assessing internal modulations in three-key expositions

Diverging Subordinate Themes and Internal Transitions:

Assessing Internal Modulations in Three-Key

Expositions

Society for Music Theory, Annual Meeting

Vancouver, British Columbia

November 5, 2016

Graham G. Hunt

University of Texas at Arlington

[email protected]

Score Handout

[Score] Example 2a. Example of Direct/Abrupt Modulation to 3rd

key:

Beethoven: Piano Sonata op. 10 #3 (1797), 2nd movement, mm. 11-22

[Transition / [Modulating] Sub. Theme]

Function location Method Abbrev.

presentation False Sub. Theme FST

continuation Continuation=>Internal Trans. CIT

cadential Deviating Sub. Theme DST

post-cadential Block/Abrupt *

Post-Cadential link Link

Internal Transition IT

Internal False Closing Section IFCS

[Score] Example 2b. Direct/Abrupt: Tchaikovsky – Hamlet Overture-Fantasy op. 67

(1888), mm. 144-166





post-cadential Block/Abrupt *




Example 3a. Post-cadential link/re-direct: Scarlatti, Piano Sonata K. 366 (b. 1754), mm. 21-

30





post-cadential Block/Abrupt

Post-Cadential link * Link



Example 3b. Post-cadential link/redirect: Bruckner, String Quintet (1879), mm. (***Post-

Cadential re-direct to Key 3)

Example 3c. Post-cadential link/redirect: Schubert, 4-hand Piano Allegro (“Lebensstürme”;

1828), mm. 126-140 (***Post-Cadential re-direct to Key 3)






Post-Cadential link * Link

Internal False Closing Section * IFCS


Example 4. Internal False Closing Section: Schubert, Piano Sonata D. 575 in B major, 1st

movement (1817), mm. 27-43 (Internal False Closing Section from Key 3-Key 4)

27 16-measure sentence

31 4-measure codetta=>c.b.i. c.b.i.

35

40

Example 5. Internal Transition: Saint-Saëns, Symphony #3, 1st movement (1886), mm.

111-137 [reduction]

114








Internal Transition * IT

Example 6a. Deviating Subordinate Theme: Mozart, Piano Sonata K. 310, 3rd movement

(1778), mm. 28-71




cadential Deviating Sub. Theme * DST





Example 6b. Deviating Subordinate Theme (?): Mendelssohn, Octet op. 20, 3rd movement

(1852), mm. 19-52 (reduction; End of Transition)









Example 7a. Continuation => Internal Transition: Mendelssohn, Piano Trio op. 66, 3rd movement (mm.

14-44)



continuation Continuation=>Internal Trans. * CIT






Example 8a. False Subordinate theme: Beethoven, Violin Sonata op. 12 #2, 1st movement

(1797), mm. 26-51


presentation False Sub. Theme * FST







Example 8b. Deviating Subordinate Theme (moving to internal key): Beethoven, Piano

Sonata op. 10 #3 (1797), 1st movement, mm. 21-31









Appendix: List of further works with 3-key expositions, categorized by the Key 2 -> Key 3

Modulation Technique

Direct/Abrupt

Beethoven Piano Concerto #5 (1908), 1st movement, m. 167

Schubert String Quartet D. 353 (1816), 4th movement, m. 62

Violin Sonata D. 408 (1816), 1st movement, m. 35

Mendelssohn String Quartet op. 44 #2 (1837), 1st movement, m. 75

Symphony #3 (“Scottish; 1842), 4th movement, m. 74

Brahms Piano Concerto #2 (1881), 4th movement, m. 81

Violin Sonata op. 108 (1886), 3rd movement, m. 76

Post-Cadential Redirect

Mozart “Fra gli amplessi,” from Così fan tutte (1790), #29, m. 21

Schubert Overture to Claudine von Villa Bella (1815), m. 139 (Key 2-Key 3; *4-key exposition*)

Piano Sonata D. 613 (1818), 3rd movement, m. 63

Rimsky-Kors. String Quartet op. 12 (1875), 1st movement, m. 63

Borodin Symphony #2 (1876), 3rd movement, m. 44

Brahms Academic Festival Overture (1880), m. 137

Internal Transition

Scarlatti Piano Sonatas K. 149, 187, 227, 246, 256, 373 , 402 (before 1754)

Benda Piano Sonata XV (1787), 3rd movement, m. 11

Cherubini Overture to Les Deux Journées, m. 74

Schubert Overture D. 8 (1811), m. 95

Symphony #2 (1815), 4th movement, m. 146

Quartettsatz (1820), m. 61

Clementi Piano Sonata op. 50 #3 (1821), 1st movement, m. 128

Grieg Violin Sonata op. 13 (1867), 1st movement, m. 120 (from internal key to Key 3)

Brahms Symphony #1 (1876), 4th movement, m. 132

Deviating Subordinate Theme

Beethoven String Quintet op. 29 (1801), 4th movement, m. 58

Schubert Violin Sonata D. 385 (1816), 4th movement, m. 65


Mendelssohn Allegro Brilliant op. 92 (1841), m. 113

Brahms Piano Trio op. 87 (1882), 4th movement, m. 29

Cello Sonata op. 99 (1886), 2nd movement, m. 30, and 4th movement, m. 26 and 32

Clarinet/Viola Sonata op. 120/1 (1894), m. 52

Continuation=>Internal Transition

Scarlatti Piano Sonata K. 184, 198, 241, 317 (before 1754)

Mozart String Quartet K. 464 (1785), 1st movement, m. 31

Piano Concerto K. 503 (1786), 1st movement, m. 154

Clementi Piano Sonata op. 40 #2 (1802), 1st movement, m. 86

Beethoven “Ha! Welch’ ein Augenblick,” from Fidelio (1805), #7, m. 26

Schubert Overture D. 590 (1817), m. 102


Symphony #9 (1818), 1st movement, m. 52

Mendelssohn Violin Sonata in F (1828), 3rd movement, m. 37 (original version), m. 39 (revised

version)

Chopin Piano Concerto op. 21 (1829), 1st movement, m. 142

Brahms Piano Sonata op. 5 (1853), 1st movement, m. 43

Grieg Violin Sonata op. 13 (1867), 1st movement, m. 110 (from Key 2 to internal key)

Bruckner Symphony #0 (1869), 4th movement, m. 73

Symphony #3 (1873), 4th movement, m. (from Key 2 to internal key)

Dvorak Piano Quartet op. 23 (1875), 1st movement, m. 126

Sextet op. 48 (1878), 1st movement, m. 83

Franck Violin Sonata op. 8 (1886), 4th movement, m. 55 (Key 2 – Key 3; *4-key exposition*)

Saint-Saëns Violin Sonata op. 102 (1896), 1st movement, m. 49

False Subordinate Theme

Scarlatti Piano Sonata K. 185, 203, 239 (before 1754)

Beethoven Piano Trio op. 1 #2 (1794), 2nd movement, m. 32

Piano Sonata op. 31 #3 (1802), 2nd movement, m. 35

Symphony #7 (1812), m. 116

Cello Sonata op. 102 (1815), 1st movement, m. 40

Mendelssohn Piano Concerto #2 (1837), 1st movement, m. 101

Bruckner Symphony #5 (1876), 4th movement, m. 65 (From Key 2 to internal key)

Dvorak Violin Concerto (1879), 3rd movement, m. 126

Franck Violin Sonata op. 8 (1886), 4th movement, m. 64? (Key 3 – Key 4; *4-key exposition*)

Tchaikovsky Sextet op. 70 “Souvenirs de Florence” (1890), 1st movement, m. 64 (Exit from Key 2)

Brahms Clarinet Trio op. 114 (1891), 1st movement, m. 55

Selected References

Black, Brian. 2015. "Schubert's 'Deflected-Cadence' Transitions and the Classical Style." In Formal Functions in

Perspective: Essays on Musical Form from Haydn to Adorno, by Steven, Pednault-Deslauriers, Julie, and Martin,

Nathan Vande Moortele, 165-197. Rochester: Rochester University Press.

. 2009. "The Functions of Harmonic Motives in Schubert's Sonata Forms." Integral, 1-64.

Caplin, William. 2013. Analyzing Classical Form: An Approach for the Classroom. Oxford: Oxford University Press.

—. 1998. Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven.

Oxford: Oxford University Press.

Grant, Aaron. 2015. "The Foreshadowing of Crisis: Emerging Middle Keys in Schubert's Development of the Three-Key

Exposition." Annual Meeting, Society for Music Theory. St. Louis, MO.

Hepokoski, James, and Darcy, Warren. 2006. Elements of Sonata Theory: Norms, Types and Deformations in the Late- Eighteenth-Century Sonata. Oxford: Oxford University Press. Hunt, Graham. 2014. "When Structure and Design Collide: The Three-Key Exposition Revisited." Music Theory Spectrum

36 (2): 247-268.

. 2009. "The Three-Key Trimodular Block and its Classical Precedents: Sonata Expositions of Schubert and Brahms."

Integral 23: 65-119.

Rusch, Rene. 2016. "The Four-Key Exposition? Schubert's Sonata Forms, the Fantasia, and Questions of Formal

Coherence." Society for Music Theory, Annual Meeting. Vancouver, BC.

Diverging Subordinate Themes and Internal Transitions: Assessing

Internal Modulations in Three-Key Expositions



November 5, 2016

Graham G. Hunt


[email protected]

PowerPoint Slides

mailto:[email protected]

Function location Method Abbrev. Key 2 Modulation Key 3*

presentation False Sub. Theme FST Theme's 'pres'=>Model sequence(s)/contin HC/DA/PAC Theme(s) and/or Closing

continuation Continuation=>Internal Trans. CIT Theme Continuation=>Transition HC/DA/PAC Theme(s) and/or Closing

cadential Deviating Sub. Theme DST Theme cadential deviation(s) HC/DA/PAC Theme(s) and/or Closing

post-cadential Block/Abrupt Theme HC/DA/PAC Theme(s) and/or Closing

Post-Cadential link Link Theme HC/DA/PAC brief cadential prog. or redirect Theme(s) and/or Closing

Internal False Closing Section IFCS Theme PAC [False] CS=>Transition HC/DA/PAC Theme(s) and/or Closing

Internal Transition IT Theme HC/DA/PAC Transition HC/DA/PAC Theme(s) and/or Closing

DA: Dominant Arrival *or 'internal' key

Example 1. Categories of Key 2->Key 3 Modulation, arranged by formal-function location [1]

[1] The Internal False Closing Section, like Caplin’s analogous False Closing Section, occurs when a PAC in the second key is followed by an apparent codetta that becomes part of a transitional section leading to the 3rd key.

*

*

*

**

*

*

Formal-Function reference:

Presentation: Initiating function, consisting of a basic idea and its repetition, supported by tonic prolongation

Continuation: Medial function, destabilizes prevailing context by fragmentation, harmonic acceleration,

faster surface rhythms, and harmonic sequence

Cadential: Concluding function, provides thematic closure with a cadential progression

Post-Cadential: After-the-end or framing function; Follows a cadence and prolongs its final harmony

Example 2a. Outline, Beethoven, Piano Sonata Op. 10 #3, 1st movement (Exposition)

Example 2b. Outline, Tchaikovsky, Hamlet Overture-Fantasy (Exposition)

Direct/Block Modulation

Exposition

MT TR / ST Sub Theme 2 Closing section

(sentence) (codetta)

1-9 9-17 17 26 26-29i:PAC VII:PAC v:PAC

d: i mod - VII [mod] v

Key 1 Key 2 Key 3!

ExpositionMT Trans Sub Th. 1 Sub Th 2

(16-m. sentence) (16-m. period)EC (155, 159)

84-100 101-143 144 162 163

*(cad prog. in #iv) (no cad)

f: i mod #iv [mod] #VI

Key 1 Key 2 Key 3

*cadential prog overlapsend of Trans-ST1

Example 3c. Outline, Schubert, 4-hand Piano Allegro (“Lebensstürme”; 1828), Exposition

Post-Cadential Modulation

ExpositionMT Trans Sub. Th. 1 Sub. Th. 2 Sub. Th. 3 (=S.T. 1)

*** 32-m 16-m sent *** 32-m

(81-88) sentence (F.C.S.) (132-138) sentence

1-37 37-59 post-cad 89-116 116-132 post-cad 138-179

i:PAC i:HC re-direct bI:PAC bI:PAC re-direct

a i [mod] bI [mod] III

Key 1 Key 2 Key 3

Example 4. Outline, Schubert, Piano Sonata D. 575 in B major, 1st movement (1817), Exposition

Internal False Closing Section

ExpositionMT Trans Sub. Theme 1 [C.I.T.] Sub. Theme 2 (IFCS) Sub. Th. 3

sentence 16-m sentence sentence

present Cont=>Trans present contin [compr.]

1-5 6-14 16-19 20-30 30-37 38-41 42ff

cbi+cbi Contin codettas=>c.b.i

I:PAC bVI:DA IV:PAC V:PAC

I mod bVI mod IV mod V

B: Key 1 Key 2 Key 3 Key 4

Example 5. Outline, Saint-Saëns, Symphony #3, 1st movement (1886), Exposition

Internal Transition

Exposition

MT Trans Sub Th. 1 Internal Trans. Sub. Th. 2

Hybrid ST1 "fanfare"

12-84 84-102 102-108;108-114 114-130 132-138;138-144cbi + cad. cbi+cad

c: i:PAC bII:PC bII:IAC (IV:PDA 128)

I mod bII mod IV

Key 1 Key 2 Key 3

*Plagal cadence *PDA = Premature

(iv±7-I) Dominant Arrival

Example 6a. Outline, Mozart, Piano Sonata K. 310, 3rd movement (1778), Exposition

Deviating Subordinate Theme

ExpositionMT Trans Sub. Th. 1 Deviation Sub. Th. 2

16-meas. "1 more fragment, 16-meas.

sentence time"(cont) model/seq sentence

1-20 20-28 29-44 45-51 52-63 64

i:PAC III:HC III:IAC evaded cad v:HC

a i mod iii III mod v

Key 1 Key 2 Key 3

Example 6b. Outline, Mendelssohn, Octet op. 20, 3rd movement (1825), Exposition

Deviating Subordinate Theme (continued)

ExpositionMT Trans Sub Th. 1 Sub Th. 1 (rpt) Deviation Closing

sentence sentence codetta

1-16 17-25 25-37 (exp. cad/con) 37-43 43-49;49-55 55-64

b.i+b.i.+cont[III#]-cad b.i.+b.i. "III#"=>I; cad.

i:PAC III:PAC III:PAC V:PAC

g: i mod III mod V

Key 1 Key 2 Key 3

Example 7a. Outline, Mendelssohn, Piano Trio op. 66, 3rd movement (1845), Exposition

Continuation => Internal Transition

(CIT)

Exposition

MT TR / ST Sub. Theme 2 [C.I.T.] Closing sect.

16-m sent (Codettas)

present Cont=>Trans

1-12 13-24 24-31 32-35,36-40 40-52

cbi+cbi Contini:PAC III:PAC v:EC, v:PAC

g: i mod III mod v

Key 1 Key 2 Key 3

Example 8a. Outline, Beethoven, Violin Sonata op. 12 #2, 1st movement (1797), Exposition

False Subordinate Theme

Exposition

MT Trans [False] Sub Th. 1 Sub. Th. 2

Contin. cadential sentence

1-16 16-29 31-36 37-43 44-45 46ff

cbi=>model sequence

A I:PAC vi:HC *V:EC

I mod vi mod (V) V

Key 1 Key 2 Key 3

*Evaded cadence

(m. 45)

Example 8b. Outline, Beethoven, Piano Sonata op. 10 #3, 1st movement (1798), Exposition

Modulation OUT of Key 2, then modulation TO Final Key

* Four-Key Exposition (Key 2 – Key 3; Key 3 – Key 4)

Examples: Schubert, Overture to Claudine von Villa Bella, Schumann, Piano Sonata op. 14, 1st

movement, and Franck, Violin Sonata op. 8, 1st and 4th movements.

* Interior Key (Key 2 – internal key; internal key(s) – Key 3)

Examples: Beethoven, Piano Sonata op. 10 #3, 1st movement (see example 8b), Chopin, Rondeau

op. 1, Brahms, Cello Sonata op. 99, 1st movement, and Bruckner, Symphony #0, 1st movement,

Symphony #3, 2nd and 4th movements, Symphony #5, 4th movement, and Symphony #7, 4th

movement.

Beethoven 10/3 i

ExpositionMT Trans [Deviating] S.T.1 Internal Trans. Sub. Th. 2

(mod.) period 16-m sentence? False closing sect.

1-16 17-22 23-26 27-30 31-52 53ff

antecedent consequent

D: I:PAC vi:DA iii:PAC V:PAC

I mod vi mod-iii mod V

Key 1 Key 2 internal key Key 3

Diverging Subordinate Themes and Internal Transitions: Assessing

Internal Modulations in Three-Key Expositions



November 5, 2016

Graham G. Hunt


[email protected]

assessing internal modulations in three-key expositions

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