ambiguity in schubert's recapitulations (coren)

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Ambiguity in Schubert's Recapitulations

Daniel Coren

The Musical Quarterly, Vol. 60, No. 4. (Oct., 1974), pp. 568-582.

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AMBIGUITY IN SCHUBERT'S

RECAPITULATIONS

By DANIEL

COREN

I

his essays Franz Schubert and Tonality in Schubert Donald

Tovey devoted a large portion of his attention to the architec-

ture of Schubert's movements in sonata form. Tovey was especially

concerned with the ways in which Schubert constructed his re-

transitions from development to recapitulation, for, as he said, when

Schubert is at the height of his powers in large forms we may know it

by the returns to his main themes. ' These two articles have re-

mained among the most illuminative writings on Schubert's music.

Nevertheless, because Tovey's writings were usually confined by what

he once called the limitations of editorial

time- pace, ^

he often

dwelt for only a few paragraphs on subjects that might easily have

furnished him with material for many pages. Surely, the composi-

tional techniques that Schubert brings to bear upon the recapitula-

tions of his sonata-form movements comprise such a subject. It is the

purpose of this article to examine one of these techniques in detail

-namely, the methods by means of which Schubert, in certain

pieces, blurs the demarcation between development and recapitula-

tion.

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

the outset that Schubert was, in two important respects, almost en-

tirely consistent throughout his career in his approach to sonata form.

First, from the String Quartet in B-flat, D.

36, to the Piano Sonata

in the same key, D 960, virtually all of Schubert's expositions are

separated from their developments

by repeat signs.3 Second, if a

Essays an d L ectures on Music (London, 1949), p. 119.

l b i d .

p

154.

3

This principle needs one qualification: none of Schubert s overtures- neither

the isolated concert pieces nor the overtures to stage works employs repeat signs.

In making this distinction between overture and sonata form, Schubert was observing

the same convention as Beethoven, whose overtures also invariably lack repeat signs.

AMBIGUITY IN SCHUBERT S

RECAPITULATIONS

By DANIEL COREN

I

N his essays Franz Schubert

and

Tonality in Schubert

Donald

Tovey devoted a large

portion

of his

attention

to

the

architec

ture

of Schubert's movements in sonata form. Tovey was especially

concerned with the ways

in

which Schubert constructed his re

transitions from development to recapitulation, for, as he said,

when


by the returns to his

main

themes. 1 These two articles have re

mained

among the most illuminative writings

on

Schubert's music.


he once called

the

limitations of editorial time-space, 2 he often


furnished him with material for many pages. Surely, the composi

tional techniques that Schubert brings to bear upon the recapitula

tions of his sonata-form movements comprise such a subject.

t is

the

purpose of this article to examine one of these techniques

in

detail

- namely, the methods by means of which Schubert, in certain

pieces, blurs the demarcation between development and recapitula

tion.

Although

our

subject

is

formal ambiguity, it must be stated at

the outset that Schubert was, in two important respects, almost en

tirely consistent throughout his career

in

his approach to sonata form.

First, from the String Quartet

in

B-flat, D. 36, to the Piano Sonata

in

the same key, D. 960, virtually all of Schubert's expositions are

separated from their developments by repeat signs.s Second, if a

Essays nd Lf ctures on Music

(London, 1949), p. 119

2 Ibid., p. 154.

3

This

principle

needs

one

qualification:

none

of Schubert'S overtures -

neither

the isolated concert pieces nor the overtures to stage works - employs

repeat

signs.

In

making

this distinction between overture and sonata form, Schubert was observing

the

same convention as Beethoven, whose overtures also invariably lack

repeat

signs.

568

AMBIGUITY IN SCHUBERT S

RECAPITULATIONS

By DANIEL COREN

I

N his essays Franz Schubert

and

Tonality in Schubert

Donald

Tovey devoted a large

portion

of his

attention

to

the

architec

ture

of Schubert's movements in sonata form. Tovey was especially

concerned with the ways

in

which Schubert constructed his re

transitions from development to recapitulation, for, as he said,

when


by the returns to his

main

themes. 1 These two articles have re

mained

among the most illuminative writings

on

Schubert's music.


he once called

the

limitations of editorial time-space, 2 he often


furnished him with material for many pages. Surely, the composi

tional techniques that Schubert brings to bear upon the recapitula

tions of his sonata-form movements comprise such a subject.

t is

the

purpose of this article to examine one of these techniques

in

detail

- namely, the methods by means of which Schubert, in certain

pieces, blurs the demarcation between development and recapitula

tion.

Although

our

subject

is

formal ambiguity, it must be stated at

the outset that Schubert was, in two important respects, almost en

tirely consistent throughout his career

in

his approach to sonata form.

First, from the String Quartet

in

B-flat, D. 36, to the Piano Sonata

in

the same key, D. 960, virtually all of Schubert's expositions are

separated from their developments by repeat signs.s Second, if a

Essays nd Lf ctures on Music

(London, 1949), p. 119

2 Ibid., p. 154.

3

This

principle

needs

one

qualification:

none

of Schubert'S overtures -

neither

the isolated concert pieces nor the overtures to stage works - employs

repeat

signs.

In

making

this distinction between overture and sonata form, Schubert was observing

the

same convention as Beethoven, whose overtures also invariably lack

repeat

signs.

568



569chubert s Recapitulations

movement is in the major mode, its exposition modulates to the

dominant by the time the repeat sign is reached. There are no ex-

ceptions to this rule, even though it is common knowledge that

Schubert s first modulation away from the tonic is often in to a

parenthetical key area, usually (but not invariably) related by a third

to the original key. If a movement is in the minor mode, there is a

somewhat greater range of possibilities for the closing key of the ex-

position; nevertheless, it is most usual for such expositions to close,

as one would expect, in the relative major.

Thus , despite the great diversity among Schubert s musical forms,

these stable characteristics make the choice of a repertory for this

study a fairly simple matter. This repertory includes: 1) the first

movements of Schubert s three- and four-movement sonata-type

works, beginning with the string quartet in B-flat major, D 36;

2) those finales that are in sonata form; and 3) single-movement

works in sonata form, such as the Allegro in A minor for piano duet,

D 947. These three categories comprise a total of seventy-five move-

ments from fifty-four different compositions.

In the great majority of Mozart s and Haydn s sonata-form move-

ments, the beginning of the recapitulation is almost invariably char-

acterized by the synchronized return of the tonic key and primary

thematic material. Furthermore

and this is important for the

present study Mozart (and to a lesser extent, Haydn) usually fu r-

ther stress the moment of return by stating the primary material

exactly as it was in the beginning, without such changes as new or-

chestration or new melodic figuration. However, in only forty-seven

of Schubert s seventy-five sonata-form movements is unaltered pri-

mary material recapitulated in the tonic key. Th e recapitulations of

the remaining twenty-eight movements are all irregular in some way,

as the following table illustrates.

Date W ork Movement Recapi tu la tion

181

String Quartet in C, D. 46

begins in

V

String Quartet in

D , D. 74

begins in V

1815

Symphony No. 2 in B-flat, D. 125

begins in IV

String Quartet in G Minor , D. 173

begins in 111

Symphony No. 3 in

D, D.

200

begins in V

Pian o Sonata in C, D. 279*

begins in IV

1816 Violin Sonata in

A

Minor , D. 385

begins in IV

Violin Son ata in

G Minor , D. 408

begins in IV

Symphony No.

4

in

C

Minor , D.

417

begins in V

begins in major I

Schubert s Recapitulations

569

movement is in

the

major

mode, its

exposition modulates

to the

dominant by

the

time

the

repeat sign is reached.

There

are no ex

ceptions to this

rule,

even

though

it

is

common

knowledge

that

Schubert s

first

modulation

away from the tonic is often into a

parenthetical key area, usually

(but not

invariably)

related by

a

third

to the original key.

f

a movement

is in

the

minor

mode, there

is

a

somewhat greater range of possibilities for the closing key of the ex

position; nevertheless,

it is

most usual for such expositions to close,

as one would expect, in the

relative

major.

Thus, despite the great diversity among Schubert s musical forms,

these stable characteristics

make the

choice

of

a

repertory

for this

study

a fairly simple matter. This

repertory

includes: (I)

the

first

movements of Schubert s three- and

four-movement

sonata-type

works,

beginning

with the string quartet

in

B-fIat major, D. 36;

2) those finales that are

in

sonata form; and 3) single-movement

works

in

sonata form, such

as

the Allegro

in

A

minor

for

piano

duet,

D. 947. These three categories comprise a total of seventy-five move

ments

from fifty-four different compositions.

In

the great majority

of Mozart s and Haydn s sonata-form move

ments,

the beginning

of

the recapitulation

is almost

invariably

char

acterized by the synchronized return

of

the tonic key and primary

thematic

material.

Furthermore -

and

this is

important

for the

present

study

- Mozart (and to a lesser

extent, Haydn)

usually fur

ther

stress the

moment

of return by stating

the

primary

material

exactly

as it

was

in

the

beginning, without

such changes

as

new or

chestration or new melodic figuration. However,

in

only forty-seven

of Schubert s

seventy-five sonata-form

movements is

unaltered pri

mary material recapitulated

in

the

tonic key.

The

recapitulations of

the remaining twenty-eight movements are all

irregular in

some way.

as

the following table illustrates.

Date

Work

1813 String

Quartet

in C, D. 46

String Quartet in D, D. 74

1815 Symphony No.2 in B-flat, D.

125

String Quartet in G Minor, D. 173

Symphony

No.3

in D, D. 200

Piano Sonata in C, D. 279·

1816 Violin Sonata in A Minor, D. 385

Violin Sonata in G Minor, D. 408

Symphony

No.4

in C Minor, D. 417

Movement Recapitulation

begins in V

begins in V

begins in IV

begins in III

iv begins in V

begins in IV

begins in IV

iv begins in IV

begins in V

iv

begins in major I


569

movement is in

the

major

mode, its

exposition modulates

to the

dominant by

the

time

the

repeat sign is reached.

There

are no ex

ceptions to this

rule,

even

though

it

is

common

knowledge

that

Schubert s

first

modulation

away from the tonic is often into a

parenthetical key area, usually

(but not

invariably)

related by

a

third

to the original key.

f

a movement

is in

the

minor

mode, there

is

a

somewhat greater range of possibilities for the closing key of the ex

position; nevertheless,

it is

most usual for such expositions to close,

as one would expect, in the

relative

major.

Thus, despite the great diversity among Schubert s musical forms,

these stable characteristics

make the

choice

of

a

repertory

for this

study

a fairly simple matter. This

repertory

includes: (I)

the

first

movements of Schubert s three- and

four-movement

sonata-type

works,

beginning

with the string quartet

in

B-fIat major, D. 36;

2) those finales that are

in

sonata form; and 3) single-movement

works

in

sonata form, such

as

the Allegro

in

A

minor

for

piano

duet,

D. 947. These three categories comprise a total of seventy-five move

ments

from fifty-four different compositions.

In

the great majority

of Mozart s and Haydn s sonata-form move

ments,

the beginning

of

the recapitulation

is almost

invariably

char

acterized by the synchronized return

of

the tonic key and primary

thematic

material.

Furthermore -

and

this is

important

for the

present

study

- Mozart (and to a lesser

extent, Haydn)

usually fur

ther

stress the

moment

of return by stating

the

primary

material

exactly

as it

was

in

the

beginning, without

such changes

as

new or

chestration or new melodic figuration. However,

in

only forty-seven

of Schubert s

seventy-five sonata-form

movements is

unaltered pri

mary material recapitulated

in

the

tonic key.

The

recapitulations of

the remaining twenty-eight movements are all

irregular in

some way.

as

the following table illustrates.

Date

Work

1813 String

Quartet

in C, D. 46

String Quartet in D, D. 74

1815 Symphony No.2 in B-flat, D.

125

String Quartet in G Minor, D. 173

Symphony

No.3

in D, D. 200

Piano Sonata in C, D. 279·

1816 Violin Sonata in A Minor, D. 385

Violin Sonata in G Minor, D. 408

Symphony

No.4

in C Minor, D. 417


begins in V

begins in V

begins in IV

begins in III

iv begins in V

begins in IV

begins in IV

iv begins in IV

begins in V

iv

begins in major I



570

The Musical Quarterly

Date

1816

Work

Piano Sonata in E D. 459

1817

Symphony No. 5 in B-flat, D. 485

Piano Sonata in A Minor, D. 537

Piano Sonata in E-flat, D. 568

1819

Piano Sonata in

B

D.

575

Piano Sonata in 4 D. 664

Piano Quintet in 4,

D.

667

1820 String Quarte t in C Minor, D. 703*

1822

Symphony No. 8 in hiinor, D. 759"

1824

Piano Duet in

C

D. 812

825

Piano Sonata in D. 840*

Piano Sonata in A Minor,

D.

845

1826 String Quartet in G D. 887

1827 Piano T ri o in B-flat,

D.

898

1828 Symphony No. 9 in

C

D. 944

String Quintet in C D. 956

+Incomplete work.


begins in IV;

abridged

begins in IV

begins in IV

syncopated primary

material

begins in IV

rescored primary

material

begins in IV

begins in

IV;

abridged

no primary

material

first phrase

of primary

material does

not return

primary material

in exposition

modulates from

4 minor to C;

in recapitulation,

from

minor to

E-flat.

begins in IV,

then becomes

extremely

modulatory

begins in v i

then becomes

modulatory

transformed primary

material

begins in SVI, with

texturally altered

primary material

pianissimo primary

material

begins in SIII

figuration from

development

overlaps with

return of primary

material

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

already received some attention namely those movements with re-

capitulations in the subdominant; moreover let us devote special

570


Date

Work


1816 Piano Sonata in E D. 459

begins in

IV;

abridged

Symphony

No 5

in B-flat D. 485

begins

in IV

1817

Piano Sonata

in

A Minor D. 537

begins

in IV

Piano Sonata in E-flat D. 568

syncopated primary

material

Piano Sonata in B D. 575

begins in IV

1819

Piano Sonata in A D. 664

rescored primary

material

begins in IV

Piano Quintet in

A

D. 667

begins in IV;

abridged

1820 String

Quartet

in C Minor D. 703·

no

primary

material

1822

Symphony

No 8 in

B Minor D.

759·

first phrase

of primary

material does

not

return

1824 Piano Duet in C D. 812

iv

primary material

in exposition

modulates from

A

minor

to C;

in recapitulation

from C

minor

to

E-ftat.

1825 Piano Sonata in C D. 840· begins in

IV

then becomes

extremely

modulatory

Piano Sonata in A Minor D. 845 begins in vi

then becomes

modulatory

1826 String

Quartet

in G D. 887

transformed primary

material

1827

Piano

Trio

in

B-flat D. 898 begins

in

bVI with

texturally altered

primary material

1828

Symphony No 9 in

C D. 944 pianissimo primary

material

iv

begins in bIll

String

Quintet in

C D. 956

figuration from

development

overlaps with

return of primary

material

·Incomplete

work..

Let

us begin

our

discussion with a group of movements

that

has

already received some attention namely. those movements with re

capitulations in the subdominant; moreover. let us devote special

570


Date

Work


1816 Piano Sonata in E D. 459

begins in

IV;

abridged

Symphony

No 5

in B-flat D. 485

begins

in IV

1817

Piano Sonata

in

A Minor D. 537

begins

in IV

Piano Sonata in E-flat D. 568

syncopated primary

material

Piano Sonata in B D. 575

begins in IV

1819

Piano Sonata in A D. 664

rescored primary

material

begins in IV

Piano Quintet in

A

D. 667

begins in IV;

abridged

1820 String

Quartet

in C Minor D. 703·

no

primary

material

1822

Symphony

No 8 in

B Minor D.

759·

first phrase

of primary

material does

not

return

1824 Piano Duet in C D. 812

iv

primary material

in exposition

modulates from

A

minor

to C;

in recapitulation

from C

minor

to

E-ftat.

1825 Piano Sonata in C D. 840· begins in

IV

then becomes

extremely

modulatory

Piano Sonata in A Minor D. 845 begins in vi

then becomes

modulatory

1826 String

Quartet

in G D. 887

transformed primary

material

1827

Piano

Trio

in

B-flat D. 898 begins

in

bVI with

texturally altered

primary material

1828

Symphony No 9 in

C D. 944 pianissimo primary

material

iv

begins in bIll

String

Quintet in

C D. 956

figuration from

development

overlaps with

return of primary

material

·Incomplete

work..

Let

us begin

our

discussion with a group of movements

that

has

already received some attention namely. those movements with re

capitulations in the subdominant; moreover. let us devote special




57

1

attention to one movement in this group, the first movement of the

Symphony No.

2

in B-flat,

D.

125. One often finds in the literature

comments to the effect that Schubert s subdominant recapitulations

indicate a certain laziness on his part, since, if a movement is in the

major mode, beginning the recapitulation in this manner theo-

retically allows the composer simply to copy out a transposed version

of his e x p ~ s i t i o n . ~ of the Second Symphony,he first movement

however, demonstrates that as early as 1815 Schubert was capable of

composing an extended symphonic movement with a complex key

plan, a plan whose complexity, in part, involves a recapitulation in

the subdominant.

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

the exposition of this one ends in the dominant,

F

major. But be-

tween B-flat and

F,

Schubert inserts a lyrical melody in the surprising

parenthetical key area of E-flat major. hioreover, the modulatory

sequence that approaches the E-flat melody (measures 64-79 does so

through the subdominant of the subdominant, thus:

min o r

E-flat

major

i - I I I i - \ 1

1v 1:

v i ~

T h e crucial choice facing Schubert, once he had decided to compose

a subdominant recapitulation, was whether or not to follow the

same route to the tonic as he had to the dominant in the exposition.

Such literal transposition would have necessitated a modulation to

A-flat major, that is, to IV of IV, in the course of which A-flat would

be approached through its own subdominant. Apparently, Schubert

was not willing to weight his movement so heavily towards the sub-

dominant side.

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

terial, arrived on the dominant of

C

minor at measure 43 by

moving his bass line from B-flat to G through A-flat (see Ex. 1 .

Now, in the recapitulation, the analogous E-flat does not descend

to the flatted sixth degree of F minor, as it would have in a simple

transposition of the original material. Instead, E-flat itself becomes

VI of G minor. T h e bass line s A-flat in the exposition had sup-

ported a triad in first inversion, but now the analogous E-flat sup-

ports not a simple triad but rather an augmented sixth (see

Ex. 2 .

4 Tovey,

op .

ci t .

p 118.

hfosco Carner, The Orchestral Music of Schubert,

in

Gerald Abraham, ed., Music o f Schubert (New York, 1947).p SO

Schubert's

Recapitulations

571

attention to

one

movement

in

this group, the first movement of the

Symphony

No.2 in B-flat, D. 125. One often finds in

the

literature

comments

to

the

effect

that

Schubert's

subdominant

recapitulations

indicate a certain laziness on his part, since, if a

movement

is in the

major mode,

beginning

the recapitulation

in

this

manner

theo

retically allows the

composer

simply to copy out a transposed version

of his exposition.

4

The first movement of the Second Symphony,

however,

demonstrates

that as early as 1815 Schubert was capable of

composing an

extended

symphonic movement

with

a complex key

plan,

a

plan

whose complexity,

in

part, involves a recapitulation

in

the su bdominant.

As

in

all Schubert's sonata-form movements

in

the

major

mode,

the exposition of this one ends

in the dominant,

F major.

But

be

tween

B-flat and F,

Schubert

inserts a lyrical melody in the surprising

parenthetical key area of E-flat major. Moreover, the modulatory

sequence that approaches

the

E-flat melody (measures 64-79) does so

through

the subdominant of the

subdominant,

thus:

C minor E-flat major

i

IIP

- \,1

=

IV

- I -

V

-

I

The crucial choice facing Schubert, once he had decided to compose

a

subdominant recapitulation,

was

whether or not

to follow

the

same route to the tonic as he had to the

dominant

in the exposition.


A-flat

major, that

is, to

IV

of IV,

in

the course of which A-flat would

be approached

through

its own subdominant. Apparently, Schubert

was not

willing to weight

his movement so heavily towards

the

sub

dominant

side.

In the exposition Schubert had, at the

end

of his

primary

ma

terial,

arrived on

the

dominant

of C

minor at

measure 43, by

moving his bass line from B-flat to G through A-flat (see Ex. I).

Now, in

the

recapitulation, the

analogous E-flat does

not

descend

to the flatted sixth degree of F minor, as it would have

in

a

simple

transposition

of the original material. Instead, E-flat itself becomes

VI

of G minor.

The

bass line s A-flat

in

the

exposition had

sup

ported a triad

in

first inversion, but now the analogous E-flat sup

ports

not

a simple

triad

but

rather an augmented sixth

(see Ex. 2).

4

Tovey,

op

cit.

p. 118. Mosco Carner, The

Orchestral

Music of

Schubert, in

Gerald

Abraham, ed., usic of Schubert (New York, 1947),

p.

30.

Schubert's

Recapitulations

571

attention to

one

movement

in

this group, the first movement of the

Symphony

No.2 in B-flat, D. 125. One often finds in

the

literature

comments

to

the

effect

that

Schubert's

subdominant

recapitulations

indicate a certain laziness on his part, since, if a

movement

is in the

major mode,

beginning

the recapitulation

in

this

manner

theo

retically allows the

composer

simply to copy out a transposed version

of his exposition.

4

The first movement of the Second Symphony,

however,

demonstrates

that as early as 1815 Schubert was capable of

composing an

extended

symphonic movement

with

a complex key

plan,

a

plan

whose complexity,

in

part, involves a recapitulation

in

the su bdominant.

As

in

all Schubert's sonata-form movements

in

the

major

mode,

the exposition of this one ends

in the dominant,

F major.

But

be

tween

B-flat and F,

Schubert

inserts a lyrical melody in the surprising

parenthetical key area of E-flat major. Moreover, the modulatory

sequence that approaches

the

E-flat melody (measures 64-79) does so

through

the subdominant of the

subdominant,

thus:

C minor E-flat major

i

IIP

- \,1

=

IV

- I -

V

-

I

The crucial choice facing Schubert, once he had decided to compose

a

subdominant recapitulation,

was

whether or not

to follow

the

same route to the tonic as he had to the

dominant

in the exposition.


A-flat

major, that

is, to

IV

of IV,

in

the course of which A-flat would

be approached

through

its own subdominant. Apparently, Schubert

was not

willing to weight

his movement so heavily towards

the

sub

dominant

side.

In the exposition Schubert had, at the

end

of his

primary

ma

terial,

arrived on

the

dominant

of C

minor at

measure 43, by

moving his bass line from B-flat to G through A-flat (see Ex. I).

Now, in

the

recapitulation, the

analogous E-flat does

not

descend

to the flatted sixth degree of F minor, as it would have

in

a

simple

transposition

of the original material. Instead, E-flat itself becomes

VI

of G minor.

The

bass line s A-flat

in

the

exposition had

sup

ported a triad

in

first inversion, but now the analogous E-flat sup

ports

not

a simple

triad

but

rather an augmented sixth

(see Ex. 2).

4

Tovey,

op

cit.

p. 118. Mosco Carner, The

Orchestral

Music of

Schubert, in

Gerald

Abraham, ed., usic of Schubert (New York, 1947),

p.

30.



57 T h e

Musical

Quarterly

Ex 1 Symphony No. 2 in B-flat D . 125 1st mvt.

mm

41-45

Ob.

Cor.

fa\

via

vc

Cb.

Ex.

Symphony No. 2

in

B-flat

D

125 1st mvt. mm. 363 367

Ob.

CI.

vr

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572


Ex. 1 Symphony No 2 in B-Bat, D. 125

1st

mvt., mm. 41-45

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573chubert's Recapitulations

By the standards of Schubert's mature works, this augmented sixth

is rather blatant, but the young composer may well have felt proud

of such a clever solution to the modulatory problem he had set him-

self: before this juncture the recapitulation had been on the sub-

dominant side of the exposition, a fifth below; after the augmented

sixth it is on the dominant side, a fourth below its parallel material.

T h e modulatory sequence analogous to measures 64-79 now reaches

the tonic' B-flat major, imbuing it with the same quality of repose

that the subdominant had in the exposition.

T h e recapitulation of this movement may be taken as a paradigm

for most of Schubert's movements with subdominant recapitulations.

In only one movement of a completed work, the first movement of

the Piano Sonata in B Major, D 575, is Schubert's recapitulation a

literal transposition of his e x p ~ s i t i o n . ~n those movements in which

the exposition contains a parenthetical key area, Schubert typically

redirects the course of the recapitulation with the sort of deft, eco-

nomical gesture we have observed at measure 365 of the Second

Symphony. (See, for example, the first movement of the Violin

Sonata in A Minor,

D

385, measures 35-41 and measures 112-117.)

Furthermore, in those movements with subdominant recapitula-

tions and without a parenthetical area in the exposition, Schubert

typically recomposes the transition between primary and secondary

themes, not by substituting one crucial chord for another, but by

actually writing new material. In short, in these movements he

seems to go out of his way to do the sort of compositional work that

subdominant recapitulation might be thought to obviate. (See the

first'movement of the Symphony No. 5 D. 485, and the last move-

ment of the Piano Sonata in A Major,

D

664.)

Although (as shown on pages 569-570) several of Schubert's

sonata-form movements before 1820 have recapitulations beginning

in keys other than the tonic, in none of these movements is there any

doubt as to where the recapitulation actually begins. That is, sonata

form for Schubert, before 1820, was a

t hemat i ca l l y

stable and un-

ambiguous structure. For a year after the Trout Quintet, com-

posed in the autumn of 1819, Schubert produced remarkably few

large-scale works. T h e Mass in A-flat,

D

678, was begun in No-

vember, 1819 (but not completed until late 1822), and the partially

completed cantata

Lazarus

D. 689, was composed in February, 1820.

In the incomplete Piano Sonata in C Major I . 279 Schubert also composes a

literally transposed subdominant recapitulation.

Sch u bert's Reca pi tulations

573

By

the

standards of Schubert's

mature

works, this

augmented

sixth

is rather blatant,

but

the young composer may well have felt

proud

of such a clever

solution

to

the modulatory problem

he had

set him

self:

before

this

juncture the recapitulation had been on the

sub

dominant side of the exposition, a fifth below;

after

the

augmented

sixth it is on the

dominant

side, a fourth below its parallel material.

The

modulatory sequence analogous

to

measures 64-79 now reaches

the tonic B-flat

major,

imbuing

it

with the same quality of repose

that the subdominant had in the

exposition.

The recapitulation of this movement

may

be

taken

s a paradigm

for most

of

Schubert's movements

with

subdominant

recapitulations.

n

only one

movement

of a

completed

work,

the

first

movement

of

the Piano

Sonata in B Major, D. 575, is Schubert's

recapitulation

a

literal transposition of his exposition.

s

n

those movements in which

the

exposition contains a

parenthetical

key area, Schubert typically

redirects the course of

the

recapitulation with

the

sort of deft, eco


Symphony. (See, for example,

the

first movement of

the

Violin

Sonata

in

A

Minor,

D. 385, measures 35-41

and

measures 112-117.)

Furthermore,

in those movements with subdominant recapitula

tions

and without

a parenthetical

area

in

the

exposition, Schubert

typically recomposes

the transition

between primary

and

secondary

themes, not by substituting one crucial

chord

for another, but by

actually

writing

new material.

n

short,

in

these

movements

he

seems to go

out

of his way to do

the

sort of compositional work

that

subdominant recapitulation might be thought

to

obviate. (See the

first'movement of the

Symphony

No.5,

D. 485,

and the

last move

ment

of the

Piano

Sonata

in

A

Major,

D. 664.)

Although

(as shown

on

pages 569-570) several of

Schubert's


in keys other

than

the tonic, in none of these movements is there

any

doubt s

to where

the recapitulation

actually begins.

That

is, sonata

form for Schubert, before 1820, was a thematically stable

and

un

ambiguous

structure.

For

a year after

the Trout Quintet,

com

posed in

the

autumn of 1819, Schubert produced

remarkably

few

large-scale works.

The

Mass

in

A-flat, D. 678, was

begun

in

No

vember, 1819

(but not

completed

until

late 1822),

and the

partially

completed cantata

azarus} D. 689, was composed in February, 1820.

5 In the

incomplete

Piano Sonata in C Major, D. 279,

Schubert

also composes a

literally transposed

subdominant recapitulation.

Sch u bert's Reca pi tulations

573

By

the

standards of Schubert's

mature

works, this

augmented

sixth

is rather blatant,

but

the young composer may well have felt

proud

of such a clever

solution

to

the modulatory problem

he had

set him

self:

before

this

juncture the recapitulation had been on the

sub

dominant side of the exposition, a fifth below;

after

the

augmented

sixth it is on the

dominant

side, a fourth below its parallel material.

The

modulatory sequence analogous

to

measures 64-79 now reaches

the tonic B-flat

major,

imbuing

it

with the same quality of repose

that the subdominant had in the

exposition.

The recapitulation of this movement

may

be

taken

s a paradigm

for most

of

Schubert's movements

with

subdominant

recapitulations.

n

only one

movement

of a

completed

work,

the

first

movement

of

the Piano

Sonata in B Major, D. 575, is Schubert's

recapitulation

a

literal transposition of his exposition.

s

n

those movements in which

the

exposition contains a

parenthetical

key area, Schubert typically

redirects the course of

the

recapitulation with

the

sort of deft, eco


Symphony. (See, for example,

the

first movement of

the

Violin

Sonata

in

A

Minor,

D. 385, measures 35-41

and

measures 112-117.)

Furthermore,

in those movements with subdominant recapitula

tions

and without

a parenthetical

area

in

the

exposition, Schubert

typically recomposes

the transition

between primary

and

secondary

themes, not by substituting one crucial

chord

for another, but by

actually

writing

new material.

n

short,

in

these

movements

he

seems to go

out

of his way to do

the

sort of compositional work

that

subdominant recapitulation might be thought

to

obviate. (See the

first'movement of the

Symphony

No.5,

D. 485,

and the

last move

ment

of the

Piano

Sonata

in

A

Major,

D. 664.)

Although

(as shown

on

pages 569-570) several of

Schubert's


in keys other

than

the tonic, in none of these movements is there

any

doubt s

to where

the recapitulation

actually begins.

That

is, sonata

form for Schubert, before 1820, was a thematically stable

and

un

ambiguous

structure.

For

a year after

the Trout Quintet,

com

posed in

the

autumn of 1819, Schubert produced

remarkably

few

large-scale works.

The

Mass

in

A-flat, D. 678, was

begun

in

No

vember, 1819

(but not

completed

until

late 1822),

and the

partially

completed cantata

azarus} D. 689, was composed in February, 1820.

5 In the

incomplete

Piano Sonata in C Major, D. 279,

Schubert

also composes a

literally transposed

subdominant recapitulation.



T h e Musical Quarterly

From then until the next November the Deutsch cataloguc lists only

thirteen lesser works, not one of which contains a sonata-form move-

ment. But during December Schubert composed six new works,

among them the Qltartet tsatz in C minor, D. 703, which has often

been acclaimed as his first masterpiece. For this study especially, the

Quar te t t sa t z marks a major articulation in Schubert's career, for in

it Schubert seems to have wished to test the thematic stability of

sonata form to its very limits.

While this movement is still to be understood in sonata form,

one of the most crucial structural members of that form is missing,

in that after the repeat of the exposition, primary thematic ma-

terial is heard only as a coda, after the recapitulation has run its

course. No other movement by Schubert so strongly dramatizes the

difference between the functions of primary and secondary material

in sonata form, for without the normal return of primary material

it becomes very difficult to demarcate any boundary at all between

development and recapitulation in this work.

T h e structure of the exposit ion, however, is extremely clear. T h e

primary material saturates minor with the coloring of D-flat: the

climax of the opening period

is

a massive Neapolitan sixth, and the

succeeding period is anchored on a tonic pedal, which from measures

19-23 alternates with D-flat. At measure 24, the Neapolitan recurs,

this time as the pivot for a sudden modulation to the parenthetical

key area of the exposition, A-flat major, a modulation that ushers in

one of Schubert's most rapturously ecstatic theme^.^

Schubert's growth between

1819

and

1820

is perhaps most

strikingly demonstrated by the transition that runs from measure 61

to measure

93;

in

no

previous work had Schubert been able to sus-

tain a chromatic modulatory passage over such a long period o f

time.

After implying A-flat minor, the first clear harmonic goal of the

passage is, surprisingly, the dominant of minor, at measure

77.

But the real purpose of the measures that immediately follow is to

transform G from a dominant to a tonic by backing it with its own

flat-VI (see Ex. 3 .

T he overall harmonic direction of the transition is finally de-

fined by the resolution of the augmented sixth at measure

85

to 1:

of G minor. And, with an effect very similar to the one he had

created near the end of the song De r Tod

und

m Madchen, Schu-

6Alfred Einstein,

chuhert

London, 1951), p 182 Einstein applies these words

to the movement as a whole.

574

The

Musical Quarterly

From

then until

the

next

November the Deutsch catalogue lists only

thirteen

lesser works, not

one

of which contains a sonata-form move

ment.

But during

December Schubert

composed six

new

works,

among

them the Qllartettsatz

in

C minor, D. 703, which has often

been

acclaimed as his first masterpiece.

For

this study especially,

the

Quartettsatz

marks a

major articulation in Schubert's

career, for in


sonata

form to its very limits.

While

this movement is still to

be

understood

in

sonata form,

one of the

most crucial

structural

members of that

form

is missing,

in

that

after the repeat

of

the

exposition,

primary thematic

ma

terial

is heard only as

a coda, after the recapitulation has

run

its

course. No

other movement by

Schubert so strongly dramatizes the

difference

between the

functions of primary

and

secondary

material


it becomes very difficult to demarcate

any

boundary at all between

development

and

recapitulation

in

this work.

The structure

of the

exposition, however, is extremely clear. The

primary material

saturates C

minor with

the

coloring

of D-flat: the

climax of the

opening

period is a massive Neapolitan sixth,

and

the

succeeding

period

is

anchored on

a

tonic

pedal, which from measures

19-23 alternates with D-flat. At

measure

24, the Neapolitan recurs,

this time as

the

pivot for a sudden modulation to

the

parenthetical

key area of the exposition, A-flat major, a

modulation that

ushers

in

one of

Schubert's

most rapturously ecstatic themes.

6

Schubert's growth

between

1819

and

1820 is perhaps most

strikingly demonstrated

by

the transition

that runs

from measure 6

to

measure

93;

in

no

previous

work

had

Schubert been able

to sus

tain

a chromatic modulatory passage over such a

long

period of time.

After implying A-flat

minor,

the first

clear

harmonic goal of

the

passage is, surprisingly, the

dominant

of C minor,

at

measure 77.

But

the

real purpose

of the measures that immediately follow is to

transform

G from a

dominant

to a tonic by

backing it

with its own

flat-VI (see Ex. 3).

The overall

harmonic

direction of the transition is finally de

fined

by the resolution of the

augmented

sixth

at

measure

83

to

I

of G minor. And, with an effect very similar to

the

one

he had

created near the

end

of

the

song er

Tod und

d s Miidchen Schu-

6 Alfred Einstein,

Schubert

(London, 1951), p. 182. Einstein applies these words


574

The

Musical Quarterly

From

then until

the

next

November the Deutsch catalogue lists only

thirteen

lesser works, not

one

of which contains a sonata-form move

ment.

But during

December Schubert

composed six

new

works,

among

them the Qllartettsatz

in

C minor, D. 703, which has often

been

acclaimed as his first masterpiece.

For

this study especially,

the

Quartettsatz

marks a

major articulation in Schubert's

career, for in


sonata

form to its very limits.

While

this movement is still to

be

understood

in

sonata form,

one of the

most crucial

structural

members of that

form

is missing,

in

that

after the repeat

of

the

exposition,

primary thematic

ma

terial

is heard only as

a coda, after the recapitulation has

run

its

course. No

other movement by

Schubert so strongly dramatizes the

difference

between the

functions of primary

and

secondary

material


it becomes very difficult to demarcate

any

boundary at all between

development

and

recapitulation

in

this work.

The structure

of the

exposition, however, is extremely clear. The

primary material

saturates C

minor with

the

coloring

of D-flat: the

climax of the

opening

period is a massive Neapolitan sixth,

and

the

succeeding

period

is

anchored on

a

tonic

pedal, which from measures

19-23 alternates with D-flat. At

measure

24, the Neapolitan recurs,

this time as

the

pivot for a sudden modulation to

the

parenthetical

key area of the exposition, A-flat major, a

modulation that

ushers

in

one of

Schubert's

most rapturously ecstatic themes.

6

Schubert's growth

between

1819

and

1820 is perhaps most

strikingly demonstrated

by

the transition

that runs

from measure 6

to

measure

93;

in

no

previous

work

had

Schubert been able

to sus

tain

a chromatic modulatory passage over such a

long

period of time.

After implying A-flat

minor,

the first

clear

harmonic goal of

the

passage is, surprisingly, the

dominant

of C minor,

at

measure 77.

But

the

real purpose

of the measures that immediately follow is to

transform

G from a

dominant

to a tonic by

backing it

with its own

flat-VI (see Ex. 3).

The overall

harmonic

direction of the transition is finally de

fined

by the resolution of the

augmented

sixth

at

measure

83

to

I

of G minor. And, with an effect very similar to

the

one

he had

created near the

end

of

the

song er

Tod und

d s Miidchen Schu-

6 Alfred Einstein,

Schubert

(London, 1951), p. 182. Einstein applies these words





Ex. 3 Qunrtet tsatz D . 703 mm 73-99

bert establishes the major mode with the E-natural in measure

90.

(It is remarkable that a diminished triad, that constant companion

of the minor mode, should here tip the balance in the other di-

rection.)

It is necessary to examine this particular cadence in such detail,

for its strength in the exposition is matched only by the Neapolitan

cadence at measure

13

In the absence of primary material it be-

comes the one strong cadence in the entire recapitulation. There is

no doubt as to the closing function of the remaining

fifty

measures

of exposition; indeed, so much harmonic instability demands a large

block of static tonic closure.

Th e opening fifty measures of the development need not be in-

spected here in great detail. They move from A-flat major (now

heard as the Neapolitan of

G),

through B-flat minor and D-flat ma-

jor, before embarking upon a sequence that opens through a by-

now-familiar augmented sixth onto the dominant of

G

minor at

measure

191

This dominant chord is immediately reduced to an

oscillation between D and C-sharp in the first violin. With one of

Schubert s Recapitulations 575

Ex. 3

Quartettsatz

D. 703, mm. 73·99

~ ~ t

F ~ ~ ~

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j

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>

,

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-

bert

establishes

the

major

mode

with

the

E-natural in measure

90.

(It

is

remarkable

that a

diminished triad, that constant companion

of

the minor mode, should here

tip

the

balance

in

the other

di·

rection.)

t is necessary

to

examine this particular cadence in

such

detail,

for

its

strength in the exposition

is

matched only by the Neapolitan

cadence at measure

13.

In the

absence

of primary material it

be

comes

the one strong cadence in the entire recapitulation. There

is

no doubt

as

to the

closing

function

of the

remaining

fifty measures

of

exposition; indeed,

so

much harmonic instability demands

a large

block of static

tonic

closure.

The opening

fifty measures

of the

development

need not be

in

spected here in great detail. They move from

A-flat

major (now

heard

as

the

Neapolitan

of

G ,

through

B-flat

minor

and

D-flat ma

jor,

before

embarking

upon a sequence that opens

through

a by

now-familiar augmented

sixth

onto the dominant of

G

minor at

measure

191. This

dominant chord

is

immediately reduced to an

oscillation between

D and

C-sharp in the

first violin. With

one of

Schubert s Recapitulations 575

Ex. 3

Quartettsatz

D. 703, mm. 73·99

~ ~ t

F ~ ~ ~

~

.

j

.: ..

L

1

'

f t ·

: =

'I ,.d-.

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=

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- • .::

. I . r .

= I-

P.

.

> >

-

,-

--;-

w -

......---..

-

-

iii'

-

~

~

~

~

:1-. ... .

~

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/.'

/ . ~

7

-

-

I ...

-

>

,

J ; - - -

J¥

. : . - ~ ~ .

..

~ - ~ ~ ' ;..

'A

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' C - '

-

bert

establishes

the

major

mode

with

the

E-natural in measure

90.

(It

is

remarkable

that a

diminished triad, that constant companion

of

the minor mode, should here

tip

the

balance

in

the other

di·

rection.)

t is necessary

to

examine this particular cadence in

such

detail,

for

its

strength in the exposition

is

matched only by the Neapolitan

cadence at measure

13.

In the

absence

of primary material it

be

comes

the one strong cadence in the entire recapitulation. There

is

no doubt

as

to the

closing

function

of the

remaining

fifty measures

of

exposition; indeed,

so

much harmonic instability demands

a large

block of static

tonic

closure.

The opening

fifty measures

of the

development

need not be

in

spected here in great detail. They move from

A-flat

major (now

heard

as

the

Neapolitan

of

G ,

through

B-flat

minor

and

D-flat ma

jor,

before

embarking

upon a sequence that opens

through

a by

now-familiar augmented

sixth

onto the dominant of

G

minor at

measure

191. This

dominant chord

is

immediately reduced to an

oscillation between

D and

C-sharp in the

first violin. With

one of



The hlusical Quarterly

his favorite gestures, Schubert treats

D

not as a dominant but as the

third of B-flat major, and at the same time adopts the Classical pro-

cedure of turning to secondary thematic material after the first epi-

sode of what has by now become an extensive development section.

One might now expect a modulatory treatment of this material,

leading to a dominant preparation for the recapitulation.

T o be sure, the first of these expectations is fulfilled as the sec-

ondary theme floats into its own subdominant as gracefully and as

surprisingly as it had sailed in, a moment before, in B-flat major.

Only when the theme runs its entire course in E-flat does one begin

to suspect that the proportions of what still should be the develop-

ment section are getting out of hand. When the theme cadences into

the minor mode, and into the same transition that had originally

followed it in the exposition, matters are confused still further. T h e

transition, although it seems at first very similar to its original, this

time takes a different course. Instead of modulating to of

G

minor, as it would have done by analogy to the exposition,

i t

changes direction at measure 239, after which,

substituting

new

melodic figuration for measures 80-83, it arrives on the dominant of

F

minor. At measure 245, there can no longer be any doubt: C minor

(shortly to become C major) is being prepared by just the same music

that prepared

G

at measures 81-92.

A natural reaction at this point, especially on a first hearing of

the movement, might be to say to oneself, That 's strange here's

the closing material already. I must have missed the start of the

recapitulation, for the cadence in major at measure 257 has the

finality and weight necessary to justify the literally transposed closing

material that now ensues. It is possil>:e, when one looks back over

the movement, to understand everything from the re turn of the

secondary theme at measure 195 to the end as recapitulation with

the primary material displaced to the closing bars. But such an

analysis, while it works on paper, goes against the psychological

effect of the piece. T he primary material, when it recurs, is un-

questionably a coda, not left-over recapitulatory material. Most im-

portant of all, the secondary theme, even if it were given dominant

preparation, would forever sound secondary in function. Formal

ambiguity, I think, must be accepted as one of the definitive fea-

tures of the

Quartettsatz

Schubert never again repeated the scheme of the

Quartettsatz

(While it is true that in the Unfinished Symphony the opening

576


his favorite gestures,

Schubert

treats D not as a dominant

but as the

third of B-flat

major,

and

at the

same

time

adopts

the

Classical pro

cedure

of

turning

to

secondary

thematic

material

after

the

first epi

sode of what has by

now become an

extensive

development

section.

One might now expect

a

modulatory treatment

of this

material,

leading to

a dominant

preparation

for the

recapitulation.

To

be

sure, the first of these expectations is fulfilled as the sec


surprisingly

as

it had

sailed

in,

a

moment

before,

in

B-flat

major.

Only

when

the

theme runs its

entire

course in E-flat does one

begin

to

suspect

that

the

proportions

of

what

still

should

be

the

develop



followed it in the exposition, matters are confused still further. The

transition, although

it seems

at

first very

similar to

its original, this

time

takes a different course.

Instead

of modulating

to

V of G

minor, as it would have

done

by analogy

to

the exposition, it

changes

direction at

measure 239,

after

which, substituting

new

melodic figuration for measures 80-83, it arrives

on

the dominant of

F

minor.

At measure 245,

there

can

no longer

be any doubt: C minor

(shortly

to

become C major)

is

being prepared by just the same music

that prepared G

at

measures 81-92.

A

natural reaction at this point, especiaily on a first hearing of

the

movement,

might

be

to say to oneself, That's strange - here s

the closing

material

already. I must have missed the start of the

recapitulation,

for the cadence in C major

at

measure 257 has the

finality

and

weight necessary to justify the literally transposed closing

material

that

now

ensues.

It

is

possihle,

when

one

looks

back over

the movement, to understand

everything from the return of

the

secondary theme at measure 95

to

the end as a

recapitulation

with

the

primary

material displaced

to

the closing bars. But such an

analysis,

while it

works

on paper,

goes against

the

psychological

effect of the

piece.

The primary material, when

it recurs,

is

un

questionably

a coda, not left-over

recapitulatory

material. Most im


preparation, would forever

sound

secondary in function.

Formal

ambiguity,

I

think, must be

accepted as

one

of

the

definitive fea

tures of

the Quartettsatz

Schubert

never again

repeated

the

scheme of the

Quartettsatz

(While it is true

that

in the

Unfinished

Symphony the opening

576


his favorite gestures,

Schubert

treats D not as a dominant

but as the

third of B-flat

major,

and

at the

same

time

adopts

the

Classical pro

cedure

of

turning

to

secondary

thematic

material

after

the

first epi

sode of what has by

now become an

extensive

development

section.

One might now expect

a

modulatory treatment

of this

material,

leading to

a dominant

preparation

for the

recapitulation.

To

be

sure, the first of these expectations is fulfilled as the sec


surprisingly

as

it had

sailed

in,

a

moment

before,

in

B-flat

major.

Only

when

the

theme runs its

entire

course in E-flat does one

begin

to

suspect

that

the

proportions

of

what

still

should

be

the

develop



followed it in the exposition, matters are confused still further. The

transition, although

it seems

at

first very

similar to

its original, this

time

takes a different course.

Instead

of modulating

to

V of G

minor, as it would have

done

by analogy

to

the exposition, it

changes

direction at

measure 239,

after

which, substituting

new

melodic figuration for measures 80-83, it arrives

on

the dominant of

F

minor.

At measure 245,

there

can

no longer

be any doubt: C minor

(shortly

to

become C major)

is

being prepared by just the same music

that prepared G

at

measures 81-92.

A

natural reaction at this point, especiaily on a first hearing of

the

movement,

might

be

to say to oneself, That's strange - here s

the closing

material

already. I must have missed the start of the

recapitulation,

for the cadence in C major

at

measure 257 has the

finality

and

weight necessary to justify the literally transposed closing

material

that

now

ensues.

It

is

possihle,

when

one

looks

back over

the movement, to understand

everything from the return of

the

secondary theme at measure 95

to

the end as a

recapitulation

with

the

primary

material displaced

to

the closing bars. But such an

analysis,

while it

works

on paper,

goes against

the

psychological

effect of the

piece.

The primary material, when

it recurs,

is

un

questionably

a coda, not left-over

recapitulatory

material. Most im


preparation, would forever

sound

secondary in function.

Formal

ambiguity,

I

think, must be

accepted as

one

of

the

definitive fea

tures of

the Quartettsatz

Schubert

never again

repeated

the

scheme of the

Quartettsatz

(While it is true

that

in the

Unfinished

Symphony the opening




phrase of the first movement does not re turn , as in the Qztartettsatr

until the coda, its character is introductory, and its absence does not

at all confuse the beginning of the recapitulation.) From 1820 on,

Schubert s irregular recapitulations become less frequent , but when

they do occur, the issues of musical form that they raise are much

more complex than those raised by the irregular recapitulations of

Schubert s earlier works. Among his mature works, only a few use

recapitulations in non-tonic keys in the relatively straightforward

manner of, for example, the Fifth Symph~ny.~n fact, in order to

get at the essence of the recapitulations of the later movements in

our repertory, we must consider musical parameters beyond key plan

and thematic distribution.

T h e first movement of the String Quartet in

G

Major,

D

887,

can serve in this essay as a complement to the Qztartettsatr. Tovey

discussed its recapitulation in terms of Schubert s idiosyncratic al-

ternation of major and minor modes.8 However, the differences be-

tween primary material in the exposition and recapitulation go

much further than the change of mode; in fact, there is hardly any

congruence between the two passages, other than that they are both in

G.

The three-voice chord opening the work is rescored for only sec-

ond violin and viola at its return; the fortissimo quadruple-stopped

bowed chord at measure

3

is now piano and pizzicato; dotted rhythm

has become even eighth-notes; the sparse progression before the

fermata at measure

14

has been softened harmonically by the sub-

sti tution of E-natural for E-flat, and

i t

has grown tendrils of figura-

tion; finally, the tremolo originally following the fermata has been

replaced by a definite rhythmic texture. Nevertheless, the function

of the passage is never in doubt ; the changes in the primary material

only stress its formal stability. One might say that the primary ma-

terial is transformed in response to the inevitability of its own return.

T h e influence of Beethoven upon Schubert has been discussed

again and again, and recently Charles Rosen and Edward Cone have

added to the literature especially concrete evidence of that influ-

7T he finale of the Great C Major Symphony prepares its recapitulation with

a standard dominant pedal, but the primary material itself returns in E-flat major.

The

Grand Duo D. 812

contains an especially complicated example of nontonic re-

capitulation. The finale begins with a modulatory theme that moves from A minor to

C major; in the recapitulation, the theme begins in C minor and moves to E-flat;

finally, in the very extended coda, it begins in C minor and ends in

C

major.

8 Tovey, op. ci t .

p

119

Schubert's Recapitulations 77

phrase

of the

first

movement

does

not return,

as in

the

Quartettsatz

until the

coda, its

character

is

introductory, and

its absence does

not

at

all confuse

the beginning of

the

recapitulation.)

From

1820

on,

Schubert's irregular recapitulations become less

frequent,

but when

they do occur,

the

issues of musical form

that

they raise are much

more complex

than those raised by

the irregular

recapitulations

of

Schubert s

earlier

works. Among his

mature

works, only a few use

recapitulations in non-tonic keys in

the

relatively straightforward

manner

of, for example,

the Fifth

Symphony.7 In fact,

in order

to

get

at

the essence of

the

recapitulations of the later movements in

our

repertory, we

must

consider

musical

parameters

beyond

key

plan


The

first

movement of the String Quartet in

G Major, D.

887,

can serve in this essay as a complement to

the

Quartettsatz. Tovey

discussed its

recapitulation in

terms

of

Schubert s idiosyncratic al

ternation of major and minor

modes.

s

However,

the

differences be

tween primary material in the exposition

and

recapitulation go

much

further than the

change

of

mode; in fact,

there

is hardly any

congruence between

the

two passages,

other than that

they are

both in

G.

The

three-voice

chord opening

the work

is

rescored for only sec-

ond violin and viola

at

its return;

the

fortissimo quadruple-stopped

bowed chord at measure 3 is now piano and pizzicato;

dotted rhythm

has become even eighth-notes; the sparse progression before

the

fermata

at

measure 4 has

been

softened harmonically by

the

sub

stitution

of

E-natural for E-flat, and

it

has grown tendrils

of

figura

tion;

finally,

the tremolo

originally following

the

fermata has

been


of the

passage

is

never

in

doubt;

the changes

in the primary

material

only stress its formal stability.

One

might say

that the primary

ma

terial is transformed in response to

the

inevitability

of

its

own return.

The

influence of Beethoven upon

Schubert

has

been

discussed

again

and

again,

and

recently Charles Rosen

and Edward Cone

have

added

to

the

literature

especially concrete evidence

of that

influ-

7 The

finale

of

the Great C

Major

Symphony prepares its recapitulation with

a

standard dominant

pedal,

but

the primary

material itself

returns in

E·Hat major.

The

Grand Duo D. 812, contains

an

especially complicated

example

of non tonic

reo

capitulation.

The

finale begins

with

a modulatory

theme

that moves from A minor to

C major; in

the

recapitulation,

the theme

begins

in

C minor and moves to E·ftat;

finally, in the very extended coda, it begins in C minor and

ends

in C major.

s Tovey,

op. cit. p.

119.


phrase

of the

first

movement

does

not return,

as in

the

Quartettsatz

until the

coda, its

character

is

introductory, and

its absence does

not

at

all confuse

the beginning of

the

recapitulation.)

From

1820

on,

Schubert's irregular recapitulations become less

frequent,

but when

they do occur,

the

issues of musical form

that

they raise are much

more complex

than those raised by

the irregular

recapitulations

of

Schubert s

earlier

works. Among his

mature

works, only a few use

recapitulations in non-tonic keys in

the

relatively straightforward

manner

of, for example,

the Fifth

Symphony.7 In fact,

in order

to

get

at

the essence of

the

recapitulations of the later movements in

our

repertory, we

must

consider

musical

parameters

beyond

key

plan


The

first

movement of the String Quartet in

G Major, D.

887,

can serve in this essay as a complement to

the

Quartettsatz. Tovey

discussed its

recapitulation in

terms

of

Schubert s idiosyncratic al

ternation of major and minor

modes.

s

However,

the

differences be

tween primary material in the exposition

and

recapitulation go

much

further than the

change

of

mode; in fact,

there

is hardly any

congruence between

the

two passages,

other than that

they are

both in

G.

The

three-voice

chord opening

the work

is

rescored for only sec-

ond violin and viola

at

its return;

the

fortissimo quadruple-stopped

bowed chord at measure 3 is now piano and pizzicato;

dotted rhythm

has become even eighth-notes; the sparse progression before

the

fermata

at

measure 4 has

been

softened harmonically by

the

sub

stitution

of

E-natural for E-flat, and

it

has grown tendrils

of

figura

tion;

finally,

the tremolo

originally following

the

fermata has

been


of the

passage

is

never

in

doubt;

the changes

in the primary

material

only stress its formal stability.

One

might say

that the primary

ma

terial is transformed in response to

the

inevitability

of

its

own return.

The

influence of Beethoven upon

Schubert

has

been

discussed

again

and

again,

and

recently Charles Rosen

and Edward Cone

have

added

to

the

literature

especially concrete evidence

of that

influ-

7 The

finale

of

the Great C

Major

Symphony prepares its recapitulation with

a

standard dominant

pedal,

but

the primary

material itself

returns in

E·Hat major.

The

Grand Duo D. 812, contains

an

especially complicated

example

of non tonic

reo

capitulation.

The

finale begins

with

a modulatory

theme

that moves from A minor to

C major; in

the

recapitulation,

the theme

begins

in

C minor and moves to E·ftat;

finally, in the very extended coda, it begins in C minor and

ends

in C major.

s Tovey,

op. cit. p.

119.



578

T h e hlusical Quarterly

e n ~ e . ~t is nevertheless necessary in this context, to bring up the

subject once more, for in recomposing his primary material in a

work like the

G

Major Quartet, Schubert had available to him as

models the recapitulations of some of Beethoven's most important

sonata-form movements. I n the case of Beethoven, as with Schu-

bert, we may establish a polarity between recapitulations that are

ambiguous and those that are transformed by their own structural

decisiveness.

T h e first movement of the

Sonata appass ionata

furnishes an ex-

ample of ambiguity; in this work the dominant pedal at the end of

the development refuses to resolve in response to the return of the

first theme at measure 135. The ear tries, perhaps, but is not able

to accept the C in the bass as a member of the tonic triad outlined

by the theme. Not until F minor becomes F major at the fortissimo

chords seventeen measures later does the

C

in the bass finally move

to the tonic. Th e same sort of ambiguity is to be found in the first

movement of Schubert's Piano Sonata in A Minor,

D 845

Schu-

bert's dominant pedal prepares not the tonic, but F-sharp minor, in

which key an imitative, modulatory expansion of the movement's

material begins at measure

146

As in the

Quar te t t s a t z

there is no

satisfactory way to isolate the precise moment where the recapitula-

tion begins, for the primary material shortly sequences into and

right on through -A minor. As in the

Appas s iona ta

the tonic does

not unequivocally return until the articulation at measure 186,

towards which the primary material, here and in the exposition, is

directed.

For transformed recapitulations in Beethoven, one might most

naturally turn to examples like the opening movements of the

Seventh and Eighth Symphonies, in which the primary material is

heroically amplified upon its return. Schubert, however, despite his

occasional efforts at adopting Beethoven's grand rhetorical style (as

in the A Minor Sonata of the previous example), was not naturally

attuned to this aspect of the older composer's personality. He seems

to have responded more deeply to the possibilities offered by the re-

capitulations of more lyrical movements, movements like the sec-

ond of the

P a s t o r a l S y m p h o n y

or the first of the Archduke Tr io .

9 Charles Rosen,

T h e Classical Style

(London, 1971), pp. 456-58; Edward

T

Cone,

Schubert's Beethoven, T h e Mus ic al Quar t e r ly LVI (1970), 779-93. Both writers con-

vincingly demonstrate that the rondo of Schubert's

A

Major Piano Sonata, D 959, is

mod eled after the rondo of Beethoven's Major Piano Sonata, Opus 31, No. I

78 The

Musical Quarterly

ence.

9

t is

nevertheless necessary

in

this context,

to bring up the

subject

once

more,

for

in

recomposing his primary material in a

work

like

the

G

Major

Quartet,

Schubert

had

available

to

him

as

models

the

recapitulations of some

of

Beethoven's most

important

sonata-form movements. In

the

case of Beethoven,

as with

Schu

bert, we may establish a polarity

between

recapitulations

that

are

ambiguous and those that are

transformed

by their own structural

decisiveness.

The

first

movement of the Sonata appassionata

furnishes

an

ex

ample

of ambiguity;

in

this

work the dominant

pedal at

the end

of

the

development

refuses

to

resolve

in

response

to

the

return

of

the

first theme at measure 135.

The

ear tries, perhaps, but

is

not able

to

accept

the

C

in the

bass

as

a

member

of

the tonic

triad

outlined

by

the

theme. Not

until

F

minor

becomes F

major

at

the

fortissimo

chords seventeen measures

later

does

the

C

in the

bass finally move

to

the tonic. The same sort of ambiguity

is to be

found

in

the first

movement of Schubert's Piano Sonata

in

A Minor, D. 845. Schu

bert's dominant

pedal prepares

not

the tonic, but F-sharp minor,

in

which key

an

imitative,

modulatory

expansion of

the

movement's

material

begins

at

measure 146. As in

the

Quartettsatz

there

is

no

satisfactory way

to

isolate the precise

moment where the

recapitula

tion begins, for the primary material shortly sequences into - and

right

on through

- A minor.

As in

the Appassionata

the tonic does


towards which the primary

material, here

and

in

the exposition, is

directed.

For

transformed recapitulations in Beethoven, one might most

naturally

turn

to

examples like

the

opening

movements

of

the

Seventh

and Eighth

Symphonies,

in

which

the primary material is



in the A

Minor

Sonata of

the

previous example), was

not

naturally

attuned

to this aspect of the older composer's personality. He seems

to have responded

more

deeply to

the

possibilities offered by

the

re

capitulations

of more lyrical movements, movements like the sec

ond

of the

Pastoral ymphony or the

first of the Archduke

Trio.

9 Charles

Rosen,

The Classical Style

(London, 1971),

pp.

456-58;

Edward T.

Cone,

Schubert's

Beethoven,"


LVI (1970), 779-9 1. Both writers con·

vincingly

demonstrate that the rondo of

Schubert'S A

Major Piano

Sonata, D. 959, is

modeled after

the rondo

of

Beethoven's G Major

Piano

Sonata, Opus II,

No.1.

78 The

Musical Quarterly

ence.

9

t is

nevertheless necessary

in

this context,

to bring up the

subject

once

more,

for

in

recomposing his primary material in a

work

like

the

G

Major

Quartet,

Schubert

had

available

to

him

as

models

the

recapitulations of some

of

Beethoven's most

important

sonata-form movements. In

the

case of Beethoven,

as with

Schu

bert, we may establish a polarity

between

recapitulations

that

are

ambiguous and those that are

transformed

by their own structural

decisiveness.

The

first

movement of the Sonata appassionata

furnishes

an

ex

ample

of ambiguity;

in

this

work the dominant

pedal at

the end

of

the

development

refuses

to

resolve

in

response

to

the

return

of

the

first theme at measure 135.

The

ear tries, perhaps, but

is

not able

to

accept

the

C

in the

bass

as

a

member

of

the tonic

triad

outlined

by

the

theme. Not

until

F

minor

becomes F

major

at

the

fortissimo

chords seventeen measures

later

does

the

C

in the

bass finally move

to

the tonic. The same sort of ambiguity

is to be

found

in

the first

movement of Schubert's Piano Sonata

in

A Minor, D. 845. Schu

bert's dominant

pedal prepares

not

the tonic, but F-sharp minor,

in

which key

an

imitative,

modulatory

expansion of

the

movement's

material

begins

at

measure 146. As in

the

Quartettsatz

there

is

no

satisfactory way

to

isolate the precise

moment where the

recapitula

tion begins, for the primary material shortly sequences into - and

right

on through

- A minor.

As in

the Appassionata

the tonic does


towards which the primary

material, here

and

in

the exposition, is

directed.

For

transformed recapitulations in Beethoven, one might most

naturally

turn

to

examples like

the

opening

movements

of

the

Seventh

and Eighth

Symphonies,

in

which

the primary material is



in the A

Minor

Sonata of

the

previous example), was

not

naturally

attuned

to this aspect of the older composer's personality. He seems

to have responded

more

deeply to

the

possibilities offered by

the

re

capitulations

of more lyrical movements, movements like the sec

ond

of the

Pastoral ymphony or the

first of the Archduke

Trio.

9 Charles

Rosen,

The Classical Style

(London, 1971),

pp.

456-58;

Edward T.

Cone,

Schubert's

Beethoven,"


LVI (1970), 779-9 1. Both writers con·

vincingly

demonstrate that the rondo of

Schubert'S A

Major Piano

Sonata, D. 959, is

modeled after

the rondo

of

Beethoven's G Major

Piano

Sonata, Opus II,

No.1.



579chubert's Recapitulations

In both these movements, the weight of the return to the tonic

brings about the transformation of the entire primary texture. It

is a mark of Schubert's strong individuality that in such recapitula-

tions one is hardly aware of Beethoven's presence. Even in the

Great C Major Symphony, which has been cited as a clear dem-

onstration of Beethoven's influence,IO Schubert's pianissimo re-

capitulation is at once the antithesis of Beethoven's grand style, and

one of the most brilliant uses of dynamics to articulate structure in

the symphonic literature. In fact, after

1820

texture and dynamics

play essential roles in delineating Schubert's recapitulations.

For a final example, let us turn to the recapitulation of the first

movement of the Piano Tr io in B-flat, D. 898, a recapitulation in

which the elements we have so far considered as separate categories

-tonality, formal ambiguity, and the structural use of texture-

are all operative.

As is usually the case in his later works, Schubert's techniques

of exposition are directed towards furnishing his expansive melodies

with all the space they demand. On this occasion, Schubert does not

separate tonic from dominant with a new theme in a parenthetical

key area; he instead integrates primary material and transition into

a long double period, as follows:

A: measures 1-12: T h e first theme, in B-Hat; closed.

measures 12-18: A sequential modulation to V of vi.

measures 18-25: An extension of

V

of vi, returning to B-flat in measures

24-25 through its dominant.

A':

measures 26-37: The first theme again, rescored, and this time modulating

to a closed ending in V.

measures 37-51: An extension of the modulation

of

measures 12-18, lead-

to V of iii.

measures 51-58: An extension of V or iii, at the end of which A-natural be-

comes the third of F major, and the first note of the secondary theme.

For the purposes of our discussion, the instrumentation of the

primary theme is ultimately the most crucial aspect of the passage.

T h e return of the theme at measure

26

with the figuration of strings

and piano interchanged, the dynamics reduced from forte to piano,

and repeated piano attacks replaced by plucked strings, is, in terms

of sonority, the complement of the first measures of the movement

(see

Ex. 4).

1

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

Die neue Zei tschrif t

ur

Musik

CXXVI

(May , 1965 ,

183-95.

Schubert's Recapitulations

579

n both these movements, the weight of the

return to

the tonic

brings

about the transformation of the entire primary texture.

t

is

a

mark

of

Schubert's

strong individuality

that

in

such recapitula

tions one is hardly aware of Beethoven s presence. Even in

the

Great C Major Symphony, which has been cited as a clear dem

onstration of Beethoven s influence,lO Schubert s pianissimo re

capitulation is at once

the

antithesis of Beethoven s grand style,

and

one

of the

most

brilliant

uses

of

dynamics to

articulate

structure in

the symphonic literature. n fact,

after

1820, texture and dynamics


For

a final example,

let

us

turn

to

the

recapitulation of the

first

movement of the Piano Trio in B-flat, D. 898, a recapitulation in

which

the

elements we have so far considered

as

separate categories

- tonality, formal

ambiguity,

and the structural use of t xtu -

are all operative.

As

is usually

the

case in his later works, Schubert s techniques

of exposition

are

directed towards furnishing his expansive melodies

with

all the space they

demand. On

this occasion, Schubert does not

separate tonic from

dominant

with a new theme in a parenthetical

key area; he instead integrates

primary

material and

transition into


A: measures

1-12:

The first theme, in B-flat; closed.


measures 18-25: An extension of V

of

vi,

returning

to B-flat

in

measures

24-25 through its

dominant.

A : measures 26-37: The first theme again, rescored, and this time modulating

to a closed ending in

V.

measures 37-51: An extension

of

the modulation of measures

12-18,

lead

to V

of

iii.

measures 51-58:

An

extension

of

V or iii,

at

the

end of

which A·natural be


For the

purposes

of

our discussion,

the

instrumentation

of the

primary

theme is ultimately the most crucial aspect of the passage.

The

return

of the theme

at

measure 26,

with

the figuration of strings

and piano interchanged,

the

dynamics reduced from forte to piano,


of

sonority,

the complement of

the

first measures

of the movement

(see Ex. 4).

10 Hans

Hollander, Die

Beetho\ en-ReHexe

in

Schubert's grosser C-dur·Sinfonie,

Die n u Zeitschrift filr Musik CXXVI (May, 1965), 18 1-95.

Schubert's Recapitulations

579

n both these movements, the weight of the

return to

the tonic

brings

about the transformation of the entire primary texture.

t

is

a

mark

of

Schubert's

strong individuality

that

in

such recapitula

tions one is hardly aware of Beethoven s presence. Even in

the

Great C Major Symphony, which has been cited as a clear dem

onstration of Beethoven s influence,lO Schubert s pianissimo re

capitulation is at once

the

antithesis of Beethoven s grand style,

and

one

of the

most

brilliant

uses

of

dynamics to

articulate

structure in

the symphonic literature. n fact,

after

1820, texture and dynamics


For

a final example,

let

us

turn

to

the

recapitulation of the

first

movement of the Piano Trio in B-flat, D. 898, a recapitulation in

which

the

elements we have so far considered

as

separate categories

- tonality, formal

ambiguity,

and the structural use of t xtu -

are all operative.

As

is usually

the

case in his later works, Schubert s techniques

of exposition

are

directed towards furnishing his expansive melodies

with

all the space they

demand. On

this occasion, Schubert does not

separate tonic from

dominant

with a new theme in a parenthetical

key area; he instead integrates

primary

material and

transition into


A: measures

1-12:

The first theme, in B-flat; closed.


measures 18-25: An extension of V

of

vi,

returning

to B-flat

in

measures

24-25 through its

dominant.

A : measures 26-37: The first theme again, rescored, and this time modulating

to a closed ending in

V.

measures 37-51: An extension

of

the modulation of measures

12-18,

lead

to V

of

iii.

measures 51-58:

An

extension

of

V or iii,

at

the

end of

which A·natural be


For the

purposes

of

our discussion,

the

instrumentation

of the

primary

theme is ultimately the most crucial aspect of the passage.

The

return

of the theme

at

measure 26,

with

the figuration of strings

and piano interchanged,

the

dynamics reduced from forte to piano,


of

sonority,

the complement of

the

first measures

of the movement

(see Ex. 4).

10 Hans

Hollander, Die

Beetho\ en-ReHexe

in

Schubert's grosser C-dur·Sinfonie,

Die n u Zeitschrift filr Musik CXXVI (May, 1965), 18 1-95.



580 The Musical Quarterly

x 4a. Piano Trio in B flat D . 898 1st mvt. mm.

1 5

~ l f e ~ r o

oderato.

x

4b.

m 26-30

The primary theme, with its first scoring, recurs@ the begin-

ning of the development, and, in paraphrase, near the end of the

movement measures 293-306), but not in the recapitulation. But

the absence of this full sonority serves only to strengthen the force

of its complement; it is the second version of the primary theme that

becomes the structural pivot in the recapitulation.

The approach to the recapitulation is prepared by an extended

pedal on F

measures 161-187); that is, by what would seem to be

the most conventional way of returning to B-flat. However, in the

ten measures preceding the return of the primary theme, it becomes

clear that the music is n F, not on it. In fact, Schubert is recalling

the close of the exposition, where the tonic was unequivocally F

major, and here the cadential six-four chord at measures 178 and

182 ensures that

F

still has this function.

In any event, Schubert is not preparing B-flat major at all.

Measures 184-187 are a paraphrase of the last four measures of the

exposition, which in their original version had made a crescendo

into either the repeat of the exposition or the beginning of the

development. Now these measures, with a decrescendo, modulate

into G-flat major as the primary theme returns see EX. 5).

580


Ex.

4a.

Piano Trio

in B fiat, D. 898, 1st mvt., mm. 1-5

Allegro moderato.

egro moderato.

Ex.4b.

Mm. 26-30

.... ... ..

.. ... ....

1 'I 'I 'i rT'T l rT'T l r T' I '\

p

u....L.J I

~

~

I P pin.

-

" ~

_ : ; ~

H ' ~ :

II

---

..

3 0>-

,..

_

L

' I '

pp

....

t I

~ ' It.

~ ~ .

..

;

..

..

-

The primary theme,

with

its first scoring, recurs,.jlt

the

begin

ning of the

development

and in paraphrase, near the

end

of the

movement

(measures 293-306),

but

not

in the

recapitulation.

But

the

absence of this full sonority serves only to strengthen

the

force

of its

complement;

it is the second version of

the

primary theme

that

becomes

the structural

pivot

in the

recapitulation.

The

approach to

the recapitulation is

prepared

by an extended

pedal

on

F (measures 161-187);

that

is, by what would seem

to

be

the

most conventional

way of returning

to

B-fl.at. However, in

the

ten measures preceding

the

return

of

the

primary theme, it becomes

clear that

the

music is

n

F, not on it. In fact,

Schubert

is recalling

the

close of

the

exposition, where the tonic was unequivocally F

major and here the cadential six-four chord at measures 178 and

182 ensures that F still has this function.

In any event, Schubert is

not

preparing B-fl.at major at all.

Measures 184-187

are

a

paraphrase

of

the

last

four

measures

of the

exposition,

which

in their

original

version had made a crescendo

into

either

the repeat of the

exposition

or the

beginning

of the

development. Now these measures,

with

a decrescendo, modulate

into

G-fl.at major as the primary theme

returns

(see Ex. 5).

580


Ex.

4a.

Piano Trio

in B fiat, D. 898, 1st mvt., mm. 1-5

Allegro moderato.

egro moderato.

Ex.4b.

Mm. 26-30

.... ... ..

.. ... ....

1 'I 'I 'i rT'T l rT'T l r T' I '\

p

u....L.J I

~

~

I P pin.

-

" ~

_ : ; ~

H ' ~ :

II

---

..

3 0>-

,..

_

L

' I '

pp

....

t I

~ ' It.

~ ~ .

..

;

..

..

-

The primary theme,

with

its first scoring, recurs,.jlt

the

begin

ning of the

development

and in paraphrase, near the

end

of the

movement

(measures 293-306),

but

not

in the

recapitulation.

But

the

absence of this full sonority serves only to strengthen

the

force

of its

complement;

it is the second version of

the

primary theme

that

becomes

the structural

pivot

in the

recapitulation.

The

approach to

the recapitulation is

prepared

by an extended

pedal

on

F (measures 161-187);

that

is, by what would seem

to

be

the

most conventional

way of returning

to

B-fl.at. However, in

the

ten measures preceding

the

return

of

the

primary theme, it becomes

clear that

the

music is

n

F, not on it. In fact,

Schubert

is recalling

the

close of

the

exposition, where the tonic was unequivocally F

major and here the cadential six-four chord at measures 178 and

182 ensures that F still has this function.

In any event, Schubert is

not

preparing B-fl.at major at all.

Measures 184-187

are

a

paraphrase

of

the

last

four

measures

of the

exposition,

which

in their

original

version had made a crescendo

into

either

the repeat of the

exposition

or the

beginning

of the

development. Now these measures,

with

a decrescendo, modulate

into

G-fl.at major as the primary theme

returns

(see Ex. 5).




Ex 5 P i a n o T r i o i n B-flat, D . 8 9 8 ,

mm

181-199

As Felix Salzer has pointed out, the first phrase of this theme

now begins exactly as it had in the exposition, thematically and

harmonically, even repeating the opening measures on the

supertonic. I1 Yet the passage is delicately ambiguous. This am-

biguity is not caused by the G-flat tonic in itself; as we have seen

already, any well-prepared key can serve in Schubert's music

as

a

stable framework for the return of primary material. T he point is

that G-flat has ot been well prepared; by preventing the F in the

bass at measure 184 from moving down to D-flat, Schubert deprives

G-flat of the authoritative stability that only a root-position authentic

cadence could have provided. This tonal instability becomes more

pronounced in the next few measures, as the consequent primary

Die Sonatenform bei Schubert , Studien zu Musik wissensch aft, XV 192 8). 123.

Schubert's

Recapitulations

581

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

As

Felix

Salzer has

pointed out,

the first phrase of this theme

now begins exactly as it

had

in the exposition, thematically and

harmonically, even repeating

the

opening measures on

the

supertonic. ll Yet the passage

is

delicately ambiguous.

This

am

biguity

is not caused by

the

G-flat tonic

in

itself; as we have seen

already, any well-prepared key can serve in Schubert's music as a

stable framework for the return of primary material.

The

point

is



G-flat

of the authoritative

stability

that

only

a root-position

authentic

cadence

could

have provided. This tonal instability becomes more


Die

Sonatenform bei Schubert,

Studien zur Musikwissenschaft

XV (1928). 125.

Schubert's

Recapitulations

581

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

As

Felix

Salzer has

pointed out,

the first phrase of this theme

now begins exactly as it

had

in the exposition, thematically and

harmonically, even repeating

the

opening measures on

the

supertonic. ll Yet the passage

is

delicately ambiguous.

This

am

biguity

is not caused by

the

G-flat tonic

in

itself; as we have seen

already, any well-prepared key can serve in Schubert's music as a

stable framework for the return of primary material.

The

point

is



G-flat

of the authoritative

stability

that

only

a root-position

authentic

cadence

could

have provided. This tonal instability becomes more


Die

Sonatenform bei Schubert,

Studien zur Musikwissenschaft

XV (1928). 125.



58 T h e Musical Quarterly

phrase in A-flat minor fails to parallel the analagous phrase in the

exposition, and modulates into D-flat major at measure 198.

Whatever little decisive strength the return to primary material

in G-flat may have had has now been considerably diluted, and mat-

ters become still more confused when the primary theme, complete

with its supertonic phrase, begins all over again in D-flat; but at

last Schubert is ready to return to the true tonic. In the middle of

the consequent phrase in E-flat minor the music hesitates, and, with

the substitution of G-natural for G-flat, E-flat major is revealed as

the subdominant of B-flat major. With the arrival of the tonic Schu-

bert restates the primary theme yet again, but now restored to the

second of its two settings from the exposition. He this time allows

the theme to the stay in the tonic the analogous measures in the

exposition had modulated to the dominant), and by so doing he is

able to transpose the remainder of the exposition material without

further alteration.

Words can express the logic of this synchronization of tonal and

textural parameters, but not the feelings of crystallization, of finely

adjusted machinery clicking gently into place, that accompany

measure 211. Here is one of those moments of controlled under-

statement that even the most accomplished composers can hope to

achieve only a few times in their lives.

58


phrase

in

A-flat minor fails to parallel the analagous phrase

in

the

exposition,

and

modulates into D-flat

major at

measure 198.

Whatever little

decisive

strength the

return

to primary material

in

G-flat may have

had

has now been considerably diluted,

and

mat

ters become still more confused when the primary

theme, complete

with its supertonic phrase, begins all over again

in

D-flat; but at

last Schubert

is

ready to return to the true tonic.

In

the middle of

the consequent phrase

in

E-flat minor the music hesitates, and, with

the substitution of

G-natural

for G-flat, E-flat

major

is revealed as

the

subdominant

of B-flat major. With the arrival of the tonic Schu

bert

restates

the primary theme

yet again,

but

now restored

to

the

second of its two settings from the exposition.

He

this time allows

the theme to the stay in the tonic the analogous measures

in

the

exposition had modulated to the dominant ,

and

by so doing he is

able to transpose the

remainder

of the exposition material

without

further

alteration.


textural

parameters,

but

not the feelings

of

crystallization,

of

finely


measure 211. Here is one of those moments of controlled under

statement that even the most accomplished composers can

hope

to

achieve

only

a few times in their lives.

58


phrase

in

A-flat minor fails to parallel the analagous phrase

in

the

exposition,

and

modulates into D-flat

major at

measure 198.

Whatever little

decisive

strength the

return

to primary material

in

G-flat may have

had

has now been considerably diluted,

and

mat

ters become still more confused when the primary

theme, complete

with its supertonic phrase, begins all over again

in

D-flat; but at

last Schubert

is

ready to return to the true tonic.

In

the middle of

the consequent phrase

in

E-flat minor the music hesitates, and, with

the substitution of

G-natural

for G-flat, E-flat

major

is revealed as

the

subdominant

of B-flat major. With the arrival of the tonic Schu

bert

restates

the primary theme

yet again,

but

now restored

to

the

second of its two settings from the exposition.

He

this time allows

the theme to the stay in the tonic the analogous measures

in

the

exposition had modulated to the dominant ,

and

by so doing he is

able to transpose the

remainder

of the exposition material

without

further

alteration.


textural

parameters,

but

not the feelings

of

crystallization,

of

finely


measure 211. Here is one of those moments of controlled under

statement that even the most accomplished composers can

hope

to

achieve

only

a few times in their lives.

ambiguity in schubert's recapitulations (coren)

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