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    THE EVOLUTION OF THE DRAGONt

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    THE EVOLUTION OFTHE DRAGON

    BY

    G . ELLIOT SMITH, M.A., M.D., F.R.S.PROFESSOR OF ANATOMY IN THE UNIVERSITY OF MANCHESTER

    Published for the John Kylands Library atTHE UNIVERSITY PRESS (H. M. MCKECHNIE, Secretary)

    12 LIME GROVE, OXFORD ROAD , MANCHESTERLONGMANS, GREEN & COMPANY

    LONDON ; 39 Paternoster RowNE W YORK : 443-449 Fourth Avenue, and Thirtieth StreetCHICAGO : Prairie Avenue and Twenty-fifth Street

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    MANCHESTER: AT THE UNIVERSITY PRESSLONGMANS, GREEN & COMPANY

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    1 9 1 9 iDb?4 0 111G E N E R A L L IB RA RYU N I V E R S I T Y O F G E O R G I AA T H E N S , G E O R G I A

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    I

    PREFACE.S OME explanation is due to the reader of the form and scope of these elaborations of the lectures which I have given at theJohn Rylands Library during the last three winters .

    They deal with a wide range of topics, an d the threadwhich bindst h e m more or less intimately into one connected story is only imperfectlyexpre s s ed in the title " The Evolution of the Dragon ".

    Th e book ha s been written in rare moments of leisure snatchedf r o m a variety of arduous war-time occupations ; an d it reveals onlyto o plainly the traces of this disjointed process of composition. On2 3 February, 1915, I presented to the Manchester Literary andPhilosophical Society an es say on the spread of certain cus toms andb e l i e f s in ancient times under the title " On the Significance of theGeographical Distribution of the Practice of Mummification," and inm y Rylands Lecture two weeks later I summed up the general conc l u s i o n s . 1 In v iew of the lively controversies that followed the publicat i o n of the former of these addresses , I devoted m y next RylandsLecture (9 February, 1916) to the discussion of "The Relationshipof the Egyptian Practice of Mummificat ion to the Development ofCivilization ". In preparing this address for publication in the Biilletins o m e months later so m uc h stress wa s laid upon the problems of" Incense an d Libations " that I adopted this more concise title for theelaboration of the lecture which forms the first chapter of this book.T h i s will explain why so many matters are discussed in that chapterw h i c h have little or no connexion either with " Incense an d Libations"o r with "The Evolution of the Dragon".

    Th e study of the development of the belief in water's life-givingTh e Influence of Ancient Egyptian Civilisation in the Eas t an d inAmerica," Bulletin oftheJohn R'viands Library, J anuary-March, 1916.

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    VI PREFACEat trib utes, an d their personification in the gods Osiris, Ea, Soma[Haoma] and Varuna, prepared the wa y fo r the elucidation of th ehisto ry of " Dragons an d Rain Gods" in m y next lecture (Chapter II).What played a large part in directing my thoughts dragon-wards wa sthe discussion of certain representations of the Indian Elephant up onPrecolum bi an monuments in , an d manuscripts fr om , Central America(Nature, 25 Nov., 1915; 16 De c., 191 5 ; an d 27 Jan., 19 16).For in the course of investigating the meaning of these remarkable desig ns I discovered that the Elephant-headed rain-go d of America hadattributes identical with those of the In dian Indra (and of Varuna an dSoma) an d the Chinese dragon. The inv estigation of these identitiesestablished the fact that the American rain-g od was transmitted acrossthe Pacific from Ind ia via Ca mbodia.

    The in tensive study of dra go ns impressed up on me the importanceof the part played by the Great Mo ther, especially in he r Ba bylonianavatar & Tamat, in the evo lution of the fam ou s wonder-beast. Underthe stimulus of Dr. Rendel Harris's Rylands Le cture on " The Cultof Aphrodite," I therefore devoted my nex t address (14 Novemb er,1917) to the " Birth of Aphrodite" and a general discussion of theproblems of Olympian obstetrics.

    Each of these addresses was delivered as an informal demonstrationof large series of lantern projections ; and, as Mr. Guppy insisted upo nthe publication of the lectures in the Bulletin, it became necessary, as arule, many months after the de liv ery of each address , to rearrange my ma teri al an d put into the form of a written narrative the story whichha d previously been told mainly by pictures an d verbal comments uponthem.

    In making these elaborations additiona l facts were added and ne wpoints of view em erged, so that the printed statements bear little resemblance to the lec tures of which they pretend to be repo rts. Suchtransformations ar e inevitable when on e attempt s to mak e a written report of what was essential ly an ocular demonstration, unless eve ry on eof the num erous pictures is reproduced.

    Each of the first two lectures wa s printed before the succeedin glecture wa s set up in typ e. For these reason s there is a go od deal of

    PR EFACE vutition , and in successive lectures a wider interpretatio n of evidence

    nt ioned in the preceding addresses. Had it been possible to revise, boo k at on e time, and if the pressure of other duties had

    rtnitted me to devote more tim e to thework, these blemishes mightU ye been eliminated and a coheren t story made out of what is little

    re tha n a collection of data and tags of co mment. No on e is mor eonscious than the writer of the ina dequacy of this m etho d of present-

    an argument of such inherent complexity as the dragon story : but obligation to the Rylands Library ga ve me no option in the matter :I ha d to attempt the difficult task in spite of all the un propitious ci rcums t a n c e s . This book mu f be regarded, then, not as a coherent arg um e n t, bu t merely as some of the raw material for the study of thedragon's history. In my lecture (13 November, 1918) on "TheMeaning of Myths," which will be published in the Bulletin of thehim RylandsLibrary, \ have expounded the ge nera l conclusions thate m e rg e from the stu dies embodied in these three lec tures ; an d in m yforthcoming bo ok, "The Story of the Flood," I ha ve submitted thew h o l e mass of evidence to examination in detail, and attempted to ext r a c t from it the real stor y of mankind's age-long se arc h fo r the elixiro f l i f e .

    In th e ear liest records from Egypt and Babylonia it is customary toportray a king's beneficence by representing h im initiating irrigationw o r k s . In course of time he came to be regarded, no t merely as theg i v e r of the water which made the desert fer tile, bu t as h imself thepersonification and the giver of the vit al powers of water. The fertilityo f th e land and the welfare of the people thus came to be regarded asdependent upon the king's vitality. Hence it wa s no t illogi cal to killh im w h en h is virility showed signs of failing and so imperilled thecoun try's prosperity. But when the view dev eloped that the deadk i n g acquired a new grant of vitality in the other world he became theg o d Os ir is, who wa s able to confer even greate r boons of life-givi ngto th e land and pe ople than was the case before. He was the Nile,a n d h e fertilized the la nd. The original dragon wa s a beneficentcreature, the personification of water, and wa s identified with kings an dg o d s .

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    vm PREFACE PREFACE IX\ :

    Bu t the enem y of Osiris became an evil dragon, and wa s identifiedwith Se t.

    The dragon-myth , howeve r, did not really begin to develop untilan ageing king refused to be slain, and called upon the Great M other,as the giver of life, to rejuvenate him. Heronly elixir wa s humanblood ; an d to ob tain it she was compelled to make a hu m an sacrif ice.Her murderous act led to he r being compared with and ult imatelyidentifie d with a m an- slaying lione ss or a cob ra. The story of theslaying of thedragon is a m uc h distorted rumour of this incident; an din the process of elaboration the incidents were su bjected to ev ery kindof interpretatio n an d "also confusion with the leg endary accoun t of the conflic t be tween Horus and Set.

    When a substitute wa s ob tained to replace the blood the sla ying ofa human victim wa s no longer logically necessary : bu t an explanatio nhad to be found for the persistence of thi s incident in thestory. Manki nd (n o longer a m ere individual hu m an sac rifice) had become sinfuland rebellious (the act of rebellion being complaints that the king orgod was growing old ) an d had to be de stroye d as a punishment forthis treason. The Great Mother co ntinued to ac t as the av enger ofthe king or go d. Bu t the enemies of the god we re also punished byHorus in the legend of Horusan d Se t. The tw o stories hence becam e confused the one with the other. The king Horus took theplace of the Great Motheras the avenger of the gods. As she wa side ntified with the m oon, he be came the Sun-god, an d assum ed m any of the Great Mother's attribut es , an d also became he r so n. In thefu rther developm en t of the myth, whe n the Su n-g od had completelyus urped his m other's place, the infam y of her deeds of destruction seems to ha ve led to her being confuse d with the reb ellious m en whow er e now ca lled the fo llowers of Set, Horus's enemy. Thus an evildragon emerged fro m this blend of the attrib utes of the Great Mo therand Set. This is the Babylonian Tiamat. From the amazingly co m plex jum ble of this tissue of confusion all the incidents of the dragon-m yth were de rived.

    When att ributes of the Water-god or his enemy becam e as similated with those of the Great Mother an d the Warrior Sun-god, th e

    animals with which th ese deities w er e identified came to be regardedjjv idu ally and col lec tively as concrete ex pres sions of theWater-god's

    powers. Thus the cow an d the gaz elle, the fa lcon and the eagle, thel i o n an d the se rpe nt, the fish and the crocodile becam e symbols of thelj f e .giving and the life-destroying powers of w ater, an d composi temonsters or dragons wer e invented by combining parts of these variouscreature s to express the different m anifestations of the vital po wer s ofwate r . The process of elaboration of the attributes of thes e m on stersle d to the development of an am azingly co m plex myth : bu t the sto rybecame still further involved wh en the dragon's life-controlling powersbecame confu sed with man's vital spirit an d identified wi th the good ore v il genius wh ic h was regarded as the guest, we lcome or un welcome,o f every individual's body, an d the arbiter of his des tiny. In m yre marks on the ka and D K fravashi I have merely hi nted at the va stcomplexity of these ele ments of conf usion.

    Had I be en familiar wi th [Archbisho p] Soderblom's importantmonograp h, 1 when I was writing Chapters I an d III, I m ight have attemp ted to indicate how vital a part the confusion of the ind ividualgenius with the mythical wonder-b east has playe d in the history ofth e myths relating to the latter. For the identification of the dragonw i t h the vital sp irit of the individual explains why the stories of thefo rmer appealed to the se lfish interest of every hum an being. At thet i m e the lecture on " In cense and Libations" wa s wr itten, I had noid e a that the problems of the ka and tne fravashi had an y connexionw i t h those relating to the dragon. But in the third chapter a quotat i o n fr om Professo r Langdon's account of "A Ritual of Atonementfo r a Ba bylonian King" indicates that the Babylonian equivalent ofth e ka and thefavashi, " m y go d who walks at m y side," pr esentsmany points of affinity to a dr agon.

    When in the lecture on "Incense an d Libations" 1 ventured tom a k e the darin g suggestion that the ideas underly ing the Egyptian conception of the ka wer e substanti ally identical wi th those en tertained by

    1 Nathan So d erblom, " Le s Fravashis Etude su r les Traces dans leMazdeism e d'une Ancienne Conception sur la Su rvivanc e des Mo rls " Paris,1 8 9 9 .

    1

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    X PREFACEthe Iranians in reference to thefavashi, I was not aware of the factthat such a comparison had already been m ade. In [Archbishop]Soderblom's m onograph, which contains a wealth of inform ation incorroboration of the views set forth in Chapter I, the following sta tement occurs : " L'analyse, faitepar M. Brede-Kristensen (/gyptei-nesforestillinger om livet efter do den, \ 4 ss . Kristiania, 1896) du kaegyptien, jette un e vive lumiere sur notre question, par la frappanteanalogic qui semble exister entre le sens originaire de ces deux termeska etfavashi" (p. 58, note 4). " La similitude entre le kaet lafravashi a etc signalee deja par Nestor Lhote, Lettres SoritesdEgypte, note, selon M aspero, Etudes de mythologie et d'arckdo-logie dgyptiennes, I , 47, note 3."

    In support of the view, which I have su bm itted in Chapter I, thatthe original ideaoffitfravashi, like that of the ka, was suggested bythe placenta and the fo etal membranes, I m ight refer to the specificstatement (Farvardin-Yasht. XXIII, I) that "les fravashis tiennent enordre 1'enfant dans le sein de sa mere et 1'enveloppent de sorte qu'il nem eurt pas" (pp. cit., Soderblom, p. 41, note I). Thefavashi" nourishes and protects" (p. 57) : it is "the nurse" (p . 58) : it isalways feminine (p . 58). It is in fact the placenta, and is also associated with the functions of the Great Mother. " Nous voyons dansfravashi une personification de la force vitale, conservee et exercee aussiapres la m ort. La fravashi est le principe de vie, la faculte qu'a1'hom me de se soutenir par la nourriture, de m anger, d'absorber etainsi d'exister et de se de velopper. Cette etymologic et le role attributea la fravashi dans le developpem en t de 1'embryon, des animaux, desplantes rappellent en quelque sorte, com me le remarque M. Foucher,1'idee directrice de Claude Bernard. Se ulement la fravashi n'a jamaisetc une abstraction. La fravashi est une puissance vivante, unhoimtnculus in homine, un etre personnifie comme du reste toutes le ssources de vie et de mouvement qu e I'homme non civilise aperc.oit dansson orgamsm e.

    II ne faut pas no n plus considerer la fravashi comme un doublede 1'homme, elle en est plutot une partie, un hote intime qu i continue son existence apres la mort au x me m es con ditions qu'avant, et

    PREFACE xu i oblige le s vivants a lui fournir les aliments necessaires" (pp . cit.,

    P - 5 9 > -Thus thefavashi h as the same remarkable associations withnourishment and placental fu nctions as the ka. As a further suggestiono f its connexion with the Great Mother as the in augurator of the year,an d in virtue of her physiological (uterine) functions the moon-controlledmeasurer of the m onth, it is im portant to note that " Le I9e jour dechaque mois est egalement consecre au x fravashis en general. Lepremie r mois porte aussi le no m de Farvardin . Quant au x formes de sf e t e s mensuelles, elles semblent conformes a celles qu e nous allonsra ppeler [les fetes celebrees en 1'honneur de s mortes]" (pp. cit., p 10).

    Bu t thefavashi was not only associated with the Great Mother,b u t also with the Water-god or Good Dragon, fo r it controlled thewaters of irrigation an d gave fertility to the soil (pp. cit., p 36). Thefravashi was also identified with the third member of the primitiveTrinity, the Warrior Sun-god, no t merely in the general sense as theadversary of the powers of evil, but also in the more definite form ofth e Winged Disk (pp. cit., pp. 67 and 68).

    In all thes e res pects thefavashi is brought into close associationwith the dragon, so that in addition to being " the divine and immortalelement" (pp. cit., p 51), it becam e the genius or spirit that possessesa m an an d shapes his conduct and regulates his behaviour. It wa s inf a c t the ex pression of a crude attempt on the part of the early psychol o g i s t s of Iran to explain the working of the instinct of self-preservation.

    In the tex t of Chapters I and III I have ref erred to the Greek,Babylonian, Chinese, and Melanesian variants of essentially the sameconception. Soderblom refers to an interesting parallel among theKarens, whose kelah corresponds to the Iranian favashi (p. 54,Note 2 : compare also A. E. Cr awley, " The Idea of the Soul,"1909) .

    In the development of the dr agon-myth astronomical factors playeda very ob trusive part: bu t I havedeliberately refrained from enteringinto a detailed discussion of them, because they were not pr imarily thereal causal agents in the origin of the m yth. When the conception ofa sky-world or a he aven becam e drawn into the dragon story it ca m e

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    xu PR EFACEto play so prominent a part as to convince most writers that the my thwa s primarily an d ess entially astronomical. Bu t it is clear that origin-ally the myth wa s concerned solely with the regulation of irrigationsystems and the search upo n earth for an elixi r of life.

    When I put forward the sugges tio n that the annual inundation ofthe Nile pro vided the information fo r the first me asurement of the ye ar,I was not aw ar e of the fact that Si r N orman Lockyer ("The Dawnof Astro nomy," 1894, p. 209), had already m ade the same claim andsubstantiated it by much fuller evi denc e than I have br ought togetherhere.

    In pr eparing these lectures I have rec eived help from so large anumber of correspondents that it is difficult to enumerate all of them.But I am under a special deb t of gratitude to Dr . Alan Ga rdiner forcalling my attention to the fac t that the common ren dering of th eEgyptian word didi a s " mandrake" wa s unjustifiable, and to Mr.F. LI . Griffith for explaining its true mean ing and fo r lending me theliterature relating to this matter. Miss Winifred M. Crompton, th eAssistant Keeper of the Egyptian Department in the ManchesterMu seum, gave me very material assistance by bringing to my attentionsome very important literature which otherwise wo uld have been over looked ; and bot h she and Miss Dorothy Da vison helped me wi th th edrawing s that illustrate this volume. Mr. Wilfrid Ja cks on gave memuch of theinformation concerning sh ells and cephalopods which formssuch an essential part of the argument, an d he also collected a go oddeal of the literatur e which I have m ad e use of. D r. A.C. Haddon,F.R.S., of Cambridge, lent me a number of books and journals whichI wa s unab le to obtain in Manchester ; an d M r. Donald A. Macke n zie, of Edinburgh , ha s poured in upon me a stream of information,especially upo n the folklore of Scotland and India. Nor must I forgetto ack nowledge the in valuable help and forbearance of Mr. HenryGuppy, of the John Rylands Li brary, and Mr. Charles W. E. Leigh,of the University Library. To all of these and to the still largernumber of correspondents who ha ve helped me I of fer my m os t grateful thanks.

    During the three years in which thes e lectures were compiled 1

    PR EFACE Xlllhave been associated with Dr . W. H. R. Rivers, F.R.S., an d Mr.fH. Pea"" m ^'r psychological work in the military hospitals, an dth e in fluence of th is interesting experience is manifest upon every pageO f this volume.

    Bu t pe rhaps the most potent factor of all in sh aping my views anddirecting my train of tho ught ha s be en the stimulating influence of Mr.. J. Perry's researches, which are converting ethnology into a real

    s c i e n c e and sh edding a brilliant light upon the ea rly history of civilizat i o n . G . ELLIOT SMITH.

    9 December, 1 918.

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    CONTENTS.

    CHAPTER I.INCENS E AND LIBATIONS

    CHAPTER II.DRAGONS AN D RAIN GODS

    CHAPTER III .

    PAGE1

    76

    TH E BIRTH OF APHRODITE..........40

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    FACING P ACK

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    XIX

    FACING PAGE

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    XX

    Fig. 6. (a) Picture of a bowl of water the hieroglyphic sign equivalent to h m(the word h mt means "woman"Griffith, " Beni Hasan," Part III, PlateVI, Fig. 88 and p. 29). ( b) " A basket of sycamore figs" Wilkinson's"Ancient Egyptians," Vol. I, p. 323. (c ) and (d) are said by Wilkinson to behieroglyphic signs meaning "wife" an d are apparently taken from (b). B ut(c) is identical with (i),which, according to Gr iffith (p. 14), represents abivalveshell (g, from Plate III, Fig.3), moreusually place d obliquely (h). The varying conventionalizations of (a) o r ( b) are shown in (d), (e), and (/) (Griffi th," Hieroglyphics," p. 34). (k) The sign for a lotus leaf, which is a phoneticequivalent of the sign (h), and , according to Gr iffith (" Hieroglyphics,"p. 26) ," is probably derived from the same root, on account of its shell-like outline ".(I ) The hieroglyphic sign for a pot of water in such words as Nu and Nut.(m) A " pomegranate " (replacing a bust of Tanit) up on a sacred column at Carthage (Arthur J. Evans, " Mycenzean Tree and Pillar Cult," p. 46). ()The form of the body of an octopus as conventionalized on the coins ofCentral Greece (compare Fig. 24 (d))......

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    Th e dra gon was primarily a personification of the life-giving and life-destroying powers of -w at er . This chapter is concer ned with thegenesis ofthis biological theoryof waterand its relationship to theoth er germs ofcivilisation.

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    f 2 THEEVOLUTION OFTHE DRAGON

    ncyc lo pa edia ofReligioti andEthics.* S

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    I t t l Lf f l m r

    4 THE EVOLUTION OF THE DRAGON

    I

    r ^

    t seq.n the Proceedings of the British Academv, 1 917,

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    8 THE EVOLUTION OF THE DRAGON

    i

    he Bulletin of theJohn Rylands Library, Jssaysand Studies Presented to William Ridgeway, C

    ournal of the Manchester Egyptianand Oriental Society , 1

    I j f lHMUMN

    7.oiirnal of Egyptian Archeology, V

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    M

    lit

    rima-facie e

    ro c. Brit. Academy, 1p. tit. supra ; acience, N1 I h

    f. cit. su pra.

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    1 4 1 5I a

    $) t

    emoirs and Proc. Manch. Lit. and Phil. Soc.p. tit. supra.

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    1 6 THE EVOLUTION OFTHE DRAGON

    a

    eport British Association, 1

    ro ^RoyalPhilosophical Society ofGlasgow, 1fournal of Egyptian Archaeology, VXXXI.

    ournal of Egyptian Archaeology, V

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    C KO 0,

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    Encyclop&dia ofReligion and Ethics." SReport ofthe British Associationfor 1

    pp. tit.

    ' tcitsckriftfiii- Agvptische Sprache und Altertuniskunde, B

    '' M

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    I

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    ournal ofEgyptian Archeology, Vead k

    rima facie e

    op . cit. infra).

    ankh, "ins) a

    s, '

    he Journal of Egyptian Archeology, V

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    I

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    j, "

    ournal of he Royal Anthropo- \logical Institute, 1

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    nter alia, tImnfi). C

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    p *

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    p. cit . p

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    itualofAmon] aop . at.

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    hen o

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    f. ci t. C nter alia).

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    ou rage ireath of life, t

    \ L T T O \ J J V ^ L O ) . I

    a? t enius, a

    roceedings of he British Academy, Va, h

    p. at. p* Op . at. p Ibid. p

    op . cit.).

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    w

    pp . tit. C

    c

    p. cit. p

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    p. t

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    154

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    it., p

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    ).

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    t., p 1 " E

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    THE EVOLUTION OF THE DRAGON

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    nter a' B

    f > p . c

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    a*

    ncxtenso.

    et

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    et.

    et.

    et.

    F A

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    et.

    et.

    et. (Shortly.)

    et.