copyright 2016, megan poppe

Elements of Sonata Form in Ten Movements from Beethoven's "Razumovsky" String Quartets, Op. 59

by

Megan Poppe, BM, MM

A Thesis

In

Music Theory

Submitted to the Graduate Faculty of Texas Tech University in

Partial Fulfillment of the Requirements for

the Degree of

MASTER OF MUSIC

Approved by

Dr. Matthew Santa Committee Chair

Dr. David Forrest

Dr. Peter Martens

Mark Sheridan

Dean of the Graduate School

August, 2016

Texas Tech University, Megan Poppe, August 2016

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ACKNOWLEDGMENTS

I would like to thank my family for their support and Dr. Matthew Santa for advising

me through this thesis and guiding me to be a better musician. I would also like to thank Dr.

David Forrest and Dr. Peter Martens for serving on my thesis defense committee and Dr.

John Gilbert for inspiring me to be a better violinist.


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TABLE OF CONTENTS ACKNOWLEDGEMENTS..................................................................................ii

ABSTRACT...........................................................................................................iv

LIST OF FIGURES...............................................................................................v

I. Earlier Analytic Approaches to the Op. 59 Quartets......................................1 A. Survey of the Literature.......................................................................3 B. Elements of Sonata Theory..................................................................8 II. Type 3 Sonata Movements in Op. 59............................................................12

A. Op. 59, No. 1, First Movement..........................................................12

B. Op. 59, No. 1, Third Movement........................................................16

C. Op. 59, No. 2, Second Movement......................................................20

D. Op. 59, No. 3, Fourth Movement......................................................23

III. Types 3 Movements with a Blurred Boundary Between the Development

and the Recapitulation..................................................................................27

A. Op. 59, No. 1, Fourth Movement......................................................27

B. Op. 59, No. 2, First Movement..........................................................30

C. Op. 59, No. 3, First Movement..........................................................34

IV. Op. 59, No. 1, Second Movement................................................................38

V. Op. 59, No. 2, Fourth Movement..................................................................54

VI. Op. 59, No. 3, Second Movement................................................................59

A. In Conclusion.....................................................................................63

BIBLIOGRAPHY..............................................................................................66


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ABSTRACT

Ten of the twelve movements from Ludwig van Beethoven’s Op. 59 set of three

string quartets are in some type of sonata form. This thesis adds to the study of Beethoven’s

Razumovsky String Quartets by analyzing the ten sonata form movements within the

typology proposed by James Hepokoski and Warren Darcy in their 2006 book Elements of

Sonata Theory. Of the literature on sonata forms in the Op. 59 quartets reviewed in this

thesis, there is only one article that was written after the typology of Hepokoski and Darcy

was published. This thesis aims to add to the existing research by examining the quartets

through the newer lens of the Hepokoski/Darcy typology.


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LIST OF FIGURES 1.1 A proto-typical Type 1 sonata form...............................................................................9

1.2 A proto-typical Type 2 sonata form...............................................................................9

1.3 A proto-typical Type 3 sonata form.............................................................................10

1.4 A proto-typical Type 4 sonata form.............................................................................11

2.1 Formal layout of Op. 59/1, I........................................................................................13

2.2 Order of Keys in Op.59/1, I, Development.................................................................15

2.3 Formal layout of Op. 59/1, III.....................................................................................17

2.4 Order of Keys in Op. 59/1, III, Development.............................................................18

2.5 Formal layout of Op. 59/2, II......................................................................................20

2.6 Order of Keys in Op. 59/2, II, Development..............................................................21

2.7 Formal layout of Op. 59/3, IV....................................................................................23

2.8 Order of Keys in Op.59/3, IV, Development.............................................................25

3.1 Formal layout of Op. 59/1, IV....................................................................................27

3.2 Order of Keys in Op. 59/1, IV, Development............................................................29

3.3 Formal layout of Op. 59/2, I.......................................................................................31

3.4 Order of Keys in Op. 59/2, I, Development...............................................................33

3.5 Formal layout of Op. 59/3, I.......................................................................................34

3.6 Order of Keys in Op. 59/3, I, Development...............................................................36

4.1 Formal layout of Op. 59/1, II.....................................................................................38

4.2 Order of Keys in Op. 59/1, II, Development..............................................................42

4.3 Lewis Lockwood, Hypothesis 1.................................................................................45

4.4 Lewis Lockwood, Hypothesis 2.................................................................................46


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4.5 Kerman’s interpretation (Lockwood’s Hypothesis 3)...............................................47

4.6 Headlam’s interpretation, (Lockwood’s Hypothesis 4)............................................47

4.7 Jonathan Del Mar’s formal hypothesis.....................................................................48

4.8 Barbara Barry’s formal layout..................................................................................48

4.9 Mark Richard’s Formal Layout................................................................................50

4.10 Beginning of the three parts to the primary theme (P1, P2 and P3).........................51

5.1 Type 2 vs. Type 4 Sonata Forms and Formal layout of Op. 59/2, IV......................54

5.2 Order of Keys in Op. 59/2, IV, Development..........................................................57

6.1 Formal Layout of Op. 59/3, II ..................................................................................59

6.2 Order of Keys in Op. 59/3, II, Development............................................................61


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CHAPTER 1

EARLIER ANALYTIC APPROACHES TO THE OP. 59 QUARTETS

Beethoven’s three Opus 59 string quartets contain ten movements that can be

structurally defined as in some type of sonata form. This thesis will explore how the sonata

form movements of these quartets can be understood within the spectrum of recent

scholarship related to musical forms. The sonata form typology proposed by James

Hepokoski and Warren Darcy provides a way to generally categorize a movement in sonata

form. The level at which these ten movements fit into the models of Hepokoski/Darcy

differs from slight to significant variation from the models. This analysis will examine the

Beethoven’s “Razumovsky” string quartets though the lens of Hepokoski/Darcy’s sonata

form typology and respond to the literature published before the creation of this typology.

Seven of the ten sonata form movements in Op. 59 are what Hepokoski/Darcy would

categorize as a Type 3 sonata form. Four of these seven Type 3 movements, found in

Chapter Two, fit the best within the model provided by Hepokoski and Darcy. They only

break away from the standard expectations in their formal construction slightly. The

remaining three Type 3 movements, found in Chapter Three, have blurred boundaries

between their development and recapitulation sections, which is a considerably larger break

from standard expectations. The three movements that are not Type 3 sonata forms vary the

most in their formal construction and in some cases can be understood as a cross between

two different sonata form types. The Op. 59 string quartets only contain three of the five

types described by Hepokoski/Darcy and these include Type 2, Type, 3 and Type 4.


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The collection of the three string quartets in Opus 59 was written in 1806 during

Beethoven’s middle compositional period and is often referred to as “The Razumovsky

Quartets.” These quartets were dedicated to the Russian Ambassador in Vienna, Count

Andrey Razumovsky, who commissioned them. Beethoven employs newer compositional

techniques in these quartets including the use of well-known Russian folk melodies, which he

sets as primary themes in the first two quartets.

Beethoven’s second compositional period from ca. 1802-1814, which includes the

Opus 59 quartets, is marked by experimentation in his musical compositions. Beethoven

retained many aspects of his earlier compositional voice in his second period, but he began to

experiment with his approach to musical forms and to the proportions of those forms. He

modified forms in ways that put many of his pieces ahead of their time. For example, some

of his movements are extremely long, like those in his Third Symphony in Eb Major, the

“Eroica.” Another example would be the Pathétique Piano Sonata in which Beethoven

altered the first movement’s sonata form by bringing back the slow introduction after the

exposition to introduce both the development and the recapitulation. Unfortunately,

Beethoven began struggling physically from hearing loss during this period. This affliction

took a huge toll on him emotionally. Having to endure this physical disability threatened his

musical ability and was something that severely affected his life. Many of the works

composed by Beethoven during this second compositional period and later experiment with

traditional formal structures. Such experimentation can be found everywhere in his

Razumovsky Quartets, and this thesis will focus on his experiments with sonata form therein.


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Survey of the Literature

There has already been a great deal written on Beethoven’s string quartets, as well as

on his middle period in general. All but one of the written works referenced in this thesis

were published before James Hepokoski and Warren Darcy’s sonata form typology. The

article written after the publication of Elements of Sonata Theory presents models that

resemble Hepokoski and Darcy’s typology but the article only refers to one movement from

the “Razumovsky” set. This thesis takes the information presented by these authors and

applies it the information given by Hepokoski and Darcy. This melding of information as

well as new analysis presents a new way of understanding the formal structure of these string

quartets. The first comprehensive treatment of the quartets is Joseph Kerman’s The

Beethoven Quartets, which traces the development of Beethoven’s compositional style by

using examples from multiple string quartets.1 Kerman’s book contains the most information

on the “Razumovsky” set as a whole and provides a wide range of general information that

was used in analyzing these pieces. Kerman’s book is divided into three parts. The first part

includes the chapters “Beethoven in 1798,” “Technique and Expression” and “Disruption”

with examples from Beethoven’s String Quartets, Op. 18, Nos. 1-6. The second part includes

the chapters “After the Eroica,” “The ‘Razumovsky’ Quartets” and “The Quartets of 1809-

10” and he uses examples from Beethoven’s String Quartets Op. 59, Nos. 1-3 as well as his

String Quartets Op. 74 and Op. 95. The third part includes the chapters “Voice,” “Contrast,”

“Fugue,” “Dissociation and Integration” and “Beethoven in 1826.” Kerman uses many

examples from many of the string quartets composed by Beethoven to show how

Beethoven’s compositional style evolved during his lifetime.

1 Joseph Kerman, The Beethoven Quartets, New York: Alfred A Knopf Inc., 1966.


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Charles Rosen discusses Beethoven in the last part of his book The Classical Style:

Haydn, Mozart, Beethoven.2 Rosen presents a chronological view of Beethoven’s composing

style and references movements from the “Razumovsky” set as examples of Beethoven’s

evolving composition style. Like Kerman, the information used from Rosen’s book for this

thesis was general in nature. Rosen breaks his discussion of Beethoven into two sections.

The first is simply entitled “Beethoven” and it discusses Beethoven’s style after the Classical

period using examples from pieces such as the Eroica Symphony and the Hammerklavier.

The second part is entitled “Beethoven’s Later Years and the Conventions of His

Childhood.” In this part, Rosen discusses Beethoven’s style in his later years and relates his

style to that of Haydn and Mozart. Rosen discusses Op. 59 No. 1 when referencing the order

of movements in a string quartet. Putting the minuet movement before the slow movement in

a string quartet “throws expressive weight of a quartet or quintet towards its latter half.”3

This is a compositional technique that Haydn and Mozart used in a great number of their

chamber compositions. Rosen also discusses Beethoven’s use of the fugue in the last

movement of Op. 59 No. 3 and states, “In the early 1800s, he mastered the technique of the

late eighteenth-century concert fugue.”4

Leonard Ratner examines sonata form in Chapter Thirteen of his book Classic Music:

Expression, Form, and Style.5 Ratner presents a wide array of topics in his book but his

section on sonata form was referenced most in this thesis. Ratner provides the general

expectations of sonata form as well as some history of the sonata form. Ratner discusses

2 Charles Rosen, The Classical Style Haydn, Mozart, Beethoven. New York: W. W. Norton & Company, 1997. 3 Charles Rosen, The Classical Style Haydn, Mozart, Beethoven. New York: W. W. Norton & Company, 1997: 280. 4 Ibid., 502. 5 Leonard G. Ratner, “Sonata Form.” In Classic Music: Expression, Form and Style, 217-247. New York: Schirmer Books, 1980.


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several topics in this chapter which is broken down into the following sections: “The

Harmonic Plan; The Key-Area Form,” “Distribution of Melodic Material,” “Two-Part Versus

Three-Part Division,” “The Exposition,” “Development, Recapitulation, Coda,” “Historical

Perspectives” and “Analyses.” Ratner references the work of Augustus Frederic Christopher

Kollmann, Heinrich Christoph Koch, Johann Gottlieb Portmann, Georg Simon Lohlein,

Jerome-Joseph de Momigny, Francesco Galeazzi and Anton Reicha throughout the chapter

and uses multiple music examples from Haydn, Mozart and Beethoven.

In addition to books on the Razumovsky quartets, on Beethoven’s middle period, and

on the music of the classical period in general, there have also been a number of articles and

book chapters focusing on movements from the Op. 59 quartets in particular. Webster’s

chapter influenced this thesis in a very general way because he outlines some of the

compositional techniques used in Beethoven’s “Razumovsky” string quartets. “Traditional

Elements in Beethoven’s Middle-Period String Quartets” by James Webster discusses

Beethoven’s string quartets from his middle compositional period.6 Webster discusses

Beethoven’s change in compositional style, which later characterized his middle-period

compositions. These compositions, which include the Razumovsky String Quartets, are

known for being “unprecedented in size, power and excessive force”7 due to Beethoven

losing his hearing. Webster continues by discussing movements from the Razumovsky

String Quartets and provides musical examples throughout. Webster compares the

Beethoven movements to movements from string quartets by Haydn and Mozart to show

Beethoven’s new compositional style.

6 James Webster, “Traditional Elements in Beethoven’s Middle-Period String Quartets.” In Beethoven, Performers, and Critics, 94-133. Detroit: Wayne State University Press, 1980. 7 Ibid., 94 from Lewis Lockwood, “Eroica Perspectives: Strategy and Design in the First Movement”


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The form of the the scherzo movement of Beethoven’s String Quartet Op. 59, No. 1,

has been a subject of particular interest, and there are five articles or book chapters devoted

solely to that topic. The two articles that had the greatest impact on this thesis are Lewis

Lockwood’s “Eroica Perspectives: Strategy and Design in the First Movement” and Dave

Headlam’s “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s

Quartet Op. 59, No. 1.” Lockwood’s article has a wide variety of hypotheses on the formal

structure of the scherzo movement from Op. 59 while Headlam’s article provides an in depth

discussion on the rhythm presented in the primary theme. This thesis considers the rhythm at

the beginning of the movement, which Headlam refers to as the “principal rhythm” to be a

part of the primary theme and not introductory material. The first to be published, “A

Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59,

No. 1,” written by Dave Headlam, discusses an “extremely characteristic rhythm” in the

scherzo movement of Beethoven’s String Quartet Op. 59, No. 1.8 Headlam introduces a

“principal rhythm” and discusses how “a phrase is both a tonal unit and a rhythmic unit.”

Headlam presents a rhythmic reduction of the exposition as well as a table laying out the

hypermetrical groupings.

In the second article published on this same movement “A Problem of Form: The

“Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1,” Lewis Lockwood

discusses the larger form of the scherzo from Beethoven’s String Quartet Op. 59, No.1.9

Lockwood states that this movement “holds a special place among Beethoven’s ‘scherzo’ or

‘minuet’ movements in cyclic works by virtue of its great length, profusion of material and

8 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138. 9 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.


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development, and unusual formal structure.”10 Lockwood presents several different

hypotheses on where the formal sections begin and end, as well as provides a useful review

of the literature on the movement.

The third study is Jonathan Del Mar’s article “A Problem Resolved? The Form of the

Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1”.11 Del Mar discusses

Lockwood’s four “formal hypotheses” and presents a new fifth hypothesis of his own. He

presents two tables that show the breakdown of the formal sections of the movement

according to Del Mar’s new fifth hypothesis. The article concludes with a supporting

statement from Lewis Lockwood concerning Del Mar’s article.

In the fourth study to be published, Barbara R. Barry writes about the form of the

scherzo movement from Op. 59, No. 1 in her chapter entitled “Dialectical Structure in

Action: the Scherzo of Beethoven’s F Major Razoumovsky Quartet Reconsidered.”12 Barry

discusses the shift from minuet to scherzo movements in music history and how Beethoven

dealt with this change. Barry continues by discussing the large design of Op. 59, No.1 and

how “each movement is either a sonata design or is strongly infused with sonata

characteristics.”13 When discussing the scherzo movement in more detail, Barry notes the key

of the movement as well as its use of what she considers to be a double exposition, and

provides multiple musical examples detailing the large-scale form of the movement. Barry

talks about the themes from the double exposition and how they have significant variants.

Barry also discusses the recapitulation and which themes from the exposition come back.

10 Ibid., 85. 11 Jonathan Del Mar, “A Problem Resolved? The Form of the Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1.” The Beethoven Forum 8 (2000): 165-172. 12 Barbara R. Barry, “Dialectical Structure in Action: the Scherzo of Beethoven’s F Major Razoumovsky Reconsidered.” In The Philosopher’s Stone Essays in the Transformation of Musical Structure, 18-31. New York: Pendragon Press, 2000. 13 Ibid., 18 from Erwin Ratz, Einfuhrung in die musikalische Formlehre (Vienna: Universal, 1973): 181-96


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Finally, Mark Richards discusses the scherzo movement from Beethoven’s String

Quartet Op. 59, No. 1 in his article “Transforming Form: The Process of Becoming in the

Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.”14 Richards’ article is divided into

four parts: “The Two Main Approaches to the Scherzo’s Form,” “The ‘Missing Melody’ of

the Scherzo,” “Schmalfeldt’s ‘Process of Becoming’ ” and “The Becoming of Form in the

Scherzo.” Richards references Lewis Lockwood’s hypotheses in his article and presents his

own views on the formal structure of this movement. He argues that the movement could be

a cross between sonata-rondo and sonata forms although neither have fully explain the

structure of the movement. Richard’s views are very relevant to this thesis in that this

movement is very unique in its formal structure and that one type of formal design does not

fully explain its construction.

Elements of Sonata Theory

James Hepokoski and Warren Darcy, in Elements of Sonata Theory, describe five

types of sonata form. The first type is described as “those that contain only an exposition,

and a recapitulation, with no link or only a minimal link between them.”15 Figure 1.1

illustrates a proto-typical Type 1 sonata form. Since this type of sonata form lacks a proper

development section, the movement transitions from the exposition to the recapitulation with

no material or very little material in-between them. This lack of inner development material

usually results in a movement without repeats.

14 Mark Richards, “Transforming Form: The Process of Becoming in the Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.” Indiana Theory Review Vol. 30, No. 1 (Spring 2012): 75-102. 15 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.


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Rotation 1 Rotation 2 Exposition Recapitulation

P TR ’ S /C P TR ’ S /C

I V I I

*usually without repeats

Figure 1.1. A proto-typical Type 1 sonata form16

Hepokoski and Darcy describe the second type of sonata form as “those ‘binary’ (or

‘binary variant’) structures in which what others have called the ‘recapitulation’ begins not

with the onset of the primary theme (P) but substantially after that point, most commonly at

or around the secondary theme (S).”17 Figure 1.2 illustrates a proto-typical Type 2 sonata

form. Type 2 sonatas are similar to Type 1 sonatas in that they both contain an exposition

and recapitulate that same thematic material at the end. While they are similar, Type 2

sonatas differ from Type 1s in that they contain a development section. Type 2 sonatas may

or may not contain repeats.

Rotation 1 Rotation 2 (Not-Sonata-Space) Exposition Development Tonal Resolution Coda (optional)

P TR ’ S /C P ! TR ! ’ S /C

I V V? modulatory [Va] || I I

(Episode substitutions (If this section is provided, for P are possible) it typically begins with P)

Figure 1.2. A proto-typical Type 2 sonata form

16 P = primary theme; TR = transition section; S = secondary theme; C = closing theme 17 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.


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Type 3 sonata forms are the most frequently encountered of the five types.

Hepokoski and Darcy describe these as “the standard ‘textbook’ structures, with expositions,

developments, and recapitulations that normally begin with P in the tonic.”18 Figure 1.3

illustrates a proto-typical Type 3 sonata form.

Rotation 1 Rotation 2 (Not-Sonata-Space) Exposition Development Recapitulation Coda (optional)


I V modulatory I I I


The fourth type of sonata form discussed by Hepokoski and Darcy encompasses all

the different forms of the sonata-rondo. Hepokoski and Darcy state that the rondo theme that

begins an exposition usually concludes with an “energy-gaining transition, medial caesura,

secondary theme, EEC19, and so on.”20 Figure 1.4 illustrates a proto-typical Type 4 sonata

form. The material that occurs in the exposition of these sonatas is usually balanced by a

recapitulation that contains similar material. Each sonata differs slightly in what separates

each occurrence of the primary A material. “The traditional, seven-part-rondo letter-scheme,

ABACABA, is inadequate to describe sonata-rondo structures. While the letter-format

suggests juxtaposed blocks (a usage that does occur in some rondos), the sonata-rondo

18 Ibid., 344. 19 “EEC” is described by Hepokoski/Darcy as the Essential Expositional Closure. This is the perfect authentic cadence at the end of the secondary theme in the exposition. 20 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 344.


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proper, the Type 4 sonata, is more strongly in dialogue with the expositional-rhetorical norms

that underpin all of the sonata formats.”21

Rotation 1 Rotation 2 Rotation 3 Rotation 4 Exposition Recapitulation

P TR ’ S /C !RT P development or episode !RT P TR ’ S /C !RT P + optional coda

I V I Va I I


Hepokoski and Darcy describe Type 5 sonata form as “a defining feature of many

concerto movements.”22 The Type 5 sonata form takes elements from ritornello form as well

as other elements of “earlier eighteenth-century concerto and aria traditions (dramatized tutti-

solo alterations) with aspects of sonata form.”23 This thesis will not discuss Type 5 sonata

form movements since it will be focusing on string quartets and not concertos.

21 Ibid., 344. 22 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006, 430. 23 Ibid., 430


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CHAPTER 2

TYPE 3 MOVEMENTS IN OP. 59

This chapter will discuss Type 3 sonata form movements in Opus 59. There are four

clear expressions of Type 3 sonata form in Opus 59 and they are the first and third

movements of No. 1, the second movement of No. 2 and last movement of No. 3. These four

movements adhere to most of the general expectations of normal Type 3 sonata form with a

few minor exceptions.

Op. 59, No. 1, First Movement

String Quartet in F major, Op. 59, No.1, composed in 1806, emphasizes the

compositional techniques that embody Beethoven’s middle compositional period. This is the

first string quartet Beethoven composed during his second compositional period and it is

about forty minutes in length.24 The majority of Beethoven’s string quartets up until this

point were considerably shorter. For example, Beethoven’s String Quartet Op. 18 No. 1,

written in 1799, is approximately twenty-five minutes in length.25 The Op. 59/1 string

quartet shares the same key of F major with both Beethoven’s first quartet (Op. 18, No. 1) as

well as his last quartet (Op. 135). It is interesting to note that he chooses the same key for

works that are at the beginning, middle and end of his career for this genre.

24 Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 37.39 minutes.; Guarneri Quartet, The Middle String Quartets, Opp. 59, 74, 95 (RCA Victor, 1966-68), 37.43 minutes.; Takacs Quartet, Beethoven: String Quartets Op. 59, Nos. 1, 2, & 3 and Op. 74 (2CDs), (Decca Music Group Limited, 2002) 39.36 minutes. 25 Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 26.10 minutes.; Guarneri Quartet, Beethoven: String Quartets, Grosso Fugue, (RCA Viktor, 1966-68) 26.35 minutes.; Takacs Quartet, Beethoven: The Early Quartets, (Decca Music Group Limited, 2002) 27.16 minutes.


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The first movement of Op. 59/1 is in a Type 3 sonata form although Beethoven

contradicts many of the traditional expectations in tonality and instrumentation associated

with this form. Figure 1.5 provides an overview of the form.

Rotation 1 Rotation 2 Exposition Development Recapitulation Coda m. 1 30 60 91 103 254 279 307 338 348


F: I V modulatory I I I

Figure 2.1. Formal layout of Op. 59/1, I

While one expects the first violin to play the primary theme at the beginning of the

exposition, this exposition starts with pedal points in the viola and second violin on the

pitches A and C accompanying a presentation of the primary theme beginning in the cello,

while the first violin sits silently. The first violin doesn’t enter at all until measure 9. And

even though this quartet is in F major, it is tonally ambiguous at the beginning. It is not until

measure 19 that a decisive tonic chord is established. The pedal points in the viola and

second violin on the third and the fifth of the tonic F chord are seldom accompanied by an F

in the cello, and never on a downbeat. The use of pedal point can be traced back to Joseph

Haydn. Many of Haydn’s string quartets contain pedal points, but in his music they serve to

create tonal stability and are emphasized further through a motor rhythm. The pedal point

keeps the sense of the key allowing the melody more tonal freedom. The melody seen here

emphasizes the tonic F major in the voice leading, but because the opening pedal points don’t

include the tonic pitch, they actually serve to destabilize the key slightly. The imitation


14

between the cello and the first violin in these opening measures foreshadows his later use of

the fugue in the first and last movements. The imitation, of course, only hints at the fugue

since only two of the four voices participate, and the opening texture is homophonic, not

polyphonic.

This foreshadowing of a polyphonic texture is seen again in measure 103 with the

beginning of the development section. Beethoven starts the development section with the

exact same four measures that began the exposition. It is not until the fifth full measure that

Beethoven starts to change the harmony like one would expect in a traditional development

section. It could be argued that this approach is quite conservative. Starting the development

with a transposition of the exposition’s opening and establishing a strong tonal center at the

beginning of the development before any modulations occur is found frequently in sonata

forms of the late classical period. However, it could also be argued that this technique is

quite innovative, because this development begins with a repetition of the exposition’s first

four bars at pitch. Development sections that begin with the primary theme usually do so

with that theme transposed to an off-tonic key. Traditionally, the development section is

tonally ambiguous. Themes and motives are started in fragments and in a variety of keys

before ending on the dominant a few measures before the return of the recapitulation. This

development does live up to these traditional expectations starting in the fifth measure of the

development but the first four measures still provide a sense of formal insecurity because

they imitate the exposition note for note. Beethoven also employs imitation at the beginning

of the development, though the procedure is somewhat altered. After the cello states the first

four measures of the primary theme, all four voices participate in imitation by passing a one-

measure segment up through the instruments before the first violin again imitates it in


15

measures 111-114. In measures 115-118, the viola imitates the first violin, while in mm.

119-122, the second violin imitates the viola. This example of imitation even more strongly

foreshadows the fugato section that occurs later in the development since all four voices

make their statements without overlap, like in a traditional fugal exposition. This

development moves through multiple key areas as expected. The progression of keys is

shown in Figure 1.6.

m. 103 112 120 130 138 140 152 160 219 224 233

keys: F Bb Gm Dm Gm Eb C Db C Gm F

Figure 2.2. Order of Keys in Op.59/1, I, Development

Beethoven plays with the listener’s expectations during the material that leads up to

the recapitulation. There is a five-measure dominant pedal in measures 236-240. Normally,

the listener would expect the recapitulation to follow this dominant pedal but in this case the

second half of the primary theme occurs. This statement of the theme however is still too

tonally unstable to serve as the beginning of the recapitulation. In addition, the beginning of

the primary theme doesn’t return until measure 254, which is the beginning of the

recapitulation. In m. 254, the beginning of the recapitulation is marked because the cello

carries the melody as it did in the exposition, but the pedal points in this statement of the

primary theme have moved into different voices. It is now seen in the first and second

violins, but the pitches of A and C remain the same. Beethoven uses the pedal point in this

movement not only to establish a tentative sense of key under the melody but also to tie the


16

movement together. The similar pedal points all lie at the beginning of the three major

sections of this movement’s sonata form and provide a bridge between the sections by

bringing back a familiar motive and texture. In measure 262 the first violin does imitate the

cello’s melody again, but this time the second half of the theme is altered. Beethoven adds

chromaticism into the first violin’s line as it continues to climb in register before the

transition section between the first and second themes.

The second movement of this string quartet is a Type 2 sonata and thus will be

discussed in chapter 3.

Op. 59, No. 1, Third Movement

The third movement of this string quartet is this string quartet’s slow movement,

marked Adagio molto e mesto.26 Beethoven has altered the listener’s expectations by placing

the slow movement of this string quartet as the third movement and not the second

movement as would be expected. This movement is a Type 3 sonata and has minimal

variation on the model presented by Hepokoski/Darcy. Figure 1.7 provides an overview of

the form.

26 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven. New York and Oxford: Oxford University Press, 1998, 59. Caplin identifies mm. 1-8 as another example of his hybrid antecedent + continuation theme type.


17



f: I V modulatory I I I

Figure 2.3. Formal layout of Op. 59/1, III

This movement begins with one lone quarter note in the second violin while the

other voices enter in one by one in the first measure. When first listening to the piece, the

quarter note presented by the second violin could be heard as the first downbeat of the

movement instead of the pickup to the first measure that it is. Rather, the first violin takes

the melody starting on the downbeat of the first measure. It is not until measure 3 after a

brief pause in the upper three voices that the rhythmic motion is reset and understood in two-

measure segments that makeup one larger sixteen-measure theme. The remaining material of

the primary theme is rather straightforward both rhythmically and harmonically.

The transition begins at measure 17 and from the start Beethoven layers in the four

voices much like the layering seen at the beginning of this movement. The cello begins the

bridge with descending eighth notes and is followed in order by the viola, second violin and

first violin. Each voice enters two eighth notes or one beat apart setting up another hint of

fugal motion in this string quartet. The secondary theme begins in measure 24 with a lyrical

melody that forms a sentence, with the basic idea first stated in the cello, and then repeated in

the first violin. This melody is accompanied by thirty-second notes in the inner voices. The

last note of the secondary theme is harmonized by a cadential 6/4 chord in m. 37. At this

point in a sonata movement the listener would expect a perfect authentic cadence that


18

represents the EEC but the sense of a strong cadence is undercut by the strong melodic

beginning in measure 37. The melody starting here makes it impossible to hear the cadence

in measure 39 as an EEC. Because of this, the EEC is not heard until measure 43, which is

after the start of the closing section. The closing section in this movement occurs from

measures 37-45.

The development section begins in measure 46 with the secondary theme in the cello.

When the secondary theme is presented in the exposition it is played by the cello and is

echoed by the first violin, which then turns into a duet between the two voices. At the

beginning of the development section the cello starts the secondary theme again; although

this statement is not in the dominant key of C minor but rather in the key of Ab. In this

passage, the second violin, rather than the first, now echoes the cello. These two voices do

follow the familiar layout and finish their statements in duet like the exposition duet between

the cello and the first violin. The development goes on to revisit fragments of the primary

theme and the closing material before presenting new material starting in measure 72. This

new material is presented in the first violin and is quite lyrical, even marked molto cantabile

by the composer. The development section moves through multiple key areas as expected, as

shown in Figure 1.8.

m. 46 51 57 60 67 71 80

keys: Ab Db Gm Cm Fm Db Fm

Figure 2.4. Order of Keys in Op. 59/1, III, Development


19

The recapitulation of this movement begins in measure 84 with the primary theme

presented again by the first violin. This time though, the accompanying texture has changed

in the lower three voices with the second violin and viola creating a bubbling effect. The

bubbling effect here represents the energy of moving water since the notes are alternating

between different pitches. Although all of the pitch classes in the first violin are preserved,

Beethoven introduces quite a bit of octave displacement throughout this statement of the

primary theme. The primary theme in the recapitulation is also only eight measures long or

half the length of the primary theme stated in the exposition. The transition section of the

recapitulation is also cut short and does not have the imitative beginning seen in the

exposition. The secondary theme of the recapitulation begins in measure 97 and functions

like the secondary theme in the exposition. Again, this section ends with a cadential 6/4

chord, which avoids the ESC27. The closing section begins in measure 110 and ends in

measure 113.

The coda of this movement, starting in measure 114, defies one’s expectations of the

instrumentation involved. First, the primary theme is stated in its entirety by the second

violin. The first violin does not join the second violin in presenting the theme until two

measures after the second violin begins. The two violins finish the theme together in octaves

for the remaining five and a half measures. The second surprise in this coda is that it

becomes a transition into the fourth movement of the string quartet at measure 126. In this

measure, the harmonic rhythm of the lower three voices slows down and the first violin plays

a rather virtuosic passage of sixty-fourth notes that ends with the trill that starts the fourth

movement.

27 “ESC” is described by Hepokoski/Darcy as the Essential Structural Closure. This is the perfect authentic cadence at the end of the secondary theme in the recapitulation that reaffirms the tonic key.


20

Op. 59, No. 2, Second Movement

The second movement of Op. 59 No. 2 is the slow movement of this string quartet

and is marked Molto Adagio. This movement is another typical Type 3 sonata form

movement. The formal construction of this movement only varies slightly from the Type 3

model presented by Hepokoski/Darcy. Figure 1.9 provides an overview of the form.

Rotation 1 Rotation 2 Exposition Development Recapitulation Codetta m. 1 17 27 52 56 89 96 110 131 153


E: I V modulatory I I

Figure 2.5. Formal layout of Op. 59/2, II

The movement begins with all four voices in imitation, with the first violin carrying

the primary theme. Each of the lower three voices enters in succession one half note apart.

After the conclusion of the first eight measures, which form a parallel period, the first violin

takes on an accompanimental role while the second violin takes the melody. This phrase

does not have the viola and the cello entering in succession like the first phrase. The third

phrase group, beginning in measure 17, marks the start of a new rhythm in the first violin.

This rhythm plays the same accompanimental role as it did the second phrase (mm. 9-16)

while the second violin continues with the melody. This phrase now shows true imitation,

with the viola and the cello entering in succession after the second violin and actually

beginning with the same three-note motive. The second violin hands the melody to the first


21

violin in measure 21 and the first violin continues with the melody until the end of the

primary theme.

The transition begins in measure 17 with the entrance of the second violin. As seen

in the primary theme, the viola and cello enter in succession but this time a measure a part.

The beginning of the secondary theme is marked in m. 27 by the entrance of a new melodic

idea in the cello that could be heard as a horn 5ths motive. This melodic idea returns in

measure 30 with the upper strings playing what the lower strings had in measures 27-28.

This marks the start of the second phrase of this theme. The closing theme begins in measure

52 and emphasizes two triplet rhythms. The first rhythm is seen in the two violins and is the

melodic material of this section. This rhythm is a quarter note follow by triplet eighth notes

and is legato. The second rhythm, seen in the viola and the cello, is accompanimental and

consists of triplet eighth notes followed by and eighth note and an eighth rest.

The development section begins in measure 56 with the return of the primary theme,

which sounds like an off-tonic refrain. The development section is relatively short but does

fulfill the expectation of weaving through multiple key areas. These key areas include B

major, D major, Bb major, F# minor and E major, as shown in Figure 1.10. It also presents

fragments of themes from the exposition as well as rhythms from those themes and ends with

a dominant pedal that sets up the recapitulation.

m. 56 63 67 73 78

keys: B D Bb F#m E

Figure 2.6. Order of Keys in Op. 59/2, II, Development


22

The recapitulation begins in measure 89 and the melody is again seen in the first

violin. The accompaniment to the theme in the other voices is change, however. This

statement contains more syncopation in the inner voices while the cello plays the

accompaniment figure from the second phrase of the exposition that was originally seen in

the first violin. This statement of the primary theme in the recapitulation also differs from

the statement in the exposition in that it omits the repetition of the primary theme and there is

material to the transition.

The transition section begins in measure 96 and again is marked by the entrance of

the second violin. Here, the second violin enters a measure earlier than one would expect

based on the transition section in the exposition. In the exposition, the end of the primary

theme in m. 16 was marked by the lower three voices ending on a quarter note followed by

three beats of rest while the first violin plays a dotted figure leading into the beginning of the

transition in the next measure. In the recapitulation, the second violin begins the transition in

m. 96 as the first violin and viola cadence on a quarter note to end the primary theme,

creating an elision. In addition, the accompanying dotted figure is seen in the cello instead of

the first violin. However, these two passages do still have much in common, including the

fact that the voices enter in succession a measure apart. The secondary theme begins in

measure 110 and in this statement, there is no clear-cut echo in the second phrase of this

passage as there was in the exposition. The closing section starts in measure 131 and closely

resembles the closing section of the exposition. This closing section in comparison with the

closing section from the exposition is altered. The opening of the primary theme is inserted


23

into the middle of the closing theme, which can be seen in measures 140-146. A brief codetta

starting in measure 153 bring this movement to a close.

Op. 59, No. 3, Fourth Movement

The fourth movement of this string quartet starts with an immediate alteration of the

expectation of what one might expect to hear at the beginning of a sonata form finale

movement. Even though this movement does start with a fugato, it is still a typical Type 3

movement since there is very little variation from the Hepokoski/Darcy model after that.

Figure 1.11 provides an overview of the form.



C: I V modulatory I I

Figure 2.7. Formal layout of Op. 59/3, IV

Beethoven starts this movement with a fugato and the viola presents the initial ten-

measure statement of the fugal subject. After the initial statement of the fugue subject, the

following statements occur in the second violin followed by the cello and lastly the first

violin. As discussed earlier in this chapter, the standard expectation is that the primary theme

occurs in the first violin at the beginning of the exposition section of a movement. In this

case, Beethoven not only replaced the primary theme with a fugato but he also saves the

expected primary voice for the last statement of the fugue subject. The transition section


24

begins in measure 47 with the new pattern of eighth notes in the first violin, and with the

change to accompanying quarter note chords in the lower three voices. As expected, the

transition starts stably in C major and successfully pivots to a new key for the secondary

theme. The secondary theme begins in measure 64 with a light and bouncy melody

composed of motives that are passed around rapidly between the first violin, viola and cello

while the second violin holds a pedal D. This pedal D is the dominant of the new key of G

major. The closing theme starts in measure 81 and begins to pivot into a new key area for the

start of the development section. The expected function of the closing section is to confirm

the secondary key, which is G major in this movement. The closing section starts solidly in

the key of G major and the first phrase (m. 81-85) cadences in the key of G major. It is in the

second phrase that the key area starts to wander by ending on a half cadence in Eb major in

measure 91. Wandering through keys is usually saved for the development section but in this

movement the wandering starts a few measures early.

The development section begins in measure 92 and the fugal subject from the

beginning of the exposition is brought back in transposition. The development is very

tonally unstable and is saturated with imitation. Fragments of the exposition themes are also

scattered within. This development section goes though several key areas as expected, as

shown in Figure 1.12. The last few measures of the development fulfill the expectation of a

dominant pedal before the recapitulation occurs. This dominant pedal can be seen clearly in

all four voices starting in measure 203. Four measures of eighth notes race into a sustained

dominant seventh chord in measure 207. Measures 208-209 also contain bare octave Gs and

bridge the gap between measure 207 and the start of the recapitulation in measure 210.


25

m. 92 100 108 112 136 152 160 168

keys: Eb Fm Db C#m Dm Bb Fm Cm

Figure 2.8. Order of Keys in Op.59/3, IV, Development

The opening fugato returns at the beginning of the recapitulation. The first statement

of the fugal subject is again presented in the viola and proceeds in the same order of voicing

as in the exposition. Beethoven alters the start of the recapitulation by accompanying it with

half notes in the first violin. The accompaniment to the subject in the exposition were

previously constant eighth notes for four bars followed by constant quarter notes for six, but

in this passage the accompaniment is in half notes, at least until half way through the first

three subject and answer entries. These half notes remain in at least one voice until the

transition section starting in measure 256. The transition section is very similar to the

exposition except that this passage does not modulate as is expected. The second theme

starts in measure 277 and is again passed between the first violin, viola and cello. The

second violin is again holding a pedal note but this time it is a G, which is the dominant in

the key of C major. This movement does not contain a strong PAC at the end of this theme

either here or in the exposition. The absence of the PAC here shows a deviation from

Hepokoski/Darcy’s eighteenth-century model since their theory suggests that a PAC will

provide the EEC and the ESC at this point in a normative sonata form of the 18th-century.28

28 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century (Oxford and New York: Oxford University Press, 2006)


26

The closing theme begins in measure 298 and again, like the exposition, pivots into a new

key area. This time, instead of starting the development section, a lengthy coda begins.

The coda, like the beginning of the development, begins with a transposition of the

fugal subject from the beginning of the exposition. A dominant pedal occurs in measures

319-324 and is similar to the dominant pedal section seen at the end of the development.

Fragments from the themes seen thus far in the movement are seen extensively in the coda.

The last nineteen measures of this movement outline one large dominant to tonic cadential

motion.


27

CHAPTER 3

TYPE 3 MOVEMENTS WITH A BLURRED BOUNDARY

BETWEEN THE DEVELOPMENT AND THE RECAPITULATION

The previous chapter examined movements that closely fit the Type 3 model. This

chapter will discuss Type 3 sonata form movements in Opus 59 that challenge the Type 3

model. In three movements of Op. 59, Beethoven blurs the boundaries between the

development and the recapitulation sections. This blurring is achieved by the absence of the

expected dominant pedal at the end of the development section or the substitution of a

dominant pedal in an off-tonic key.

Op. 59, No. 1, Fourth Movement

The fourth movement of this string quartet is entitled Theme russe, (“Russian

theme”). Beethoven’s use of a Russian folksong in this movement is due to the nationality of

its commissioner Count Andrey Razumovsky. Figure 2.1 provides an overview of the form.



F: I V modulatory I I

Figure 3.1. Formal layout of Op. 59/1, IV


28

This movement most closely resembles another Type 3 sonata form, though like the

first movement from this quartet, it defies some conventions associated with the form. The

first theme of the exposition is the subject of a fugato, and fugal fragments can be seen

throughout the entire movement. This fugato is foreshadowed by the fugue-like elements in

the first movement. There are at least four ways in which the fugato that begins this

movement fails to meet the expectations one might have if it were a proper fugue: 1) one

would expect each of the voices to enter separately; 2) one would expect the second voice to

be transposed to the level of the dominant; 3) one would expect all four voices to present the

subject or answer before any the onset of an episode; and 4) one would expect the polyphonic

texture to persist throughout the movement. These expectations are broken in four ways.

The subject at the beginning of the fugato section is accompanied by first violin and the

second voice enters with the subject transposed up an octave rather than to the level of the

dominant. In addition, the episode occurs before all four voices have presented the subject

and the answer, and the polyphonic texture dissipates by m. 32. Like the first movement, the

cello is first to take the primary theme or the fugato’s subject. The subject in this movement

is eight measures in length, and could be understood as a modulating period. The first violin

is second to take the subject in measure 9 and is followed by the viola in measure 16. Once

again, Beethoven is playing with the expectations of the listener. The second violin hints at

taking the fugue subject in measure 16 by playing the first two measures with the viola, but

in measure 18 it turns to playing an accompaniment in syncopation while the viola continues

with the fugue subject. In a traditional fugue, all voices must present the subject before the

end of the first section. The fact that Beethoven chose to omit the statement of the subject in


29

the second violin is one more reason to consider the form of this theme a fugato rather than a

true fugue.

The second theme of the exposition starts in the second violin line in measure 45. It

is interesting to note that the second violin, which was previously left out of the statement of

the first theme, is first to play the second theme. This second theme has a slower harmonic

rhythm and is more lyrical and tranquil in character. The cello and first violin present the

second theme in stretto beginning in measure 53. Like the first theme, the statement of the

second theme is only stated in three of the four instruments with the viola being left out this

time, though because the last two are presented almost simultaneously, the impression of a

fugato is comparatively weaker, with the sense of only two statements of the subject, the

second statement in the cello sounding with an echo played by the first violin.

The development section begins in measure 100 with fragments of the first theme

starting in the viola and cello lines. These fragments are harmonically less stable which is

consistent with traditional development sections. The key areas of this development section

are shown in Figure 2.2.

m. 106 114 129 173

keys: Gm Ab Dm Bb

Figure 3.2. Order of Keys in Op. 59/1, IV, Development

The last few measures of the development section clearly contain a pedal, which is

expected at the end of the development section before the recapitulation. Here, Beethoven


30

plays with that expectation by placing the expected pedal in the wrong key. A pedal on the

dominant of the primary key, C major, is expected but instead the pedal is on the tonic in the

key of Bb major. The recapitulation section begins in measure 179 with the statement of the

first theme. Beethoven plays with the listener’s expectation at the start of the recapitulation

by giving the initial statement of the first theme to the first violin instead of the cello. The

transition section begins in measure 206 and is very similar to the transition in the exposition,

just two measures longer. The secondary theme begins in measure 218 in the cello instead of

the second violin as it was in the exposition. The closing section begins in measure 245 and

matches the closing section in the exposition very closely. This movement ends with a coda

section beginning in measure 277, which presents fragments of themes and rhythms seen

earlier in the movement. This section goes through two major tempo changes. The first

tempo change, marked Adagio ma non troppo, occurs in measure 309 with the return of the

primary theme in the first violin. Ten measures later the tempo changes again, this time to

Presto, and the movement ends in this fast tempo.


The line between the development and the recapitulation section in this movement is

again blurred like the previous movement discussed in this chapter. The end of the

development in this movement does not contain a strong cadence or a dominant pedal before

the recapitulation and this masks the beginning of the recapitulation. The first movement of

Op. 59 No. 2 begins with two forte chords: a root-position tonic followed by a dominant in

first inversion. These chords are followed by a measure of silence before the primary theme

of the exposition begins in measure 3. Figure 2.3 provides an overview of the form.


31



e: I V modulatory I I I


The melody, in contrast to the opening chords, is marked pianissimo and is in the first

violin. The transition section begins in (m. 26) and is preceded by an ascending sixteenth

note run in the first violin. The first violin carries the melody of ascending sixteenth note

arpeggios and all four voices are marked fortissimo. Sixteenth notes weave between all four

voices creating a constant stream of notes and there is not one gap in the entire transition.

The secondary theme of this movement begins in measure 39 after a long medial

caesura that occurs in measures 33-38. The secondary theme begins with a change in the

harmonic rhythm, which goes to two chords per measure as opposed to six measures of

dominant harmony preceding it. The melody is presented in the first violin and the first two

measures of this theme are far more melodic than any of the material since the primary

theme. The melody is immediately repeated in the second violin starting in measure 43, this

time marked piano dolce. This theme could be defined as a sentence structure. The

statement in the first violin (m. 39-42) could be understood as the first presentation followed

by the second presentation occurring in the second violin (m. 42-46) and finally the


32

continuation beginning in measure 47. The continuation contains a repeated marking of

piano dolce and the rhythm slows down slightly containing more eighth notes than sixteenth

notes. Both sections contain stark dynamic contrast between piano and forte with

sforzandos. The closing section begins in measure 58 with syncopated rhythm in

homophonic texture in all four voices. This syncopated rhythm breaks six measures before

the end of the exposition (m. 65) with falling arpeggios in the first violin and the viola and

sixteenth note accompaniment in the second violin and the cello. The exposition section in

this movement does contain the traditional sonata form repeat signs.

The development section begins in measure 72 with material that is the same

rhythmically as the first measure of this movement. The development section is clearly

emphasizing other key areas at this point, as is shown in Figure 2.2. The development

section begins in Eb minor and moves to B minor in measure 78 when the cello has a

fragment of the primary theme. The cello restates this fragment of the primary theme three

measures later (m. 81) but this time in C minor. The fragment is stated a third time, this time

in the first violin, in Ab major in measure 83. There is some tonic and dominant motion that

occurs in the following measures before the passage settles in Bb minor in measure 89. In the

measures that follow, the passage pivots in measures 93 and 94 to the dominant chord of B

minor in measure 95. The development section settles in B minor for a while before moving

through C major (m.107-110), A minor (m. 111-123) and Bb major (m. 124-127), as is

shown in Figure 2.4. After a short sequence, the expected dominant pedal in E minor arrives

in measure 133. The development section functions as one might expect by weaving in and

out of different key areas and by emphasizing fragments from different themes seen thus far.

It does, however, confound our expectations right before the return of the recapitulation.


33

m. 72 78 81 83 89 97 107 111 124 133

keys: Ebm Bm Cm Ab Bbm Bm C Am Bb Em

Figure 3.4. Order of Keys in Op. 59/2, I, Development

The end of the development section sneaks directly into the recapitulation: there is no

strong cadence or dominant pedal before the start of the recapitulation. The recapitulation

simply starts in measure 143 with the return of the two opening chords, and is texturally

rewritten in such a way as to undermine any sense of a sectional division. Sixteenth-note

lines in the lower two voices now accompany the chords that start the recapitulation. The

measure of silence in between the opening chords and the start of the primary theme is also

filled in with sixteenth notes. Once the primary theme starts, however, everything seems to

be the same as in the exposition. The transition section begins in measure 163 and like the

exposition it is marked fortissimo and contains the same arpeggios and rhythmic elements,

only transposed to end on the dominant of E minor.

The secondary theme begins in measure 178 and is again in a sentence structure with

two presentations. The first violin begins with the first basic idea that is then repeated by the

second violin, and then the first violin presents another basic idea in mm. 183-184 and

repeats that idea an octave lower in mm. 185-186. The continuation follows starting in

measure 187. The closing theme, beginning in measure 200, is and exact return of the

textural and rhythmical elements seen in the exposition. There is a repeat sign at the end of


34

this section, which either repeats back to the start of the development section or continues on

to the coda starting in measure 216. The coda begins in measure 209 with the two quarter-

note chords like the beginning of the movement and the beginning of the development, only

this time, transposed to C major. It goes on to bring back familiar fragments from the themes

already seen as expected and ends the movement in E minor with a stark dynamic contrast

from fortissimo to piano.


This movement, like the first two in this chapter, has a blurred line between the

development and recapitulation section due to the lack of a dominant pedal. The first

movement of Op. 59 No. 3 begins with a 29-measure introduction.29 Figure 2.5 provides an

overview of the form.

Rotation 1 Rotation 2 Exposition Development Recapitulation m. 43 59 77 91 112 191 207 223 237


C: I V modulatory I I I


This introduction is marked Andante con moto and consists of series of chords that

seem devoid of any particular melodic or tonal direction. A clear melody is not heard until

29 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven. New York and Oxford: Oxford University Press, 1998, 40. Caplin identifies mm. 30-40 as another example of a deviation from the norm when considering the presentation portion of a sentence in what he refers to as a tight-knit theme.


35

the start of the exposition in measure 30. The pickup to measure 30 is marked with the new

tempo of Allegro vivace but does not yet mark the beginning of the primary theme. Rather,

another introduction starts here and is played primarily by the first violin. The primary

theme is a sentence and begins in measure 43. The basic idea is stated in measures 43-44 and

repeated in measures 45-46. The first violin, second violin and the viola play the driving

melody in octaves while the cello plays a tonic pedal beneath them. The presentation is

followed by an irregular continuation. The continuation begins with the expected material in

measure 48 but then starts over in measure 49 and finishes in measure 52. This continuation

is then repeated in measures 53-58 (the final cadence in this repetition is expanded by two

bars).

The transition section begins in measure 59 with a perfect authentic cadence. The

second violin takes the melody, which is then echoed in the first violin two measures later.

The boundary lines between the primary section and the transition section are blurred

because of the relationship between measures 57 and 65. Half step motions in measure 57 in

the inner voices embellish a perfect authentic cadence whose final chord arrives in m. 59,

while measure 65 presents a similar half step motive to what was seen in measure 57, but

here it serves not as accompaniment, but as melody in the first violin: it takes over for the

cello, stuck on G, and leads to the music in mm. 66-67 that resolves the phrase with an

authentic cadence.

The secondary theme begins in measure 77 with a melody that is very similar to that

of the transition section. This melody begins after a solid G major chord on the downbeat of

measure 77, which confirms that the transition section has successfully modulated to the

dominant key for the start of the secondary theme as expected. The closing section begins in


36

measure 91 after a perfect authentic cadence in G major occurring on the downbeat. The end

of the closing section contains first and second endings. The repeat of the exposition is not

matched by a repeats of the development and recapitulation, as is often found in earlier

sonata forms.

The entrance of the solo first violin in the pick up to measure 112 marks the start of

the development section. The start of this section is very similar to the start of the exposition

at the beginning of the movement. This development section presents fragments of the

themes seen earlier as well as new material that resembles the introduction (m. 154). The

development also moves through multiple key areas as expected, as shown in Figure 2.6.

m. 111 127 133 144 148 154 163 175

keys: Eb Em F Dm Cm Db Cm C

Figure 3.6. Order of Keys in Op. 59/3, I, Development

The line between the development and the recapitulation sections is blurred due to the

lack of the expected dominant pedal at the end of the development. Here, instead of a stable

pedal in the dominant that is preparing the listener for the return of tonic, the first violin plays

a passage that is improvisatory in nature. There is very little accompaniment during these

measures and thus the start of the recapitulation comes earlier than expected. The

recapitulation starts in measure 191. Here all four voices are forte and the melody is

presented in octaves by the first and second violins. The viola matches the rhythm presented

by the two violins a third lower and the cello plays a tonic pedal point. Again, the primary


37

theme’s phrase organization is a sentence as it was in the exposition. The transition section

begins in measure 207, the secondary theme begins in measure 223 and the closing section

begins in measure 237. All three of these sections closely resemble those same sections in

the exposition and follow the expected key scheme of a Type 3 sonata.


38

CHAPTER 4

OP. 59, NO. 1, SECOND MOVEMENT

The second movement of Beethoven’s String Quartet Op. 59, No. 1 is entitled

Allegretto vivace e sempre scherzando. This movement challenges the Type 3 model

presented by Hepokoski/Darcy in that it is a scherzo and trio movement with defining

qualities of sonata form. This thesis will describe the ways that this movement challenges

the Type 3 model, then it will compare how my analysis differs from previous analyses by

Dave Headlam, Lewis Lockwood, Jonathan Del Mar, Barbara Barry and Mark Richards. My

interpretation of this movement’s formal layout is given in Figure 3.1 below.30

Rotation 1 Rotation 2 Exposition Development Recapitulation Coda m. 1 40 68 101 115 155 239 276 304 337 354 404

P1 P2 P3 TR ’ S P1 P2 P3 TR ’ S

Bb: I iii I v modulatory bVI, I vi V i I

Figure 4.1. Formal layout of Op. 59/1, II

There are two interpretations concerning where to take the start of the primary

theme.31 The first interpretation considers the first four measures of the movement as a short,

introductory principal rhythm before the primary theme starts in measure 5 with melodic

material. The second interpretation considers the four-measure principal rhythm on a single

30 This formal layout differs from interpretations discussed later on in this chapter 31 Dave Headlam argues for an eight measure first phrase in his article “A Rhythmic Study of the Exposition in the Second Movement on Beethoven’s Quartet Op. 59, No. 1.”


39

pitch as the start of the primary theme. This interpretation considers the principal rhythm to

be the first half of the first phrase and the melody starting in measure 5 as the second half of

the first phrase. This thesis will honor the second interpretation for the following discussion

of the primary theme. The primary theme in the exposition of this movement can be divided

into three parts. The first part (P1) spans the first 38 measures of the movement. The

principal rhythm, played by the cello, occurs on only one pitch, which is the tonic Bb. This

rhythm is very distinctive even though it has no melodic shape.32 The second violin presents

the first melodic material from the pick up to measure 5 through measure 8. This melody

begins by outlining the tonic triad and ends by suggesting a half cadence approached by a

secondary dominant. These first eight measures can be seen as a call and response phrase

and are repeated in measures 9 through 16. Although the phrase construction in measures 9

through 16 is similar to that of the first eight, these measures transpose the music of the first

eight measures to the key of Ab. This time it is the viola that presents the four-measure

rhythm on the pitch Ab and it is the first violin that answers with the melody that begins by

outlining an Ab triad. It is not until measure 17 that any of the four voices play together and

a full four-voice texture is not seen until measure 19. Measure 17 starts a new phrase with

the principal four-measure rhythm extended into six measures. The cello and the viola enter

first followed by the entrance of the second violin in measure 18 and the entrance of the first

violin in measure 19.

The second part of the primary theme (P2) begins with the pickup to measure 40.

This part begins with a variant on the melody presented in measures 5 through 9, and is

presented in the key of d minor. It is more lyrical than P1, with the principal rhythm from

32 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138.


40

the beginning of the movement not returning until the end of the section in measure 62. The

third part (P3) of the primary theme begins in measure 68 with the return of the primary tonic

Bb presented by the principal rhythm in the cello. Again, the phrase is presented in a call-

and-response format, although this time the second half of the phrase containing the melody

is passed between the second violin and the viola. This beginning of this melody is a variant

on the melodic material from P1 seen in measures 5 through 8. The second phrase of this

part is presented in a call and response format transposed to a different key in a manner

similar to the beginning of the movement, although this time the transposition is from Bb

major to A major, rather than from Bb major to Ab major. Here, the principal four-measure

rhythm is presented in the viola with held tonic chord tones in the two violins. The melody is

again passed between two voices but this time it is in the first and second violins. There is a

varied repetition of P3 starting in measure 101, which I take to be the beginning of a

transition. This statement of P3 is now in a full-texture and the first phrase of this statement

arrives on a half cadence in D minor in measure 108. The following six-measure phrase is

modulatory and takes the passage to the dominant of F minor.

The secondary theme begins in measure 115 with the first violin presenting it in F

minor. This theme starts with the first violin alone for a measure and is marked piano. The

other three voices enter in the following measure and the dynamic level quickly increases.

The secondary theme forms a sentence structure. The basic idea is presented in measures

115-118 and repeated in measure 119-122 with the melody in the first violin. These eight

measures make up the presentation while the continuation occurs in the following eight

measures: a fragment of the basic idea is presented in measures 123-124 and again in

measures 125-126 with the cadential idea in measures 127-130.


41

There are two possible places that one could reasonably take to be the start of the

development in this movement.33 The first interpretation is based on the sense of a beginning

that occurs in measure 155. Here, there is an interval drop of a fifth in the cello from

measure 154 to 155 accompanied by the first two measures of the melodic portion of P1.

This is accompanied by a key change to Db major, which is distantly related to the tonic key

of Bb major.

The second interpretation takes the start of the development to be in measure 171.

Taking the start of the development in measure 171 is supported by the measure of complete

silence (m. 170) that precedes it as well as relative tonal stability and recycling of thematic

material in measures 154-170 that might make it sound like a short codetta (or closing) to the

exposition (though the stable tonality is of Db major, not the key of the secondary theme).

This codetta delays the start of the development until measure 171. Measure 171 is also

marked piano and dolce. Although it is not the bold character that might be expected to mark

the beginning of a development, it nevertheless marks a character change. No matter which

interpretation is taken regarding the start of the development, it goes through multiple key

areas as expected. This thesis considers the start of the development to be in measure 155.

The key areas the development passes through are shown in Figure 3.2. Moving through

several key areas over the course of the development is an expected trait but the number of

keys in this development and the fast rate of change is striking here.

33 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.


42

m. 155 171 183 185 191 196 201 211 225 229 232 233

keys: Db B Ebm Gb Fm Cm Dm Am Gm Eb Cm Bb


The end of the development could be taken with the arrival of the fully diminished

seventh chord in m. 237, a deceptive resolution that creates an evaded cadence. The root of

this diminished chord is the pitch “A.” As the ending of this development section, this spot

breaks with the expectation of the listener in three ways. First, there is a full measure of

silence between the end of the development and the beginning of the recapitulation of the

form. Second, the development ends on a diminished chord rather than the expected

dominant of the primary key. Third, the recapitulation starts in a key that is not expected

given the way in which the development ended. This new key is Gb Major is not an

expected resolution of the A diminished seventh chord. In addition to the wrong resolution,

Beethoven again denies the expectation of the listener by starting the recapitulation in a key

other than the expected tonic of Bb major. Not only does this key break with the

expectations of the form but also the key used here is distantly related to the tonic key of Bb

major. The tonic key does not occur until measure 259, which is twenty measures after the

beginning of the recapitulation. Another interpretation to consider is taking the start of the

recapitulation in measure 265. 34 This interpretation would take the end of the development

as elided to the beginning of the recapitulation, with the first of the three primary thematic

34 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.


43

units (P1) represented only by the principal rhythm, and with P2 starting only twelve

measures after the start of the recapitulation (pickup to m. 276).

If the first interpretation to the start of the recapitulation is taken, there are three parts

of the primary theme just like in the exposition. As in the exposition, one could hear the

primary theme as beginning with the start of the principal rhythm in measure 239 or with the

start of the melodic material in measure 243. To stay consistent with the exposition, this

thesis will consider the start of the primary theme and thus the first part of the primary theme

(P1) to start in measure 239. This part is in a similar phrase structure to the first part of the

primary theme in the exposition. What differs here is the voicing. The principal rhythm

starts the phrase, this time in the first violin and accompanied by the second violin and the

viola, while the second half of the phrase contains the melodic response to the rhythm. This

melodic response is divided between the second violin and the viola. The second and third

phrases of this first part are again similar to that of the exposition just with different voicings

and a thicker texture. The second part (P2) of the primary theme begins in measure 275 and

is in the key of g minor. Other than the different key, this part is the same as part two of the

primary theme in the exposition. Part 3 (P3) of the primary theme begins in measure 304 and

is in the key of F major. Again like the treatment of the second part, the third part here is the

same as the third part of the primary theme in the exposition except for the key and minor

voicing changes. Instead of returning to the primary key for the third part of the primary

theme, Beethoven changes it to the key of F major or the dominant. Like in the exposition,

P3 has a transition section starting in measure 337.

The secondary theme begins in measure 354 and is in the key of Bb minor. The

expectation of key for the secondary theme in the recapitulation is for it to remain in the tonic


44

key. Here Beethoven changes the expectation by putting the secondary theme in the key of

the parallel minor. The first phrase of the secondary theme serves as the presentation phrase

of a sentence, just as it did in the exposition. The basic idea is stated in measures 354-357

and is restated in measures 358-361. The continuation follows, with fragments of the basic

idea occurring in measures 362-363 and again in measures 364-365, followed by the

cadential idea in measures 366-369. There is a possible closing section that starts in measure

394. The parallel place in the exposition is measure 155. This gives a ten-measure closing

section before the start of the coda.

The movement ends with a coda, but there are two interpretations that can be taken

when considering the start of the coda. 35 The first interpretation takes the start of the coda in

measure 394, which highlights the return of the primary theme. The second interpretation

takes the start of the coda in measure 404 and it is supported by the break in texture. The full

four-voice texture gives way to the single cello voice playing piano while the other

instruments proceed to join in one by one. I prefer the second interpretation regarding the

start of the coda. In either interpretation, the coda emphasizes themes and rhythms seen

earlier in the movement.

The rest of this chapter will discuss the literature written on this movement. Dave

Headlam discusses what he refers to as the principal rhythm in his article “A Rhythmic Study

of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.”36 This

principal rhythm is presented in the first four measures of the movement and recurs

throughout the movement. Headlam states that the principal rhythm “has a strong influence

35 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96. 36 Dave Headlam, “A Rhythmic Study of the Exposition in the Second Movement of Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138.


45

on both local and higher-level rhythmic organization.”37 He provides examples in his article

that show the rhythmic reduction of the exposition and the hypermetrical groupings of the

scherzo movement in terms of the works published by Heinrich Schenker, Carl Schachter and

William Rothstein. In addition, Headlam provides an example of voice leading as well as

several smaller examples that outline phrases that are built around the principal rhythm and

how the principal rhythm affects where the phrases start and end. Headlam’s analysis

regarding the principal rhythm of this movement helped to shape my views on where to take

the beginning of the primary theme. This thesis takes the principal rhythm as the beginning

of the primary theme because it helps to organize the rhythm of the primary theme.

Lewis Lockwood presents four hypotheses in his article “A Problem with Form: The

“Scherzo” of Beethoven’s String Quartet in F Major”38 that display different interpretations

when considering where to take the start of the development, recapitulation and the coda of

this movement. The first hypothesis is Lockwood’s interpretation. This hypothesis is the

closest to the hypothesis of this thesis when regarding the formal structure of the movement.

It differs from this thesis in that Lockwood offers two viable options of where to start the

development, the recapitulation and the coda sections.

Rotation 1 Rotation 2 Exposition Development Recapitulation Coda m. 1 155 or 171 239 or 259 392 or 404

Figure 4.3. Lewis Lockwood, Hypothesis 1

37 Ibid., 114. 38 Lewis Lockwood, “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96.


46

Lockwood’s second hypothesis has the movement’s exposition, recapitulation and

coda sections each split into two distinct parts. This interpretation reads measures 1-154 and

measures 239-403 as a double exposition and a double recapitulation, respectively. The first

exposition contains what was labeled as the first two parts of the primary theme (P1 and P2)

in Figure 3.1, while the second exposition contains what was labeled as the third part of the

primary theme (P3), the transition section and the secondary theme in that Figure. The

recapitulation differs slightly from the exposition since this hypothesis takes the beginning of

the recapitulation in measure 259, not in measure 239. Instead of the first recapitulation

containing the first two parts of the primary theme (P1 and P2) it contains only half of the

first part of the primary theme (P1) and the second part of the primary theme (P2). The

second recapitulation contains the third part of the primary theme (P3), the transition section

and the secondary theme, the same material presented in the second exposition. The coda in

this interpretation is also in two parts, with the first containing the gradual textural increase

and the second containing the more melodic portion of the coda. See the layout below for

this interpretation. This hypothesis differs significantly with the formal hypothesis presented

by this thesis since it takes a double exposition and a double recapitulation. See Figure 3.4

for this interpretation.

Rotation 1 Rotation 2 Exposition 1 Exposition 2 Development Recapitulation 1 Recapitulation 2 Coda 1 Coda 2 m. 1 68 155 259 304 404 420

Figure 4.4. Lewis Lockwood, Hypothesis 2


47

The third and fourth hypotheses in Lockwood’s article, Figures 3.5 and 3.6,

respectively, are the interpretations of Joseph Kerman and Dave Headlam. Kerman considers

this movement to be a “double scherzo-trio” and refers to the formal section of this

movement as Scherzando and Trio sections. Headlam’s interpretation is similar to

Lockwood’s Hypothesis 1 when considering the development section but differs when

discussing the recapitulation and the coda.

Rotation 1 Rotation 2 Scherzando I Trio 1; development Scherzando II Trio II: Scherzando III m. 1 115 155 259 354 420

Figure 4.5. Kerman’s interpretation (Lockwood’s Hypothesis 3)

Rotation 1 Rotation 2 Exposition Development Recapitulation Coda m. 1 155 265 420

Figure 4.6. Headlam’s interpretation, (Lockwood’s Hypothesis 4)

Jonathan Del Mar presents a fifth hypothesis after reviewing Lewis Lockwood’s four

hypotheses in his article “A Problem Resolved? The Form of the Scherzo of Beethoven’s

String Quartet in F, Op. 59, No. 1.” 39 Del Mar discusses the questions posed by Lockwood

and provides his own answers to these questions. Del Mar breaks the exposition and the

recapitulation into different parts and uses the terms scherzo and trio in his formal table. See

the layout below to see Del Mar’s hypothesis.

39 Jonathan Del Mar, “A Problem Resolved? The Form of the Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1.” The Beethoven Forum 8 (2000): 165-172.


48

Rotation 1 Rotation 2 Scherzo Trio Development Scherzo Trio Final Return Coda m. 1 115 155 239 354 420 446

Figure 4.7. Jonathan Del Mar’s formal hypothesis

Barbara R. Barry writes about the form of the Op. 59, No. 1 scherzo movement in a

chapter of her book The Philosopher’s Stone Essays in the Transformation of Musical

Structure.40 In her chapter “Dialectical Structure in Action: the Scherzo of Beethoven’s F

Major Razumovsky Quartet Reconsidered,” Barry discusses the movement’s large-scale form

and states that the movement’s style is consistent with the expected characteristics of a

scherzo while the movement’s form is consistent with sonata form. Barry shows that the

movement has a double exposition in her interpretation of the form, which is a similar

interpretation to Lockwood’s second hypothesis. Barry’s interpretation is shown in Figure

3.8.

Rotation 1 Rotation 2 First Exposition Second Exposition Development Recapitulation Coda m. 1 68 155 265 394

Figure 4.8. Barbara Barry’s formal layout

40 Barbara R. Barry, “Dialectical Structure in Action: the Scherzo of Beethoven’s F Major Razoumovsky Reconsidered.” In The Philosopher’s Stone Essays in the Transformation of Musical Structure, 18-31. New York: Pendragon Press, 2000.


49

Mark Richards discusses the scherzo movement from Beethoven’s String Quartet Op.

59, No. 1 in his article “Transforming Form: The Process of Becoming in the Scherzo of

Beethoven’s String Quartet, Op. 59, No. 1.”41 Richards argues that this movement starts in

sonata-rondo form and transitions into sonata form by the end of the movement. Richards’

interpretation is similar to the other authors in that this movement is in some type of sonata

form but it differs significantly in that he proposes a shift between sonata-rondo and sonata

form within the movement. His article contains a very detailed diagram showing his

interpretation, given here as Figure 3.9 (in his diagram, “RT” stands for “retransition” and

“IT” stands for “interior theme”). Richards discusses that an interior theme is a term

commonly used when referring to parts of a rondo form. The fact that this movement has

one is not unexpected since this movement does contain elements of rondo form. Where this

movement breaks expectation is in the appearance of a development section after the interior

theme. Richards states that the development’s “appearance here is odd as it follows the

interior theme rather than substituting for it.”42

41 Mark Richards, “Transforming Form: The Process of Becoming in the Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.” Indiana Theory Review Vol. 30, No. 1 (Spring 2012): 75-102. 42 Ibid., 93.


50

Rotation 1 Rotation 2 Exposition Development

P TR ’ S /C ! RT P TR P I RT P P P 1 29 39 62 65 68 87 101 115 148 155 177 193

Rotation 3 Rotation 4 Recapitulation Coda

P TR ‘S /C ! RT P TR I RT P P P 239 265 275 298 300 304 323 337 387 394 420 460 Figure 4.9. Mark Richard’s Formal Layout

Richards discusses how the form of the scherzo movement has been debated and that

there are two main branches of interpretation when considering the form. The first branch of

interpretation is that the movement is in sonata form. Richards references Lewis

Lockwood’s interpretation, given here as Figure 3.3. The second interpretation is that the

movement in a hybrid of scherzo-trio and sonata form. Richards also references Jonathan

Del Mar’s interpretation, given here as Figure 3.7.

There are many valid interpretations of this movement’s formal structure. This thesis

argues that the exposition, recapitulation and the coda are each one large section instead of

two smaller ones (see Figure 3.1). This interpretation is similar to Lockwood’s second

hypothesis and differs from the interpretations presented by Del Mar, Barry and Richards.

One main consideration when determining whether or not to read a double exposition and

recapitulation is the lack of contrast between the three parts of the primary theme. Although

these parts show slight variation, they are fundamentally related in the material that they


51

present, as is shown in Figure 3.10. The Arabic numbers in Figure 3.10 represent the scale

degree patterns that are shared by each of the three parts of the primary theme.

P1

P2

P3

Figure 4.10. Beginning of the three parts to the primary theme (P1, P2 and P3)

This thesis also argues that the development starts in measure 155. This is due to the

interval drop of a fifth in the cello marking the authentic cadence from measure 154 to 155,

which also marks the return of the melodic portion of P1. The return of the primary theme in

m. 155 creates a sense of a beginning even though is it in the distantly related key of Db

major. Often development sections start with some kind of statement of the primary theme.

Another interpretation to take the start of the development is in measure 171 as discussed


52

earlier. This interpretation does not start with any primary material and is marked piano

dolce.

This thesis argues that the recapitulation starts in measure 239 due to the return of the

first part of the primary theme. Even though this statement of the primary theme is off-tonic,

delaying the start of the recapitulation until measure 265 doesn’t account for a rather large

portion of the primary theme in measures 239-264. This thesis also argues that the coda

begins in measure 404 due to the significant break in texture and the beginning of new

material. Here the cello plays a sixteenth note figure alone and the texture gradually builds

with the addition of instruments. These beginning measures of the coda (mm. 404-419)

create one large gesture that anticipates the melodic material starting in measure 420. Taking

the start of the coda in measure 394 is problematic because the sense of a beginning created

by the first two bars of P1 in the second violin is undercut by its developmental treatment: in

fact it is only the first two measures of P1 return, and those are immediately echoed in the

cello before abandoning the presentation of P1 altogether.

On a larger scale, there is a lack of unvaried repetition that one would expect in a true

scherzo and trio movement that points more towards sonata form. It is a common

expectation that a minuet and trio or a scherzo and trio movement contains a repeat scheme.

The classic repeat scheme for a minuet and trio movement is made up of internal repeats for

the two main sections of the movement as well as a da capo return to the beginning of the

movement. Two examples of Beethoven’s middle period compositions that fulfill this

expectation are the third movements from the other two string quartets in the Razumovsky

set. These quartets are String Quartet Op. 59, No. 2, which contains an Allegretto and


53

Maggiore third movement and String Quartet Op. 59, No. 3, which contains a Minuet and

Trio third movement.


54

CHAPTER 5:

OP. 59, NO. 2, FOURTH MOVEMENT

The fourth movement of Beethoven’s String Quartet Op. 59, No. 2, is a Type 2 sonata

form with some significant alterations. Figure 4.1 provides a comparison of Type 2 and

Type 4 sonata forms with the formal layout of this movement.

Rotation 1 Rotation 2 (Not-Sonata-Space)

Exposition Development Tonal Resolution Coda (optional)

P TR ’ S /C P ! TR ! ’ S /C

I V V? modulatory [Va] || I I

(Episode substitutions (If this section is provided, for P are possible) it typically begins with P)

Rotation 1 Rotation 2 Rotation 3 Rotation 4 Exposition Recapitulation

P TR ’ S /C !RT P development or episode !RT P TR ’ S /C !RT P + optional coda

I V I Va I I

Rotation 1 Rotation 2 incipient Rotation 3 Exposition Development & Tonal Resolution Coda

1 56 70 89 107 146 216 251 275 304 372 384

P TR ’ S !C/RT P ’ S !C/RT P TR2 P

e: i v (VI) i (VI) i

Figure 5.1. Type 2 vs. Type 4 Sonata Forms and Formal layout of Op. 59/2, IV


55

The movement is not a simple expression of a Type 2 sonata form because the “A” section or

primary theme is stated four times with two back-to-back statements near the end, as one

would find in a Type 4 sonata form. In addition, each time the “A” section returns it is in the

primary key, whereas the second rotation in a Type 2 sonata form usually begins with an off-

tonic statement of P.

There are two main reasons that this movement is more like a Type 2 sonata despite

its Type 4 sonata characteristics. The first reason is that the second statement of the

secondary theme happens after the second refrain instead of after the third refrain like a

traditional Type 4 sonata form. The second reason is that the second statement of the

secondary theme occurs after a section that sounds like a development instead of after a

refrain in tonic.

The movement is marked presto and begins with a burst of energy from the forte-

piano placed on the first beat of the first measure. The first violin presents the primary theme

while the other three voices play an accompanimental role. The beginning of the primary

theme is presented in a way that masks the tonic key of the movement. The key of this

movement is E minor although Beethoven disguises this tonic key at the beginning of the

movement. The majority of the primary theme clearly outlines the key of C major. The

second violin, viola and cello play the pitches C, E and G at the beginning while the first

violin begins the theme in C major. The only harmonic departure from C major in the first

seven measures is to an F major pedal 6/4 chord, which plays a significant role in disguising

the home key, since the F natural in the pedal 6/4 makes the key signature impossible to hear.

It is not until measure 8 that accidentals reflecting the key of E minor appear with a perfect

authentic cadence in the key of E minor on the downbeat of measure 9. However, this sense


56

of E minor does not last for long since the first eight measures are repeated starting in

measure 10, bringing back the temporary key of C major. The first eight measures are

repeated two more times starting in measures 23 and 36. Each of these repetitions is slightly

different but the C major to e minor shift is prominent in all of them. The last of these ends

in measure 56, which marks the start of the transition section. The transition section in this

movement functions as one would expect by staying in the tonic key of E minor for the first

half before transitioning into the dominant key of B minor, in preparation for the secondary

theme which follows.

The secondary theme begins in measure 70 and is marked by a dynamic change to

piano as well as by its lyrical character. The secondary theme can be interpreted in two

eight-bar phrases, forming a parallel period, or four four-bar phrases, forming a parallel

double period. The melody in the first eight bars (mm. 70-77) is presented by the first violin

and is passed to the viola for the second eight bars (mm. 78-85). The theme has a four-

measure cadential extension (mm. 85-89), which leads into the closing section starting in

measure 89. The closing section or retransition is composed of a short motive made up of the

first three notes of the primary theme. This motive is passed from solo voice to solo voice,

then played by pairs of voices, until finally all four voices play it together in measures 103-

105, building to the return of the primary theme that follows in measure 107. This statement

of the primary theme essentially repeats the first thirty-one measures of the exposition. The

exact repetition smoothly gives way to an altered ending that leads into the development.

The development begins in measure 146 with a motive from the primary theme in a

four-measure sequence. This passage is repeated four times and is passed between the first

violin and the cello. A statement of the primary theme in Bb major occurs starting in


57

measure 170 and this is the first thematic statement of the movement to truly be in the major

mode (all of the C major music in the exposition had always given way to a cadence in a

minor key).43 The development does live up to the expectation of passing through multiple

keys as is shown in Figure 4.2.

m. 146 154 162 170 178 182 187 194 198 202 204

keys: C A F Bb Dm G Cm E C Am Em

Figure 5.2. Order of Keys in Op. 59/2, IV, Development

This movement breaks the normal expectations of a Type 4 sonata form with the

order of the themes. After the development section, one would expect the return of the

primary theme followed by the secondary theme. In this movement, the secondary theme

returns in measure 216 before the primary theme. This statement of the secondary theme

begins like the secondary theme in the exposition although this time in the expected tonic key

of E minor, thus suggesting a Type 2 sonata form. The melody is presented in the first violin

for the first eight measures (mm. 216-223) before it is passed to the cello for the second eight

measures (mm. 224-231). The rest of this theme differs from its presentation in the

exposition. The next sixteen measures present the melody in four-measure units instead of

eight-measure units, passed from the second violin to the viola to the first violin and back to

the viola, with the first and third of the units (those featuring the violins) altered to tonicize F

major (the key of the Neapolitan). The section ends with the final four measures from the 43 Joseph Kerman, “The “Razumovsky” Quartets.” In The Beethoven Quartets, 117-154. New York: Alfred A Knopf Inc., 1966.


58

statement in the exposition before the closing or retransition section starts in measure 251.

The closing section here is very similar to the closing in the exposition with the only

difference being that it starts in tonic instead of the dominant.

The primary theme returns in measure 275 following the closing or retransition

section. The primary theme in the recapitulation is shorter that the primary theme in the

exposition. Here, it is only twenty-nine measures instead of fifty-five measures as in the

exposition. Again, there is a shift from C major to e minor in these phrases and there is a

strong perfect authentic cadence in measure 304, which marks the start of the transition

section. The material in the transition section is different that the transition material in the

exposition. This is expected to some extent since the transition section in the recapitulation

stays in the tonic key rather than modulating to the key of the dominant, but usually in a

sonata form at least some of the motivic material from the exposition’s transition reappears in

the recapitulation. This section is not truly a recapitulation, however, but as marked in

Figure 4.1, an incipient Rotation 3, since the movement’s tonal resolution has already

occurred in the previous rotation when the secondary theme was transposed to the tonic key,

and thus this is not a transition between the primary theme and secondary theme as the label

might suggest, but merely a transition between two statements of the primary theme.

The final statement of the primary theme begins in measure 372 and is only twelve

measures in length. This music is almost the same as measures 36-52 of the primary theme

of the exposition, just four measures shorter. This statement leads into the coda starting in

measure 384, which ends the movement. This coda is marked piu presto and is based solely

on the opening rhythm from the primary theme. The harmony of the coda is simply tonic and

dominant chords producing several authentic cadences.


59

CHAPTER 6:

OP. 59, NO. 3, SECOND MOVEMENT

The second movement of Op. 59, No. 3 seems to be a Type 2 sonata with some

alteration. The latter half of the movement breaks the expectations of the Type 2 sonata with

additional statements of the secondary and primary theme as well as the transition section.

The two-part reprise structure of the initial statement of the primary theme as well as the final

return of the primary theme suggests a rondo or Type 4 hybrid. Figure 5.1 provides a formal

layout of this movement.

Rotation 1 Rotation 2 Exposition Development & Tonal Resolution Coda? False Recap.? Codetta

1 25 42 50 59 102 110 119 137 181 191

P TR ’ S /C TR ’ S /C ’ S P TR

a: i III vi modulatory I bV i

Figure 6.1. Formal Layout of Op. 59/3, II

The movement begins with the statement of the primary theme. The structure of the

primary theme is unusual for a Type 2 movement in that it in a binary form. The first phrase

can be seen as four measures in length with a two-measure extension. The first violin plays

the melody over a pizzicato, dominant pedal played by the cello. The second violin and the

viola join the texture in measures 3-4. The cello resolves the dominant “E” pedal to the tonic

“A” for a perfect authentic cadence (mm. 4-5). The cello then provides a little extension,

which either repeats back to the beginning for the second statement of the first phrase or


60

moves on to the second phrase starting in measure 7. The second phrase is eight measures in

length and contains three repetitions of the portion of the primary theme played by the first

violin in measures 1-3. The first repetition tonicizes F major (mm. 7-9), the second repetition

tonicizes D minor (mm. 9-12) and the third repetition returns to the tonic key of a minor

(mm. 12-14). The third phrase begins in measure 14, is eight measures in length, and stays in

A minor. It ends in measure 20 with a perfect authentic cadence. Like the repeat at the end

of the first phrase, the cello provides a little turn around before repeating back to measure 7

for the second statement of phrases two and three or moving on to the rest of the movement.

There is a short codetta in measures 21-24 before the start of the transition section in measure

25.

The transition section is composed of melodic material similar to the primary theme

and modulates to the relative major key of C major for the start of the secondary theme in

measure 42. The secondary theme is rather short consisting of only eight measures. It begins

with four sixteenth note pickups into measure 42 and is marked piano dolce. The first violin

plays the melody in the first four measures of the secondary theme (mm. 42-45) and it is very

lively in character. This four-measure melody is repeated by the viola in measures 46-49.

The closing section begins in measure 50 with the melody again played by the first violin.

This closing section is composed simply of tonic and dominant seventh chords alternating

over a tonic pedal.

The development begins in measure 59 with the return of melodic material from the

transition. The return of the primary theme is expected at the start of the development in a

Type 2 sonata in some off-tonic key, and a hint of it can be found in the arpeggiated melodic


61

figures starting in m. 69. This development starts in the key of F minor and does fulfill the

expectation of modulating through multiple keys areas as is shown in Figure 5.2.

m. 59 66 75 81 83 85 91 93

keys: Fm Ebm Bbm Fm Cm Gm Dm Am


These key areas cycle through the circle of fifths before the expected tonal resolution

bringing back the secondary theme in measure 102 in A major. Like the secondary theme in

the exposition, this statement of the secondary theme is also eight measures in length. This

statement of the secondary theme passes the four-measure melodic portion from the first

violin (mm.102-105) to the viola (mm. 106-109), which is consistent with the statement in

the exposition. The closing section begins in measure 110 and is presented in the same way

as in the exposition.

The secondary theme returns in measure 119, breaking away from the formal

expectations created by the music thus far. At this point in the form, a coda section is

expected and not the return of the secondary theme for a third time. Not only does this theme

return but it is in the key of Eb major, which is the flattened dominant relative to the primary

key of A minor. Since this theme returns in the wrong key after the Type 2 form has been

completed, it could possibly be seen as the possible start of the coda section, albeit one that

challenges the notion of what constitutes a coda with its tonal center a tritone away from the

primary tonic of the movement.


62

The form then takes another unexpected turn with the return of the primary theme in

the primary key at measure 137. The primary theme is stated here not in an abbreviated form

as one expect with a coda, but in full, the length as it was in the exposition, only instead of

repeats, it is written out. Here, the second time each of the original three phrases is repeated,

the melody is an octave higher. The transition section then begins in measure 181. There are

two interpretations in which the additional statements of the secondary theme, the primary

theme and the transition section can be viewed formally. The first interpretation is that there

is a coda starting is measure 119 with the start of the secondary theme in Eb major. This

coda extends through the statement of the primary theme and the transition section, which

results in one large coda section. The second interpretation is that the start of the coda

section remains the same (m. 119) but there is a false recapitulation starting with the return of

the primary theme in measure 137 through the transition section. This thesis considers the

second interpretation best because the return of the primary theme does not seem to fit in

with the material that starts in measure 119. This movement ends with a short codetta

starting in measure 191. This codetta begins with the material from the two codettas seen

earlier in the movement and highlights triplets in the cello while the other three voices hold

notes in the tonic triad.

Joseph Kerman addresses the conflict inherent in the form of this movement directly.

He states that “the heavy da capo of the tune suggests A B A arch form, not the two-part

balance that is basic to classic sonata form.”44 Kerman also discusses the possibility of this

movement being in sonata form because this movement contains a development like section

and a secondary theme. This thesis views this movement as a Type 2 sonata form because it

44 Joseph Kerman, “The “Razumovsky” Quartets.” In The Beethoven Quartets, 117-154. New York: Alfred A Knopf Inc., 1966, 150.


63

does fit well within the Type 2 formal model of sonata form as described by James

Hepokoski and Warren Darcy for 115 measures and completes all of the expectations of that

model before presenting musical challenges to that interpretation.

In Conclusion

The typology that James Hepokoski and Warren Darcy describe in their book

“Elements of Sonata Theory” is very useful when considering the formal structure of the ten

sonata form movements in the Op. 59 string quartets. Approaching the formal analysis of

these movements with this typology gives the analyst an advantage compared to some older

approaches because it allows a sonata form movement to be generally categorized into one of

five possible types. This thesis discusses how closely each movement fits within the

Hepokoski/Darcy typology. Each of the five types exhibits specific characteristics that are

unique to it and these characteristics help determine how a particular movement relates to all

other movements with sonata form attributes. Using their typology allowed for the ten

sonata-form movements in the Op. 59 string quartets to be categorized in a more rigorous

way than was possible before 2006 and allowed these ten movements to be placed in a

dialogue between the literal formal structure of the movement and the abstract formal

structure of the model. Not all movements follow a strict adherence to any one type of

sonata form model when concerning their formal structure. This thesis takes into account

what type of sonata from each movement is according to Hepokoski and Darcy and how

these ten movements adhere to or break with the expectations set by each type.

Seven of the ten movements in the Op. 59 string quartets are in a Type 3 sonata form.

The most normative of these movements – No.1, movement 1; No. 1, movement 3; No. 2,


64

movement 2 and No. 3, movement 4 – deviate only slightly in their formal construction from

the model for a Type 3 sonata form. The remaining three movements – No. 1, movement 4;

No. 2, movement 1 and No. 3, movement 1 – are still Type 3 sonata forms, but all exhibit

blurred boundary lines between their development and recapitulation sections.

The second movement from Op. 59, No. 1 has been discussed in several articles due

to its unique formal structure. This movement has characteristics that strongly suggest both

sonata form and a traditional scherzo and trio movement. The movement does not contain

the two-reprise structures that would be seen in a traditional scherzo and trio, nor the larger

da capo repeat found in such movements, but it is marked “sempre scherzando” and is 3/8

time, thus matched the character of such movements. On the other hand, it contains themes

and sections that give the listener a strong sense of sonata form throughout the movement, as

well as secondary thematic material in the first part that returns transposed to tonic before the

movement’s end.

The fourth movement of Op. 59, No. 2 exhibits a cross between Type 2 and Type 4

sonata forms. Two defining characteristics in this movement are the placement and the

function of the second statement of the secondary theme and the number of primary theme

statements. The second statement of the secondary theme occurs after the second statement

of the primary theme and occurs after what sounds like a development section. Therefore the

second statement of the secondary theme acts like the expected tonal resolution in a Type 2

sonata. On the other hand, there are four statements of the primary theme in tonic, which

would be a normal expectation in a Type 4 sonata.

The second movement of Op. 59, No. 3 is a Type 2 sonata form with some significant

alterations to the latter half of the form. After the expected tonal resolution, this movement


65

has an additional statement of the secondary theme suggesting a coda as well as additional

statements of the primary theme and the transition section suggesting a false recapitulation.

These sections add significant length to the movement and consequently force the listener to

reassess the movement’s form after a fairly clear expression of a Type 2 has already been

presented.

Op. 59 includes Type 2, Type 3 and Type 4 sonata forms among its twelve

movements and although several of the sonata form movements do have some level of

deviation from the formal models set forth by Hepokoski and Darcy, they all have structural

elements that seem best understood in relation to the Hepokoski/Darcy typology. The

research presented here suggests several avenues for future research. The first and most

obvious would be to examine the sonata form movements in the rest of the quartets through

the lens of the Hepokoski/Darcy typology, a study which might further illuminate to what

extend the textbook Type 3 model alone does all of the quartets a disservice, or if in fact

more conventional approaches to sonata form are enough to adequately represent the other

quartets. Another avenue might be to examine the sonata-form movements of those works

closest to the Op. 59 works chronologically through the lens of the Hepokoski/Darcy

typology: some of these include the Op. 56 Triple Concerto, the Op. 57 Piano Sonata, the Op.

58 Piano Concerto No. 4, and his 4th Symphony, Op. 60. While beyond the scope of this

study, such research might provide a better sense of whether the variety of sonata forms

found in the Op. 59 set is an anomaly, or simply a part of his middle period style.


66

BIBLIOGRAPHY

Barry, Barbara R. “Dialectical Structure in Action: the Scherzo of Beethoven’s F Major Razoumovsky Reconsidered.” In The Philosopher’s Stone: Essays in the Transformation of Musical Structure, 18-31. New York: Pendragon Press, 2000.

Caplin, William E. Classical Form: A Theory of Formal Functions for the Instrumental

Music of Haydn, Mozart, and Beethoven. New York and Oxford: Oxford University Press, 1998.

Cooper, Barry. “The Arrival of Beethoven’s ‘Razumovsky’ Quartets in Manchester.”

Manchester Sounds vol. 5 (2005): 53-62.

Del Mar, Jonathan. “A Problem Resolved? The Form of the Scherzo of Beethoven’s String Quartet in F, Op. 59, No. 1.” The Beethoven Forum 8 (2000): 165-172.

Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 37.39 minutes.

Emerson String Quartet, Beethoven: The String Quartets (Complete), (Deutsche Grammophon, 1997) 26.10 minutes.

Galo, Ellen Gillespie. “Analysis of the Rasumovsky Quartets Op. 59, Nos. 1, 2, and 3 of

Beethoven.” M.A. diss., State University College, Postdam, New York, 1977. Gentry, Sarah Jones. “A Rhythmic Study of the First Movement of Beethoven’s String

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Beethoven’s Quartet Op. 59, No. 1.” Music Theory Spectrum, Vol. 7, Time and Rhythm in Music (Spring, 1985): 114-138.

Hepokoski, James, and Warren Darcy. Elements of Sonata Theory: Norms, Types, and Deformations in the Late-Eighteenth Century. Oxford and New York: Oxford University Press, 2006.

Kerman, Joseph. The Beethoven Quartets. New York: Alfred A Knopf Inc., 1966.


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Lochhead, Judy. “Some Musical Applications of Phenomenology.” Indiana Theory Review 3,

no. 3 (1980): 18-27. Lockwood, Lewis. “A Problem of Form: The “Scherzo” of Beethoven’s String Quartet in

F Major, Op. 59, No. 1.” The Beethoven Forum 2 (1993): 85-96. Miller, Malcolm. “Peak Experience: High Register and Structure in the “Razumovsky”

Quartets, Op. 59.” In The String Quartets of Beethoven, edited y Kinderman William, 60-88. University of Illinois Press, 2006.

Ratner, Leonard. “Sonata Form.” In Classic Music: Expression, Form and Style, 217-247. New York: Schirmer Books, 1980.

Richards, Mark. “Transforming Form: The Process of Becoming in the Scherzo of Beethoven’s String Quartet, Op. 59, No. 1.” Indiana Theory Review Vol. 30, No. 1 (Spring 2012): 75-102.

Rosen, Charles. The Classical Style Haydn, Mozart, Beethoven. New York: W. W. Norton & Company, 1997.

Takacs Quartet, Beethoven: String Quartets Op. 59, Nos. 1, 2, & 3 and Op. 74 (2CDs),

(Decca Music Group Limited, 2002) 39.36 minutes.

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Beethoven, Performers, and Critics, 94-133. Detroit: Wayne State University Press, 1980.

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