describe a
similar situation in their textbook on Schenkerian Analysis. In a discussion on the
second theme of the Beethoven, Op. 49, No. 2, 1, they explain the reasoning behind

their approach.

We mentioned that the second theme develops from 30f the Ursatz.
Why, then, do we show a local, interrupted structural line from the

more local 30f the dominant area? In fact a2 remains active in the
phrase, but it appears only sporadically in bars 2446. Because of the
strong ascent to ffl, both in the antecedent and in the consequent
phrases, we interpret the tap-voice line in this passage as leading to
and from fflz. The structural a2, 30f the Urlz’nz'e, seems to “hover” in
the background, occasionally sounded, but not participating in the

local structure.22

The similarities between the first and the second theme, despite all of their
aural and visual distinctions, are remarkable. Both structures are controlled long-
range by the descent of a third. The motive is further developed in the second theme
by an initial arpeggiation of a third up to the local primary tone. This is answered in
the bass voice by a motion from root position to first inversion, and then ill the

opposite direction to the root of a vi chord. Furthermore, this third arpeggiation is

used to divide the motion from tonic to dominant as the first half cadence is reached

 

22 Cadwallader, Allen and Gagné, David “Analysis of Tonal Music: A Schenkerian Approach.” Oxford
University Press, New York and Oxford, 1998. p. 318.

36

in m. 38. In the second main branch, a notable similarity is found, as Schubert uses
yet another descending 5-6 sequence to end the theme! Though initially altered by
all root position chords, the final five measures use the exact voicing as mm. 11-14,
now transposed to the dominant. Additionally, consider the interval b to ell
highlighted by the opening pick-up measure. Initially spelled as a descending
seventh, the motivic influence into the two themes can be seen as an ascending
second. This can be seen in bass voice during the 5-6 sequence of mm. 11-14, as it
accents each repeated third descent with an ascending second (see brackets, bass
staff, Ex. 9.1). In the second theme, this ascending second motive is represented by

the bass motion in mm. 46-50, and then again with the 5-6 sequence of mm. 57-60.

37

Conclusion

Regarding the first movement of Mozart’s K. 545, Laufer described a
relationship between the first and second theme that belied the more apparent aural
contrast. In the sonata movements discussed above, we have explored this concept,
seeing how motivic parallelisms are used to create strong, underlying (organic, as
Schenker would have described it) relationships between the two themes. These
relationships were sometimes expressed in the surface figuration (such as in a shared
opening motive or arpeggiatic figure), but also within the deeper structure.

This underlying relationship as represented in our study is what prompted
Laufer to claim that “the second subject which occurs [in K. 545] instead is really
another version of the first.” That on a structural level, the two themes were
sufficiently related through motivic parallelisms that it mattered not which theme
was used for recommencement, as long as the more important criteria-namely the

return of the tonic harmony—was satisfied.

38

APPENDIX A:
Themes

Mozart K. 280, First Theme Mozart K. 280, Second Theme
/’-—_——_

 

Mozart K. 283, First Theme Mozart K. 283, Second Theme

1’

      

\

Mozart K. 330, First Theme Mozart K. 330, Second Theme

A

      

legato

Mozart K. 333, First Theme Mozart K. 333, Second Theme

l

Mozart K. 570, First Theme Mozart K. 570, Second Theme

A

   

 

39

Beethoven Op. 10/ 1, First Theme Beethoven Op. 10/1, Second Theme

   

Beethoven Op. 31/ 3, First Theme Beethoven Op. 10/1, Second Theme

  
  

   

Schubert D. 644, First Theme Schubert D. 644, Second Theme

>

   

4O

Works Cited

Beach, David. The Cadential 205 Support for 3 of the Fundamental Line. Journal of Music
Theory, Vol. 34, No. 1, (Spring, 1990), pp. 81-99.

Beach, David. A Recurring Pattern in Mozart’s ‘Music”. Journal of Music Theory, Vol.
27, No. 1, (Spring, 1983), pp. 1-29.

Cadwallader, Allen and Gagné, David. “Analysis of Tonal Music: A Schenkerian
Approach.” Oxford University Press, New York and Oxford, 1998.

Kamien, Roger. Non- Tonic Settings of the Primary Tone in Beethoven Piano Sonatas,
Journal of Musicology, Vol. 16, No. 3 New Perspectives on Beethoven Sources
and Style, (Summer, 1998), pp. 379—393.

Laufer, Edward. Review of Heinrich Schenker, Free Composition: Vol. m of New

Musical Theories and Fantasia. Music Theory Spectrum, Vol. 3, (Spring, 1981),
pp. 158-84.

41

   

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