BEETHOVEN’S COMPOSITIONAL TENDENCIES
IN SELECTED SONATA-ALLEGRO
MOVEMENTS FOR PIANO
Approved by:
___________________________
Prof. Jacquelyn Hale
___________________________
Prof. Robert Frank
___________________________
Prof. David Karp
BEETHOVEN’S COMPOSITIONAL TENDENCIES
IN SELECTED SONATA-ALLEGRO
MOVEMENTS FOR PIANO
A Thesis Presented to the Graduate Faculty of
Meadows School of the Arts
Southern Methodist University
in
Partial Fulfillment of the Requirements
for the degree of
Master of Music
with a
Major in Music Theory
by
Leonardo Zuno Fernández
(B.M., Dallas Baptist University)
(M.M., Southern Methodist University)
May 19, 2007
Zuno Fernández, Leonardo
B.M., Dallas Baptist University, 2003
M.M., Southern Methodist University, 2005
Beethoven’s Compositional Tendencies
in Selected Sonata-Allegro
Movements for Piano
Advisor: Professor Jacquelyn Hale
Master of Music conferred May 19, 2007
Thesis completed March 14, 2007
The sonata-allegro movements in the Beethoven piano sonatas reveal many of the
composer’s compositional choices. First movements of twelve piano sonatas, Nos. 1-11
and 15, provide a sufficient source for determining which techniques Beethoven
commonly used in sonata-allegro form and which features are avoided. Analysis of
Beethoven’s treatment of sonata form identifies instances where he deviates from
conventional norms. In general, the techniques discussed are the addition of materials to
–and omissions from—the sonata-allegro structure, the use of multi-part sections, the
composer’s compositional tendencies in development sections, the interplay between the
major and minor modes, and harmonic form and function.
A wide variety of examples from the twelve sonatas allow for discussion and
comparison of similar compositional treatments. Examples are supported with tables,
figures, and in-depth analysis of various topics. An appendix, in a table format, provides
a resourceful summary of compositional devices by sonata number. Conclusions about
the composer’s style are drawn through a synthesized approach to analysis.
iii
TABLE OF CONTENTS
LIST OF TABLES............................................................................................................. vi
LIST OF FIGURES ........................................................................................................... ix
ACKNOWLEDGEMENTS............................................................................................. xvi
Chapter
1. INTRODUCTION ...................................................................................................1
2. ANALYTICAL PROCEDURES.............................................................................6
3. EXPANDED, ADDED, AND OMITTED MATERIALS ....................................11
General Observations.......................................................................................12
Thematic Variation and Dominant Extensions ................................................27
Reminiscences..................................................................................................42
Summary ..........................................................................................................54
4. MULTI-PART SECTIONS ...................................................................................55
General Observations.......................................................................................56
Summary ..........................................................................................................69
5. DEVELOPMENTS AND RETRANSITIONS......................................................71
General Observations.......................................................................................72
False Recapitulations .....................................................................................104
Summary ........................................................................................................107
6. MAJOR-MINOR RELATIONSHIPS .................................................................109
General Observations.....................................................................................109
Summary ........................................................................................................123
iv
7. FUNCTION AND HARMONY ..........................................................................124
General Observations.....................................................................................125
The Submediant Key Relationship ................................................................133
b
VI and Augmented 6th Chords......................................................................136
Added 7ths .......................................................................................................141
Simple Harmonies..........................................................................................144
“Wrong” Keys................................................................................................146
Summary ........................................................................................................153
8. CONCLUSION....................................................................................................155
APPENDIX: EXAMPLES OF COMPOSITIONAL DEVICES BY
SONATA NUMBER ....................................................................................................159
BIBLIOGRAPHY............................................................................................................161
v
LIST OF TABLES
Table
Page
1. Corresponding sonata and opus numbers ................................................................2
2. Sonata No. 2, corresponding exposition and recapitulation sections.....................13
3. Sonata No. 4, corresponding exposition and recapitulation sections.....................19
4. Sonata No. 5, recapitulation content ......................................................................20
5. Sonata No. 5, corresponding exposition and recapitulation sections.....................22
6. Sonata No. 6, corresponding exposition and recapitulation sections.....................22
7. Sonata No. 7, corresponding exposition and recapitulation sections.....................23
8. Sonata No. 7, recapitulation content ......................................................................25
9. Sonata No. 7, recapitulation content ......................................................................26
10. Sonata No. 6, corresponding exposition and recapitulation sections.....................32
11. Sonata No. 10, uses of derived material ................................................................38
12. Repetitions of previously-stated material ..............................................................42
13. Sonata No. 9, on motivic function .........................................................................49
14. Sonata No. 7, mm. 35-45, Trans., part 3................................................................61
15. Sonata No. 7, mm. 73-87, CT, part 2.....................................................................62
16. Sonata No. 7, on the uses of the motivic tetrascale from KA1..............................65
17. Sonata No. 15, Trans., part 3, analysis...................................................................68
vi
18. Sonata No. 1, development ....................................................................................72
19. Sonata No. 1, harmonies in the retransition...........................................................72
20. Sonata No. 2, development ....................................................................................73
21. Sonata No. 3, development ....................................................................................74
22. Sonata No. 3, comparison of bass lines .................................................................76
23. Sonata No. 3, false recapitulation in mm. 109-129................................................76
24. On movement around the dominant in other sonatas.............................................77
25. Sonata No. 4, development ....................................................................................78
26. Sonata No. 4, retransition.......................................................................................81
27. Sonata No. 5, development ....................................................................................81
28. Sonata No. 5, harmonies in the retransition...........................................................81
29. Sonata No. 6, development ....................................................................................83
30. Sonata No. 6, chromatic bass line in the development ..........................................84
31. Sonata No. 7, development ....................................................................................86
32. Sonata No. 7, harmonies before the recapitulation ................................................88
33. Sonata No. 8, bass notes in the development.........................................................89
34. Sonata No. 8, development ....................................................................................91
35. Sonata No. 9, development ....................................................................................94
36. Sonata No. 10, development ..................................................................................96
37. Sonata No. 10, ascending bass line in the development ........................................97
38. Sonata No. 11, development ..................................................................................99
39. Sonata No. 11, bass notes leading to the retransition ..........................................100
40. On the uses of the flat two pitch in other sonatas ................................................102
vii
41. Sonata No. 15, development ................................................................................103
42. Sonata No. 15, retransition...................................................................................104
43. Sonata No. 3, outline of development section .....................................................105
44. Sonata No. 3 and 6, on their similar bass motion ................................................106
45. Sonata No. 10, false recapitulation ......................................................................106
46. Sonata No. 6, corresponding sections in the exposition and recapitulation.........113
47. Sonata No. 6, key relationships in the recapitulation...........................................114
48. Sonata No. 8, KA2, part 1....................................................................................116
49. Sonata No. 11, major and minor versions of the same interval class ..................120
50. Sonata No. 15, modal mixture before the recapitulation .....................................121
51. Sonata No. 4, harmonic analysis of the CT .........................................................130
52. VI and bVI relationships in Sonata Nos. 9, 15, 16, and 29 ..................................135
53. Sonata No. 9, dominant pedal extension..............................................................139
54. Sonata No. 5, corresponding parts in the exposition and recapitulation
sections..............................................................................................................147
55. Sonata No. 5, transition........................................................................................148
56. Sonata No. 5, transition to [KA2] in the recapitulation .......................................148
57. Sonata No. 5, harmonic progression in the transition..........................................149
58. Sonata No. 8, transition to [KA2] in the recapitulation .......................................151
59. Sonata No. 8, tonal levels and harmonic progression in the transition to [KA2]
in the recapitulation...........................................................................................152
viii
LIST OF FIGURES
Figure
Page
1. Sonata No. 3, mm. 59-62, inserted material after KA2 .........................................14
2. Sonata No. 3, mm. 217-218, deceptive cadence (DC) leading to an expansion....14
3. Sonata No. 3, mm. 232-235, expansion after [CT]................................................15
4. Sonata No. 4, mm. 79-93, insertion after KA2 ......................................................16
5. Sonata No. 4, mm. 312-320, expansion after [coda] .............................................18
6. Sonata No. 4, mm. 323-331, reminiscence of motivic ideas .................................19
7. Sonata No. 5, mm. 23-30, cadential extension after KA1 .....................................20
8. Sonata No. 5, mm. 207-253, [KA2] modulating from Fm to Cm..........................21
9. Sonata No. 7, mm. 286-298, expansion after the [coda]........................................24
10. Sonata No. 7, mm. 299-302, reminiscence of KA1 after the [coda]......................25
11. Sonata No. 7, mm. 310-327, continuation .............................................................26
12. Sonata No. 2, mm. 203-224, dominant pedal extension ........................................28
13. Sonata No. 5, mm. 56-76, KA2 and its varied repetition.......................................29
14. Sonata No. 5, mm. 76-94, dominant extension before [CT]..................................30
15. Sonata No. 6, mm. 145-148, thematic variation in [KA2].....................................31
16. Sonata No. 6, mm. 153-161, more thematic variation in [KA2] ...........................32
17. Sonata No. 6, mm. 47-55, dominant extension before the CT...............................33
ix
18. Sonata No. 6, mm. 185-189, cadential extension after KA2 .................................33
19. Sonata No. 7, mm. 7-16, cadential extension in KA1............................................34
20. Sonata No. 8, mm. 168-175, dominant extension in the retransition.....................35
21. Sonata No. 9, mm. 5-6, cadential extension after KA1 .........................................35
22. Sonata No. 9, mm. 7-12, insertion before the transition ........................................36
23. Sonata No. 9, mm. 46-50, cadential extension before the CT ...............................37
24. Sonata No. 9, mm. 91-94, thematic variation on KA1 ..........................................38
25. Sonata No. 10, mm. 187-200, cadential extension after the [CT], using KA1
content.................................................................................................................39
26. Sonata No. 11, mm. 31-32, KA2 theme.................................................................40
27. Sonata No. 11, mm. 39-40, varied repetition of KA2 theme .................................40
28. Sonata No. 11, mm. 52-56, cadential extension before CT ...................................41
29. Sonata No. 15, mm. 219-226, dominant extension................................................41
30. Sonata No. 15, mm. 250-268, end of dominant extension and retransition...........42
31. Sonata No. 3, mm. 233-234, KA1 reminiscence ...................................................43
32. Sonata No. 3, mm. 237-240, reminiscence of KA2’s rhythm in coda...................44
33. Sonata No. 3, mm. 31-32, material from KA2.......................................................44
34. Sonata No. 3, mm. 252-253, closing material in the coda .....................................44
35. Sonata No. 3, m. 13, material from the transition..................................................45
36. Sonata No. 4, mm. 323-327, KA2 reminiscence at the end of the movement.......45
37. Sonata No. 4, mm. 60-63, KA2, original content ..................................................46
38. Sonata No. 4, mm. 339-346, codetta......................................................................46
39. Sonata No. 4, mm. 127-129, coda, original content ..............................................46
x
40. Sonata No. 4, mm. 351-355, KA1 reminiscence ...................................................47
41. Sonata No. 4, mm. 1-4, KA1, original content ......................................................47
42. Sonata No. 9, mm. 57-60, KA1 reminiscence at the end of the exposition...........48
43. Sonata No. 9, mm. 1-2, KA1’s theme, original content.........................................48
44. Sonata No. 9, mm. 13-17, transition ......................................................................49
45. Sonata No. 9, mm. 61-64, beginning of the development .....................................49
46. Sonata No. 9, mm. 91-94, beginning of the recapitulation ....................................50
47. Sonata No. 9, mm. 148-153, coda..........................................................................50
48. Sonata No. 11, mm. 8-9, beginning of the transition.............................................51
49. Sonata No. 11, mm. 1-2, KA1, original content ....................................................51
50. Sonata No. 11, mm. 66-68, end of the exposition..................................................52
51. Sonata No. 11, mm. 70-72, beginning of the development ...................................52
52. Sonata No. 15, mm. 160-165, end of the exposition..............................................53
53. Sonata No. 15, mm. 1-7, KA1, original content ....................................................53
54. Sonata No. 15, mm. 438-444, coda........................................................................53
55. Sonata No. 3, mm. 27-29, KA2, part 1 ..................................................................56
56. Sonata No. 3, mm. 47-49, KA2, part 2 ..................................................................56
57. Sonata No. 4, mm. 17-20 , Trans, part 1................................................................57
58. Sonata No. 4, mm. 25-28 and 35-36, Trans., part 2...............................................57
59. Sonata No. 6, mm. 19-20, KA2, part 1 ..................................................................58
60. Sonata No. 6, mm. 38-45, KA2, part 2 ..................................................................58
61. Sonata No. 6, mm. 47-55, dominant extension into the CT...................................59
62. Sonata No. 7, mm. 17-20, Trans., part 1................................................................60
xi
63. Sonata No. 7, mm. 23-30, Trans., part 2................................................................61
64. Sonata No. 7, mm. 67-70, CT, part 1.....................................................................62
65. Sonata No. 7, mm. 85-93, passage in the coda ......................................................63
66. Sonata No. 7, mm. 94-101, coda, part 1 ................................................................64
67. Sonata No. 7, mm. 106-113, coda, part 2 ..............................................................64
68. Sonata No. 8, mm. 51-55, KA2, part 1 ..................................................................65
69. Sonata No. 8, mm. 89-91, KA2, part 2 ..................................................................66
70. Sonata No. 9, mm. 23-36, KA2, part 1 ..................................................................66
71. Sonata No. 9, mm. 39-42, KA2, part 2 ..................................................................67
72. Sonata No. 15, mm. 40-47, Trans., part 1..............................................................67
73. Sonata No. 15, mm. 48-51, Trans., part 2..............................................................68
74. Sonata No. 15, mm. 60-91, Trans., part 3..............................................................69
75. Sonata No. 2, mm. 183-204, development section ................................................74
76. Sonata No. 3, mm. 91-97, opening of the development ........................................75
77. Sonata No. 3, mm. 127-130, movement around the G dominant ..........................77
78. Sonata No. 4, mm. 133-141, end of the exposition, opening of the
development........................................................................................................78
79. Sonata No. 4, mm. 167-170 (comparable to mm. 79-93) ......................................79
80. Sonata No. 4, mm. 173-189, retransition ...............................................................80
81. Sonata No. 5, mm. 158-168, retransition ...............................................................82
82. Sonata No. 6, mm. 64-70, opening of the development ........................................83
83. Sonata No. 6, mm. 118-140, recapitulation ...........................................................85
84. Sonata No. 7, mm. 119-137, end of the exposition and opening of the
development........................................................................................................86
xii
85. Sonata No. 7, mm. 156-167, development.............................................................87
86. Sonata No. 7, mm. 168-172, alternating harmonies ..............................................88
87. Sonata No. 8, mm. 131-137, introduction to the development section..................89
88. Sonata No. 8, mm. 145-155, development.............................................................90
89. Sonata No. 8, mm. 157-166, development.............................................................91
90. Sonata No. 8, mm. 167-171, retransition ...............................................................92
91. Sonata No. 9, mm. 57-61, ending of the exposition ..............................................93
92. Sonata No. 9, mm. 75-90, new theme in the development ....................................95
93. Sonata No. 10, mm. 78-81, KA2 theme in the development .................................96
94. Sonata No. 10, mm. 98-100, false recapitulation...................................................97
95. Sonata No. 10, mm. 120-126, retransition .............................................................98
96. Sonata No. 11, mm. 109-117, retransition ...........................................................101
97. Sonata No. 15, mm. 219-226, secondary dominant extension (part of the
retransition) .......................................................................................................103
98. Sonata No. 15, mm. 250-268, continuation of the retransition............................104
99. Sonata No. 3, mm. 108-111, false recapitulation.................................................105
100. Sonata No. 10, mm. 106-108, dominant extension (part of the retransition) ......107
101. Sonata No. 1, mm. 21-22, KA2, part 1 ................................................................110
102. Sonata No. 1, mm. 33-41, KA2, part 2 ................................................................110
103. Sonata No. 2, mm. 58-62, KA2, part 1 ................................................................111
104. Sonata No. 2, mm. 84-88, KA2, part 2 ................................................................111
105. Sonata No. 3, mm. 27-30, KA2, part 1 ................................................................112
106. Sonata No. 3, mm. 39-47, passage in KA2, used to connect part 1 to part 2 ......112
xiii
107. Sonata No. 6, mm. 145-148, [KA2], part 1..........................................................114
108. Sonata No. 6, mm. 153-161, [KA2], part 1, stated in the minor mode................115
109. Sonata No. 7, mm. 53-65, KA2 ...........................................................................116
110. Sonata No. 8, mm. 67-89, KA2, part 1 ................................................................117
111. Sonata No. 9, mm. 46-50, CT, using Em and E harmonies .................................118
112. Sonata No. 9, mm. 80-91, retransition .................................................................119
113. Sonata No. 9, mm. 151-155, coda section, using a reminiscence from KA1 ......120
114. Sonata No. 11, mm. 56-62, CT ............................................................................121
115. Sonata No. 15, mm. 219-226, 250-268, retransition............................................122
116. Sonata No. 1, mm. 1-4, KA1 theme.....................................................................125
117. Sonata No. 4, mm. 173-175, new theme in the development ..............................125
118. Sonata No. 4, mm. 181-183, new theme, transposed...........................................126
119. Sonata No. 15, mm. 40-47, transition ..................................................................126
120. Sonata No. 2, mm. 118-124, opening of the development ..................................127
121. Sonata No. 4, mm. 133-141, opening of the development ..................................128
122. Sonata No. 5, mm. 98-108, opening of the development ....................................128
123. Sonata No. 8, mm. 131-136, introduction to the development ............................129
124. Sonata No. 4, mm. 111-127, CT ..........................................................................130
125. Sonata No. 3, mm. 113-121, false recapitulation.................................................131
126. Sonata No. 4, mm. 79-93, insertion before the CT ..............................................132
127. Sonata No. 8, mm. 16-22, transition ....................................................................133
128. Sonata No. 6, mm. 119-140, recapitulation .........................................................134
129. Sonata No. 3, mm. 212-235, CT and expansion before coda ..............................137
xiv
130. Sonata No. 9, mm. 97-113, transition to [KA2]...................................................140
131. Sonata No. 3, mm. 59-62, passage before CT .....................................................141
132. Sonata No. 4, mm. 21-28, transition ....................................................................142
133. Sonata No. 10, mm. 33-41, passage before the CT..............................................143
134. Sonata No. 15, mm. 148-163, end of the exposition............................................144
135. Sonata No. 9, mm. 1-2, opening of KA1 .............................................................145
136. Sonata No. 9, mm. 89-90, retransition .................................................................145
137. Sonata No. 5, mm. 207-215, part of the transition to [KA2] ...............................147
138. Sonata No. 5, mm. 191-207, transition to [KA2] in the recapitulation................149
139. Sonata No. 5, mm. 32-56, transition to KA2 in the exposition............................150
140. Sonata No. 8, mm. 203-219, transition after [KA1] ............................................152
141. Sonata No. 8, mm. 245-254, circle-of-fifths progression within [KA2]..............153
xv
ACKNOWLEDGEMENTS
I would like to acknowledge all of the generous donors who have made my
education in the Unites States possible. May their kindness be greatly rewarded. I also
acknowledge Southern Methodist University, Dallas Baptist University, and San Marcos
Baptist Academy for continually making their noble mission statements a reality.
I offer my sincerest gratitude to the professors whose instruction has contributed
towards my formation as a Christian liberal artist, musician, pianist, theorist, and teacher.
Among these role models are Samuel Holland, Alfred Mouledous, David Mancini, Pete
Jutras, David Naugle, Barbara Wallace, and Richard Baca. Other great teachers for
whose model I am thankful are Rebecca Corley, Tena Hehn, Catharine Lysinger,
Matthew Kline, Karen Munson, LTC Victor Schmidt, and MAJ Jesse Crowell.
I thank Jacquelyn Hale, David Karp, and Robert Frank for serving in the thesis
committee and for their guidance and instruction in the process of writing this work.
I offer my sincere gratitude to all of the people whose constant help has sustained
me, including Kenneth Thomas, Alma Pressley, Brother David Liedl, and Gary Cook. I
would not be where I am today without their support.
To all of my friends, I extend my profound gratitude for their unconditional
support. I especially acknowledge Alejandro Call, Annelie Persson Call, José Luis
Padilla, Luis Spinola, David Muñoz, Omar García, María Cecilia Silva, Sayra Alcázar,
xvi
Kevin Gunter, and Monica Allen for their encouragement and friendship. May our
friendship continue to bear fruit.
Finally, I thank my family, who has given me “roots” to be planted in reality and
“wings” to achieve my highest goals.
xvii
Chapter 1
INTRODUCTION
The sonata-allegro form is among one of the most treasured signatures of the
Classical era, and it endures even today. While some composers experiment more than
others, and each tries to leave a mark that sets his music apart from other composers.
Beethoven composed thirty-two piano sonatas with opus numbers, in which he
experimented with the sonata-allegro form. These, along with his symphonic and
chamber music, are some of the most valuable contributions to Western music. Although
not every sonata has a sonata-allegro movement, most of them do. This work analyzes
the sonata-allegro movements from Volume I in the Henle edition.
Sonata Nos. 1-11 and 15 begin with sonata-allegro movements and are the focus
of this analysis. Of primary interest are Beethovenian traits within these movements—
his compositional tendencies. It is through careful listening, paused analysis, comparison
to other movements, and synthesis that one can create a general discussion of
Beethoven’s compositional traits and techniques. A detailed analysis of only a few
movements could not provide such a perspective. It is for this reason that twelve
movements from Volume I were selected. The sonata-allegro movements from Volume
II were also analyzed, but only in general terms and are referenced in a few examples.
1
Works are referred to by sonata number, rather than opus number, and examples
from these movements are discussed in the order as they appear in the Henle edition. For
quick reference, the following table illustrates corresponding sonata numbers and opus
numbers.
Table 1. Corresponding sonata and opus numbers.
Sonata Number
Opus Number
1
2, No. 1
2
2, No. 2
3
2, No. 3
4
7
5
10, No. 1
6
10, No. 2
7
10, No. 3
8
13
9
14, No. 1
10
14, No. 2
11
22
15
28
The analysis in the following pages aims to direct the reader into a fuller
understanding of Beethoven’s compositional style. This is hoped to be achieved by a
wide variety of discussions on topics that were found to be relevant—whether for their
interesting characteristics, the frequency of a technique’s use or lack thereof, similar or
different uses of the same feature in other movements, and their deviation from the
standard sonata-allegro form. The analysis for each example is only intended to provide
detail in the topic at hand, not to be a comprehensive discussion of every aspect of
musicality on the selected passage. In the following chapters, the reader will find an
array of compositional techniques used by Beethoven, the master of variety.
2
Chapter 2, “Analytical Procedures,” discusses how this work came about and
what steps were implemented to carefully analyze and draw comparisons for each of the
movements listed above. It discusses the analytical approach and details the procedures
used to synthesize and articulate the findings of this study.
Chapter 3, “Expanded, Added, and Omitted Materials,” is a focused look at
examples of additions to sections and truncation as compared to standard sonata form. It
is interesting to note that Beethoven added materials much more frequently than he
subtracted. His compositions demonstrate examples of insertions, cadential and
dominant pedal extensions, variation and repetition, the use of derived materials,
fragmentation of motives, reminiscences, and a few truncations.
Chapter 4, “Multi-part Sections,” deals with sections that can easily be divided
into smaller parts, due to their complexity. Through multi-part sections, Beethoven is
able to provide contrasting ideas—whether regarding texture, form, rhythm, harmony,
melody, contour, dynamics, articulation, or function. It is interesting to note that these
multi-part sections are often, but not limited to, the second key area and transitions.
Chapter 5, “Developments and Retransitions,” explores a wide range of topics
that come to light between the exposition and recapitulation in each of the selected
movements. The development sections of the sonata-allegro movements usually have
some of the most interesting elements of Beethovenian composition. They demonstrate
patterns and intervallic sequences, fragmentation and variation of motives, interesting
harmonic progressions and remote tonal regions. At times, new melodies are introduced
in these developments, which also feature walking bass lines, extended dominant pedal
tones with superimposed harmonies, chromatic mediant relationships to the tonic key,
3
increased chromaticism, and the use of borrowed harmonies. In a few cases, false
retransitions and recapitulations increase the listener’s expectation of the upcoming
recapitulation proper. Formal and harmonic elements are also explored in detail.
Chapter 6, “Major-minor Relationships,” explores Beethoven’s treatment of the
major and minor modes. In most cases, shifts from one mode to another occur in the
second key area, but in other instances, this happens elsewhere. These changes in mode
are usually accompanied by changes of texture and character in the music. Borrowed
harmonies and cosmetic alterations in the music are also discussed in this chapter.
Chapter 7, “Function and Harmony,” discusses the composer’s articulate use of
form and harmony. The use of harmonic variety often helps the composer achieve
certain musical effects that could not be obtained otherwise. Some of the major features
discussed in this chapter are:
•
supertonic, chromatic mediant, and tritone relationships to the tonic key
•
direct transposition of a melody
•
auxiliary chords that decorate diatonic harmonies
•
the #iio7 non-dominant harmony
•
chromatic alterations of original material and dissonance
•
the developmental treatment of musical motives
•
unexpected cadential resolutions
•
insertions in tonal levels different from the current key
4
•
the submediant (VI and bVI) relationships to the tonic key, the German, Italian,
and French Augmented 6th chords, and the application of deceptive cadences
(DC) to expand content
•
the use of 7ths in seventh chords
•
the insertion of unexpected keys
The following chapters communicate how much Beethoven treasured each of the
above-named uses of form and harmony. These uses include expanded, added, or
omitted materials; multi-part sections; events in developments and retransitions; majorminor relationships; and interesting harmonies. The goal of the analysis of Sonata Nos.
1-11 and 15 is to better understand Beethoven’s compositional style and tendencies in
sonata-allegro forms.
5
Chapter 2
ANALYTICAL PROCEDURES
Writing this analytical work was a lengthy process. The first step was to decide
what the basic content of the thesis would be. Because I have a special interest in the
Beethoven sonatas, many of which I have performed, the first task was to listen to all of
the sonata-allegro movements of the thirty-two piano sonatas. For each sonata, rough,
general sketches were made of the form and keys used in each of the above-mentioned
movements. During the careful aural analysis of these masterworks, many striking
similarities that exist between these sonata-allegro movements became more obvious.
It became clear that almost every movement has some part containing several
sections. For example, the content found in the second key area is often more complex
than simply a second theme. Many times, there are multiple thematic ideas presented in
the context of the second key area. Frequently, transitions are followed by extensions,
borrowing content from the first theme, and often merging the first theme with figuration
before going into new material that leads to the second key area.
Another noticeable feature was the fact that Beethoven more often than not adds
materials beyond the traditional forms. If a coda is expected, many times Beethoven
provides the coda with an extension; if a closing theme is expected, he often inserts
reminiscences of previously-stated material before finishing with a coda. The Beethoven
6
sonatas have a tendency to be lengthy, especially in the recapitulation. In many cases,
Beethoven is more experimental in his recapitulations than he is in his developments.
This form of experimentation is very often manifested in the addition of materials.
Both of the findings mentioned above made the analysis of these sonatas
complex, since multi-part sections and added materials obscure the lines of traditional
form and make it difficult to distinguish where one section ends and the other begins.
Other compositional features found through the listening process include patterned
harmonic progressions, particularly in developments, as well as delightful exchanges
between the major and minor modes. Very often, Beethoven provides the first part of a
theme in the minor mode, later contrasting it with its major counterpart.
After noticing these trends, I sought to find as many examples of Beethoven’s
unique compositional tendencies as possible, so as to catalogue them and give specific
citations which are discussed in this work. For a period of approximately one year, these
movements were the subject of analysis, which were played and analyzed many times.
To capture every example without losing any information, I used charts listing events that
were possible candidates of discussion for this work. An example of an event could be
the appearance of a bVI chord which later adds a 7th tone allowing for the enharmonic
respelling as a German Augmented 6th chord (#6=b7). Another example is the borrowed
iv chord in the context of a major key. Yet another example is an insertion being
presented in a recapitulation but is not found in the exposition.
Once the chart was completed, both with a list of events and their occurrences,
audio files were made with an oral discussion of every single example. Verbalizing the
content of each example was especially helpful, since doing so helped me to assimilate
7
and process all of the information discussed in these pages. These audio files were later
transcribed and became the basic content of each chapter.
Introducing the images was another challenge. All of the scores were scanned so
as to be imported digitally into each text file. Once the examples were selected, images
containing the corresponding measures in the examples were copied from the scanned
files. Other forms of editing of the visual examples include: the highlighting of important
material, the addition of measure numbers, and the layering of transparency to measures
outside the range of the example.
The thesis uses some abbreviations for the sake of space. “KA1” refers to the first
key area. “[KA1]” refers to the recapitulation’s first key area. The same applies for
“KA2” and “[KA2].” “CT” stands for closing theme, and “Trans.” for transition.
“Extensions” and “developments” are also abbreviated as “Ext.” and “Devel.,”
respectively. Minor keys are presented as “Em” or “Am,” while major keys are presented
as “E” or “A.” “RNA” stands for Roman numeral analysis.
The analytical focus of the thesis is selective. In other words, it does not attempt
to be a comprehensive analysis of every aspect of musicality, but simply an intelligent
discussion of whatever topic is being brought forth. Whenever relevant and useful
information is noteworthy, but not directly related to the topic at hand, it is presented in
footnotes. In many cases, charts were created making comparisons of similar
compositional events in other examples. Whenever possible, an attempt was made to
correlate examples between sonatas. Beethoven often used unique techniques to create
his sonatas, and examples from this thesis may be useful for further research, analysis, or
for teaching.
8
Some terms that need to be defined for the sake of clarity are the following:
Dominant pedal extension:
A dominant harmony, usually played in a retransition, that
lasts for several measures. It may also refer to a series of
harmonies that revolve around the dominant, mainly
emphasizing the V of the tonal level of the passage.
“Wrong” key:
A key other than the one expected under traditional
circumstances in a certain section of a sonata-allegro
movement.
Expansion:
Material inserted within the phrase or at the end as an
extension.
Insertion:
Added content, similar to an extension, except that it often
is presented in the midst of a section, rather than at the end.
If this material were omitted, the music would still meet the
requirements of form. In other words, the added material is
used for aesthetic and dramatic purposes, often introduced
after an evaded or deceptive cadence.
Extension:
A passage leading to stronger finality than the cadence
previously stated.
In summary, some of Beethoven’s compositional tendencies are revealed through
careful analysis of the sonata-allegro movements of his piano sonatas. The thesis shows
how Beethoven uses the same technique in more than one instance, and in many cases in
every sonata-allegro movement. The wide variety of examples provides ample topics for
9
discussion, and conclusions about his style are drawn through a synthesized approach to
analysis.
10
Chapter 3
EXPANDED, ADDED, AND OMITTED MATERIALS
Beethoven’s compositions are very resourceful. Throughout any of his pieces,
one finds a variety of motives, dynamics, texture, and character. With regard to form,
Beethoven often expands content in order to repeat, develop the material further, or to
confirm a cadence. Following is a description of the composer’s most common uses of
expansion: Cadential extensions occur when a section has ended with a strong cadence
and the material still continues to serve terminative function. Dominant extensions occur
when a dominant harmony creates a feeling of anticipation, tonicizing an upcoming key
(and usually, an upcoming section). Insertions occur when the material deviates from
expository function and goes in a developmental mode for a few bars. All of the abovementioned techniques are used frequently in the sonata-allegro movements of
Beethoven’s piano sonatas. The composer uses truncation—the exclusion of previouslystated material—only a few times. He has a tendency to add materials; not subtract them.
With regard to musical motives, Beethoven often varies material from key areas
(KA) 1 and 2, as well as from transitions and closing themes (CT) to display the
following compositional features: thematic variation, varied repetition, further
development of the main motives, derived material which can be used to connect various
11
sections of a movement, and reminiscences1 that serve as closing remarks in a movement.
Beethoven often fragments the movement’s motives in order to employ them to their full
potential. The following examples will be discussed in the order in which they appear by
assigned sonata number. This catalogue of examples does not intend to be exhaustive,
but rather, a directive including analytical discussions of specific compositional
techniques administered by the great composer.
General Observations
Sonata No. 2 in A contains an example of truncation, which is a unique feature in
Beethoven’s piano sonatas. The first part of the transition does not return in the
recapitulation; instead, the recapitulation provides sequences of mm. 40-43 at the tonal
levels of E, D, and A.2 The new material in the recapitulation serves the effect of a
transition without the consequence, the modulation. This way, Beethoven successfully
remains in the tonic key.
1
This term is used throughout the study, based on the definition of the term “Reminiscence motif” given by
The New Grove Dictionary of Music and Musicians: “A theme, or other coherent musical idea, which
returns more or less unaltered, as identification for the audience or to signify recollection of the past by a
dramatic character.”
2
Notice that this harmonic progression is a down by step motion from V-IV, which leads to a final cadence
on I (A).
12
Table 2. Sonata No. 2, corresponding exposition and recapitulation sections.
Exposition
Measure(s) Recapitulation
Corresponding
Measure(s)
KA1
1-20
[KA1]
225-243
First part of Trans. 1 21-31
Truncated
New material
244-250
Second part of
32-end
Second part of
251-end
Trans. 1 to the end
[Trans.] 1 to the end
Sonata No. 3 contains examples of insertion, expansion, and reminiscences of the
primary theme. The insertion is found in mm. 60-77, right after KA2 and before the CT.
Beethoven uses harmonies that elaborate the dominant key of G, which, in a sense, give
the feeling of venturing away from the dominant key, and then returns to the CT in which
G is stated more clearly. After m. 59, the composer could simply end KA2 and begin the
CT in m. 78. Thus, the material between mm. 59 and 78 forms an insertion. This
passage is very arpeggio-like, with ascending and descending figuration. The entrance of
the CT is delayed, as other diatonic harmonies extend this passage.
13
59
G:
I6
V7/IV
61
V 42
IV
Fig. 1. Sonata No. 3, mm. 59-62, inserted material after KA2.
An expansion also occurs in Sonata No. 3, in mm. 218-251 after the
recapitulation’s closing theme [CT]. In m. 218, a deceptive cadence arrives on an Ab
harmony, bVI in C, which should have been the final chord of the piece. Beethoven uses
the newly-introduced harmony as an opportunity to expand the material. Here,
Beethoven uses concerto-like figuration, playing with some very interesting harmonies.
217
Fig. 2. Sonata No. 3, mm. 217-218, deceptive cadence (DC) leading to an expansion.
14
In m. 232, a tonic six-four harmony is followed by a cadenza. One might
question the role of the CT. Does the closing material serve terminative function or does
it act as a springboard to introduce new material? In this case, it appears that, by means
of a deceptive cadence (m. 218), Beethoven expands content that he might not have
introduced otherwise.
232
233
Fig. 3. Sonata No. 3, mm. 232-235, expansion after [CT].
In the measures that follow, Beethoven brings back material heard earlier in the
movement. The closing material used in the codetta includes reminiscences of KA1 (m.
233), KA2 (m. 237 in a syncopated way), and the transition (m. 252). Here, we see a
review of all the themes of the piece which serve as “closing remarks.”
Sonata No. 4 contains many interesting formal and harmonic events, including an
insertion, two #iio7 non-dominant harmonies, examples of expansion, reminiscences, and
truncation. The first example is that of an insertion in mm. 79-110 after KA2, and in its
15
recapitulation counterpart, mm. 259-290 after [KA2]. This works almost like a transition.
This insertion moves away from the key of Bb, which is the expected key. It wanders
through C major, and returns to Bb. This material is not exactly a transition, because it
does not modulate, but it does deviate from Bb before confirming the key. In the
recapitulation, the corresponding content moves from Eb to F, and back to Eb for the
closing theme, retaining the same key relationships. Although it is not modulating, the
effect is one of transition.
79
85
C:ii o65 (enharmonic)
I
6
4
91
Fig. 4. Sonata No. 4, mm. 79-93, insertion after KA2.
16
Measures 79-81 contain an example of a #ii o7 to I progression. This harmony is
used three times in this movement. The first time it occurs (m. 79), it contains a
dissonant F# in the bass against an F-natural in the upper voice, creating a #ii o7 chord of
non-dominant function. The resolution of this harmony is not Em, Gm, or Bb—as one
might expect; but a C64 harmony. A C common tone exists between the dissonant and
resolution chords. This C64 harmony leaves room for extra materials to be inserted. In
mm. 88, the C64 chord becomes a G harmony, cadencing on C in the following measure,
making its way back to Bb major.
Beethoven could have continued from m. 78 directly to m. 111, without including
the inserted material, serving as another example of an insertion for aesthetic and
dramatic purposes, full of variety, with lyrical notes, scales, repeated notes, and
figuration that uses rapid scales and broken octaves. Examples of German and Italian
Augmented 6th chords can also be found in this movement. The same chord is found in
the recapitulation in m. 259 with the same function, but a different key. Finally, this D#o7
chord can be found in m. 167, but with a secondary leading-tone function, tonicizing an
Am64 chord.
This sonata also contains an expansion and reminiscences of motivic ideas. One
example occurs after the recapitulation’s coda, from m. 313 to the end of the piece. In m.
307, the coda material begins. The expected perfect authentic cadence (PAC) is evaded3
3
Regarding the ascending bass motion in the example above, certain comparisons can be made to “Für
Elise,” at mm. 68-75, where an insertion follows a chord progression with an ascending bass line from A to
C. Coming from Am (m. 67) the composer uses a C#o7/A pedal (m. 68) to tonicize Dm64. In m. 71, the
bass ascends to a Bb, and the harmony is Bb. Its relationship to Am is that of the Neapolitan level. Measure
72 contains an Eb harmony, which can be understood as a IV of Bb. That returns to Bb, then goes to a G#o65,
with a B in the bass, and resting on a i6 chord in m. 75.
17
by a Bo7, acting as a viio7 of Cm. The following example illustrates how Beethoven
prepares the return to Eb after this deviation.
312
317
E: V7
viio7/vi
vi
ii
V65
V7
Fig. 5. Sonata No. 4, mm. 312-320, expansion after [coda].
Regardless, in Sonata No. 4, the insertion continues with a reminiscence of KA2 (m.
323), followed by the varied material (m. 327). Here, the descending ten-note figure
differs slightly from the original in mm. 67-69. This is simply a cosmetic variation. The
material discussed above is followed by the coda proper,4 which begins in m. 339, ending
the piece with a reminiscence of KA1.
The bass line in “Für Elise” is A-Bb-B-C. The bass line in Sonata No. 4 is Bb-B-C. “Für Elise” uses a viio7
of iv in the same way as this sonata. They both have ascending bass lines, and they both insert material that
could just as well be absent. It is apparent that for dramatic, as well as for aesthetic purposes, Beethoven
chose to include these insertions.
4
The coda material previously presented in m. 307 did not serve a terminative function.
18
323
Remin. of KA2
325
Varied material
Fig. 6. Sonata No. 4, mm. 323-331, reminiscence of motivic ideas.
Finally, this fourth sonata also includes a truncation. The recapitulation omits the
material from the first part of the transition, and instead, provides new material (mm.
203-214), which consists of an extension of [KA1], thus avoiding the cadence that was
previously found in the exposition. In this way, Beethoven remains in Eb for the second
half of the transition, which starts in m. 215, allowing him to provide [KA2] in Eb, the
tonic key, as expected in the recapitulation.
Table 3. Sonata No. 4, corresponding exposition and recapitulation sections.
Exposition
Measure(s) Recapitulation
Corresponding
Measure(s)
KA1
1-13
[KA1]
189-201
Cadential Ext.
14-17
Truncated
First part of Trans.
17-34
Truncated
New material
202-214
Second part of
35-end
Second part of
215-end
Trans. to end
[Trans.] to end
19
Sonata No. 5 contains an example of a cadential extension, expansion, and
truncation. The first example—the cadential extension—is found in mm. 23-30, after
KA1, by re-stating the material from KA1. This repetition makes the cadence even
stronger by reaffirming the theme with a terminative function.
23
27
Fig. 7. Sonata No. 5, mm. 23-30, cadential extension after KA1.
Sonata No. 5 in Cm has an expansion before the [CT]. [KA2] begins in an
unexpected key, F minor. By means of an expansion, the composer moves from Fm to
Cm, in time for playing the closing theme in the recapitulation in the tonic key.
Measure(s)
211-233
233
241
248
Table 4. Sonata No. 5, recapitulation content.
Comment
Expanded material
Beethoven plays KA2, as is expected.
varies the material, using arpeggios, instead of the scale.
This measure corresponds to m. 71 in the exposition.
20
207
Fm:
211
F:
219
223
Cm: iv
i64
V7
233
i
240
Varied material
247
Fig. 8. Sonata No. 5, mm. 207-253, [KA2] modulating from Fm to Cm.
21
An example of truncation and expansion is found in Sonata No. 5’s recapitulation.
The truncation omits the cadential extension found in the exposition. The expansion is
illustrated in the previous figure.
Table 5. Sonata No. 5, corresponding exposition and recapitulation sections.
Exposition
Measure(s) Recapitulation
Corresponding
Measure(s)
KA1
1-22
[KA1]
168-189
Cadential ext.
23-31
Truncated
Trans. and KA2
31-70
[Trans.] and
190-229
[KA2]
Expansion
230-247
KA2 and CT
71-end
[KA2] and [CT] 248-end
Sonata No. 6 in F has an example of truncation. The harmonies contained here
are discussed in Chapter 7, “Function and Harmony.” The following table illustrates the
events with regard to form.
Table 6. Sonata No. 6, corresponding exposition and recapitulation sections.
Exposition
Measure(s)
Recapitulation
Corresponding
Measure(s)
KA1
1-18
[KA1]
118-136
material from Expansion
137-144
mm. 5-12
KA2
19-26
[KA2]
145-152
KA2 repetition
27-29
Truncated
Varied material
153-162
nd
nd
2 part of KA2 to 30-end
2 part of [KA2] 163-end
end
to end
22
So, mm. 137-177 expand on mm. 5-12 to establish the key of F for the recapitulation.
Perhaps Beethoven felt like the repetition of KA2 was unnecessary (m. 152), at which
point he introduced varied material based on the second theme. In other words, instead
of repeating KA2, he varies the same. This passage is full of Beethovenian
compositional activity.
Sonata No. 7 in D exhibits examples of truncation and expansion. The technique
of truncation is used in mm. 194-204. This section is longer in the recapitulation, in
order to move to Em. The exposition aimed towards Bm, the ii of KA2 in A. The
retransition’s counterpart goes to Em, the ii of [KA2] in D. What is interesting is that in
the process, the composer truncates the first part of the transition, which resembles the
theme in many ways—the equivalent of mm. 14-22. Thus, Beethoven adds to the
extension and takes away from the first part of the transition in order to achieve the
result: arriving at Em. Measures 201-204 reinforce the new tonal area of Em by way of a
V7-I progression.
Table 7. Sonata No. 7, corresponding exposition and recapitulation sections.
Exposition
Measure(s) Recapitulation
Corresponding
Measure(s)
KA1
1-13
[KA1]
184-196
Cadential ext. and first 14-22
Truncation
part of Trans.
Cadential Ext.
194-204
205-294
2nd part of Trans.,
23-113
2nd part of
KA2, CT, and Coda
[Trans.], [KA2],
[CT], and [Coda]
Expansion
295-end
23
The expansion in m. 295 is carried out after the coda. This coda, like Sonata No.
3’s [CT] and No. 4’s [coda], does not serve a terminative function; rather, it relies on
added materials to finish the piece.
In m. 294, a PAC (with a D in the soprano) should have occurred in order to
correspond with the exposition, but Beethoven instead provides an imperfect authentic
cadence (IAC) with the third of the D chord (F#) in the soprano voice. This allows him to
continue the sequence that would have ended, but that he chose to expand. Whereas this
coda section has only two sequences in the exposition, it has three sequences in the
recapitulation—giving room to go tonicize other key areas.
286
288
Extension
IAC
Fig. 9. Sonata No. 7, mm. 286-298, expansion after the [coda].
24
Measure
299
310
314
320
321
Table 8. Sonata No. 7, recapitulation content.
Comment
Recalling KA1, the composer tonicizes G.
turns to Gm (iv)
Bb7, which can be interpreted as a German Augmented 6th
chord (enharmonically spelled) in the key of D.
The previous harmony becomes an Italian Augmented 6th
chord.
It becomes a French Augmented 6th chord. All of this
happens through chromaticisms.
299
G:
Fig. 10. Sonata No. 7, mm. 299-302, reminiscence of KA1 after the [coda].
25
310
7
Gm
B
315
6
It.
321
Fr.
6
327
Fig. 11. Sonata No. 7, mm. 310-327, continuation.
Then, there is a downward movement in the bass to an A7 chord (m. 323). This half-step
motion is significant and often found in harmonies that surround the dominant. This
section ends with the following diatonic harmonies.
Measure(s)
324
326
Table 9. Sonata No. 7, recapitulation content.
Harmony RNA
Measure(s) Harmony
Bm
vi
325
Em
A7
V7
327
D
26
RNA
ii
I
Finally, KA1 is recalled, along with the CT accompaniment pattern, in m. 328. This
passage is a mixture of thematic ideas, using material from the opening and closing
sections in a finalizing way to close the piece. Now, unlike the beginning of the coda
section starting in m. 287, the material after the coda does intend to finish the movement.
Thematic Variation and Dominant Extensions
Sonata No. 2 has an example of a dominant extension in m. 202, during the
retransition, using an extended E7 harmony to cadence in A. This harmony lasts until m.
224 (for 22 bars). Beethoven uses other harmonies besides E, although he emphasizes E7
as the dominant of A.
27
203
205
212
219
Fig. 12. Sonata No. 2, mm. 203-224, dominant pedal extension.
Sonata No. 5 has varied repetition and an extended dominant harmony in KA2
and its variation (mm. 56 and 64). This extension lasts until m. 76. The same occurs in
the recapitulation (mm. 241-253).
28
56
58
Varied Repetition
66
73
Fig. 13. Sonata No. 5, mm. 56-76, KA2 and its varied repetition.
Measure 76 repeats the variation in yet a different way. The composer provides a tonic
six-four chord in Eb (m. 86). Here, a dominant pedal extension begins with a very
interesting chromatic motion around the dominant bass note. The Bb in the bass (in the
Eb64 chord) ascends to a C (m. 87), returns to the Bb (m. 88), moves to A (m. 89), and
back to Bb (m. 90), only to land on the V7 harmony in m. 93. This is a tense and dramatic
moment in the piece. It also uses many chords surrounding the dominant, setting up a
29
feeling of tension that is only resolved by the PAC in Eb (m. 94), where the closing theme
begins.
76
Dominant Extension
Cadential
Extension
80
E:
87
 o4
ii 3
I64
 o6
ii
5
I 64
V7
I64
I
Fig. 14. Sonata No. 5, mm. 76-94, dominant extension before [CT].
Sonata No. 6 in F has examples of thematic variation and of a dominant pedal
extension. The thematic variation is found during [KA2] in mm. 145-146. Compared to
KA2, some note values are slightly altered in the recapitulation. This is an example of a
cosmetic change in the music for variety’s sake—something Beethoven was a master at
crafting. Although it is a small change, it is significant, because it keeps the
recapitulation interesting and somewhat new.
30
145
146
Fig. 15. Sonata No. 6, mm. 145-148, thematic variation in [KA2].
In mm. 153-154, the lower voice in F minor plays the second theme in yet another way,
with repeated eighth notes and in the minor mode.
31
153
155
159
Fig. 16. Sonata No. 6, mm. 153-161, more thematic variation in [KA2].
Sonata No. 6 in F has a dominant pedal extension, and varied repetition in mm.
47-55 and 179-189.
Table 10.
Measure(s)
47-55
179-189
Sonata No. 6, corresponding exposition and recapitulation sections.
Harmony Comment
G7
acting as a V7 of C, the dominant key
C7
acting as a V7 of F, the tonic key
32
47
C:
V7
50
V7
I – CT begins
Fig. 17. Sonata No. 6, mm. 47-55, dominant extension before the CT.
Then, in mm. 187-189, there is a repetition of material to reinforce the PAC after KA2,
an octave higher; this only happens in the recapitulation, and it is one of Beethoven’s
strongest compositional techniques—adding materials through repetition at different
registers.
185
189
Fig. 18. Sonata No. 6, mm. 185-189, cadential extension after KA2.
33
Sonata No. 7 has an example of a cadential extension in mm. 11-16. After
cadencing in m. 10, during KA1, Beethoven re-states the material (mm. 11-16) with
more figuration, leading to the transition that goes to Bm—the relative minor of the
tonic key of D.
7
PAC
13
Fig. 19. Sonata No. 7, mm. 7-16, cadential extension in KA1.
This transition begins in m. 17, and contains a beautiful melody in m. 23 that could easily
be confused for theme 2, if it were in the key of A. The fact that it is in Bm—the ii in
A—makes it clear that it belongs to the transition section.
Sonata No. 8 has a dominant pedal extension in mm. 167-194 in the development
section. This can all be considered as part of the retransition that modulates back to Cm.
The following example displays a G pedal surrounded by chromatic chords that add
drama, dissonance, and tension to the retransition—all of which are resolved in the
recapitulation (m. 195).
34
167
168
173
Fig. 20. Sonata No. 8, mm. 168-175, dominant extension in the retransition.
Sonata No. 9 in E contains examples of a cadential extension, insertion, and
thematic variation. First, the cadential extension is found in mm. 5-6, followed by an
insertion in mm. 7-12. The following example displays a cadential extension.
5
Fig. 21. Sonata No. 9, mm. 5-6, cadential extension after KA1.
35
Measures 7-12 form part of an insertion, because Beethoven could have easily omitted
these few measures, continuing from the end of m. 6 to the transition in m. 13.
7
8
Fig. 22. Sonata No. 9, mm. 7-12, insertion before the transition.
This same sonata uses a cadential extension in mm. 46-50. This example uses
sforzandi, and shifts between Em and E, emphasizing the finality of KA2, in preparation
for the closing theme.
36
46
50
Fig. 23. Sonata No. 9, mm. 46-50, cadential extension before the CT.
Finally, Sonata No. 9 uses thematic variation in m. 91, during [KA1], where the
accompaniment changes. In the recapitulation (m. 91), there is an ascending, fast, scalar
accompaniment. In the exposition, the accompaniment figure pattern consists of an
eighth rest, followed by repeated eighth notes. Also, in m. 93, the melody has two
quarter notes, whereas in the exposition it has one half note. These are small, cosmetic
changes, but they are also details that add a great amount of interest to the music at this
stage of the movement.
37
91
93
Fig. 24. Sonata No. 9, mm. 91-94, thematic variation on KA1.
Sonata No. 10 exhibits extensions, reminiscences, and repetitions. The cadential
extension is found in mm. 183-186, with a beautiful and melodic representation of the
first theme.
Table 11. Sonata No. 10, uses of derived material.
Measure(s) Comment
187
Recalling of a fragment of KA1
192
Repeats the reminiscences.
197
Uses in a repetitive fashion a small fragment of the
reminiscence previously stated—namely, the last three
notes of m. 196 and the first note of m. 197.
This small fragment ends the piece delicately and motivically. Beethoven was certainly a
composer famous for his ingenious use of motives. This is an exemplary passage,
because the motive from KA1 is used in so many different ways, and with various
functions (i.e., to restate, remind, and close).
38
187
190
195
Fig. 25. Sonata No. 10, mm. 187-200, cadential extension after the [CT],
using KA1 content.
Sonata No. 11 uses varied repetition and a cadential extension. In m. 38, the
second theme is varied with different rhythmic values, playing the upper voice on the
offbeat.
39
31
32
Fig. 26. Sonata No. 11, mm. 31-32, KA2 theme.
39
Fig. 27. Sonata No. 11, mm. 39-40, varied repetition of KA2 theme.
The fast ascending figuration and harmonies starting in m. 44 suggest transitional
movement. However, they only provide some of the effects of a transition, without a
modulation. This is yet another example of how Beethoven provides a musical struggle
to stay in the dominant key before the closing theme restates and confirms the dominant,
F major. Many other sonatas have this kind of figuration right before the closing theme,
which provides terminative function by means of motives, techniques, harmonies, and
figuration. A cadence is found in mm. 52-56, finishing KA2, followed by the closing
theme.
40
52
55
Fig. 28. Sonata No. 11, mm. 52-56, cadential extension before CT.
Sonata No. 15 has perhaps the longest dominant pedal extension during the
development among these examples, in mm. 219-256. This extension consists of an F#
harmony (and some other neighbor chords, but primarily F# is emphasized), only to finish
with an idea based on the closing theme, in the key of B. This idea then serves as a
retransition back to the tonic key in the recapitulation. Beethoven changes the mode of
the CT from B to Bm, which functions as a vi in the tonic key. Then, he provides a V7
chord and begins the recapitulation in D.
219
Fig. 29. Sonata No. 15, mm. 219-226, dominant extension.
41
250
B:
260
D:
V7
vi
Fig. 30. Sonata No. 15, mm. 250-268, end of dominant extension and retransition.
This same sonata has plenty of repetitions. For the sake of space, these examples are not
illustrated, but the reader is encouraged to refer to them.
Table 12. Repetitions* of previously-stated material.
Measure(s) Repetition of 36
21
71
63
11
1
48
40
106- 104
108
29
19
57- 55-56 109
89
61
*There are also many repetitions and fragments of the closing theme.
Reminiscences
Beethoven uses reminiscences to bring back previously-stated materials. In most
cases, the main themes are recalled with terminative function after the recapitulation’s
[CT] or during the coda. Other uses of this compositional technique include connecting
sections via a motivic idea, and variation of these motives. They also provide the listener
42
with familiar content. Most examples contain only a fragment of the theme, whose
function is no longer to state, but to close the piece. This terminative function is
accomplished by more frequent cadences, altered note values from the original version,
and accompaniments that suggest the ending of the piece. Beethoven also uses the
assertion of the tonic when he presents recollected material. This is contrasting to other
parts of the movement, where he stays away from the tonic key as much as possible.
Following are some examples of reminiscences Beethoven uses in Volume I.
Sonata No. 3’s coda displays many recollections from previously-exposed
material: KA1, KA2, and the transition. The first reminiscence is from KA1 in m. 233.
233
Fig. 31. Sonata No. 3, mm. 233-234, KA1 reminiscence.
It also recalls the syncopated rhythm from KA2 (mm. 31-32) in m. 237.
43
237
Fig. 32. Sonata No. 3, mm. 237-240, reminiscence of KA2’s rhythm in coda.
31
Fig. 33. Sonata No. 3, mm. 31-32, material from KA2.
The closing material found in m. 252 recalls the transition (m. 13).
252
Fig. 34. Sonata No. 3, mm. 252-253, closing material in the coda.
44
13
Fig. 35. Sonata No. 3, m. 13, material from the transition.
Sonata No. 4 includes reminiscences from material stated in the KA2, coda, and
KA1, respectively. The first example recalls the stepwise, downward moving materials
from KA2 in m. 324. The varied content is also brought back in m. 327. Here, the inner
voices vary with regard to their direction, although the content is unchanged.
323
325
Fig. 36. Sonata No. 4, mm. 323-327, KA2 reminiscence at the end of the movement.
45
60
Fig. 37. Sonata No. 4, mm. 60-63, KA2, original content.
Measure 339 has a reminiscence from the exposition’s coda.
339
340
Fig. 38. Sonata No. 4, mm. 339-346, codetta.
127
Fig. 39. Sonata No. 4, mm. 127-129, coda, original content.
46
Finally, KA1 is recalled in m. 351, as this section ends like the piece begins. However,
here the accompaniment pattern has shorter note values and much louder dynamics. The
tonic chord is used with a terminative function.
351
Fig. 40. Sonata No. 4, mm. 351-355, KA1 reminiscence.
1
Fig. 41. Sonata No. 4, mm. 1-4, KA1, original content.
Sonata No. 9 has derived material from the first theme in many parts of the
movement. An example is found in the codetta in mm. 57-60. The same is true of the
recapitulation’s counterpart, in mm. 148-162. This material is used to make a connection
from the end of the exposition to the beginning of the movement upon the repeat. The
second ending of the exposition connects to the development using KA1’s theme.
Beethoven makes these connections seamless.
47
57
Fig. 42. Sonata No. 9, mm. 57-60, KA1 reminiscence at the end of the exposition.
1
Fig. 43. Sonata No. 9, mm. 1-2, KA1’s theme, original content.
A reminiscence5 of a similar type as the one discussed above can be found in mm. 148162. However, here it is used as closing material, alluding to the major-minor sounds
from earlier in the piece (i.e., mm. 46-49, 61-65, 81-90).
Another interesting issue arises with regard to the composer’s treatment of KA1’s
theme, which is played with every function: stating, transitioning, connecting, closing.
5
Chapter 6 will discuss the chromaticisms found in mm. 151-154 in more detail.
48
Table 13. Sonata No. 9, on motivic function.
Measure
Treatment of KA1’s theme
1
It is used to state the theme.
13
It is used to transition.
57
It is used to connect a section of the piece to
another. It connects back to the beginning of
the exposition as well as to the development.
It is used to develop (m. 61).
61-64
It is used to begin the development section.
91-94
The recapitulation has the same content, but
with a varied accompaniment pattern.
148
It is used to close the piece.
13
Fig. 44. Sonata No. 9, mm. 13-17, transition.
61
Fig. 45. Sonata No. 9, mm. 61-64, beginning of the development.
49
91
94
Fig. 46. Sonata No. 9, mm. 91-94, beginning of the recapitulation.
148
149
Fig. 47. Sonata No. 9, mm. 148-153, coda.
Sonata No. 10 in G contains KA1 reminiscences in the coda, in m. 188. Then, in
m. 192, one finds a repetition of the same, along with an extension (m. 197) with
fragments derived from the same material.
50
Sonata No. 11 in Bb also has derived material from KA1 in many sections of the
movement. The first example is found in mm. 8 and 135. In both cases, it is used to start
the transition.
8
Fig. 48. Sonata No. 11, mm. 8-9, beginning of the transition.
1
Fig. 49. Sonata No. 11, mm. 1-2, KA1, original content.
In mm. 66-67 and 197-198, at the end of the exposition and recapitulation, one finds
reminiscences of the same motive—this time with a terminative function.
51
66
Fig. 50. Sonata No. 11, mm. 66-68, end of the exposition.
The development begins by using the same motivic material, which is also used to close
the exposition. It is used as a connective factor between both sections.6
70
Fig. 51. Sonata No. 11, mm. 70-72, beginning of the development.
Sonata No. 15 provides the pastoral feel after which it is titled by means of a drone bass.
It uses reminiscences from KA1 all throughout the piece. Once again, this material is
found at the end of the exposition (at the first and second endings) and at the opening of
the development section, which starts in the key of G major. This drone bass gives the
movement its continuity and flow.
6
This is comparable to Sonata No. 9, whose discussion is found in this chapter.
52
160
Fig. 52. Sonata No. 15, mm. 160-165, end of the exposition.
1
Fig. 53. Sonata No. 15, mm. 1-7, KA1, original content.
Measure 438 has a reminiscence of KA1 at the tonic level, followed by repetitions of
fragments of the same motive (mm. 448-454, 455-458).
438
Fig. 54. Sonata No. 15, mm. 438-444, coda.
53
Summary
Beethoven is certainly the master of variety, whether for extending a section for
added drama, to recall an idea stated at the beginning of the movement, or to seamlessly
weave material together to give flow to the piece. This variety is always coupled with
excitement and freshness, maintaining the interest of the listener throughout the length of
the composition. The most common techniques used by Beethoven are cadential and
dominant pedal extensions, insertions, reminiscences, variation, repetition, using derived
material from the major sections of the piece, and fragmentation of motives. The use of
deceptive cadences often serves for the introduction of added materials. It is also evident
that the composer—more often than not—has a tendency to aggrandize his compositions
by the use of these ingenious techniques.
54
Chapter 4
MULTI-PART SECTIONS
Many of Beethoven’s compositions have sections that can easily be divided into
smaller parts. This work refers to such instances as multi-part sections. Through this
technique, Beethoven is able to present a wide variety of motivic ideas that can be
contrasted, developed, or used for different functions in the piece. Multi-part sections
provide musical contrast throughout the movements. Following is a list of techniques
which the composer uses extensively for contrast within multi-part sections:
Parts of certain sections are often melodic, while other parts are transitional and use
figuration extensively; some parts are expository (antecedents), while others are
terminative (consequents); the melodic contour of some parts is ascending, while it is
descending in others; and often, some parts use the major mode, while others are stated in
parallel minor.
These multi-part sections are often—but not limited to—KA2 and transitions.
Often, a change in texture, mode, rhythmic values, dynamics, or function indicates the
beginning of a new part within a major section. To identify each section, one must
carefully listen to the music as well as analyze its form and harmonies.
55
General Obervations
Sonata No. 3 has a KA2 in two parts, beginning in mm. 27 and 47. The first
section begins in Gm and the second in G, so Beethoven travels from the minor to the
major mode within the same key area. This occurs in many other sonatas, as we will see.
These examples sound like two different themes within this key area, and perhaps the
best way of playing these two themes was by distinguishing the mode. In the
recapitulation, [KA2] keeps the same relationship between the modes: Cm to C.
27
Fig. 55. Sonata No. 3, mm. 27-29, KA2, part 1.
47
Fig. 56. Sonata No. 3, mm. 47-49, KA2, part 2.
The next example is found in Sonata No. 4 in Eb, where the transition is divided in
two parts, beginning in mm. 17 and 35. The first part is in Eb and is very scalar—both
ascending and descending.
56
17
19
Fig. 57. Sonata No. 4, mm. 17-20 , Trans, part 1.
The next section has a rhythmic motive accompanying the scale. Measure 35 spells out
an F broken chord, and it turns into an F7 to take us to KA2 in Bb. The texture, the shape
of the melody, and the motive all change, making this section a multi-part transition.
25
35
Fig. 58. Sonata No. 4, mm. 25-28, Trans., part 2.
mm. 35-36, Trans.—continued.
The third example is from Sonata No. 6 in F. Here, KA2 in C is presented in two
parts, in mm. 19 and 38. The same applies to [KA2] in F, mm. 145 and 170.
57
19
Fig. 59. Sonata No. 6, mm. 19-20, KA2, part 1.
38
39
6
Cm
44
A

F
o7
Fig. 60. Sonata No. 6, mm. 38-45, KA2, part 2.
Each of the previous examples has different motives. The first is very melodic, and it
outlines a C major chord. The second has a different character. In it, Beethoven makes
use of repetition in the minor mode (Cm) to then arrive at an Ab harmony (m. 45), an F#o7
(m. 46), transitioning with a G dominant pedal back to the tonic key through mm. 47-57.
58
47
50
Fig. 61. Sonata No. 6, mm. 47-55, dominant extension into the CT.
After deviating from C major via its parallel mode, Beethoven cadences in C for the
closing theme, returning to the major mode.
In a way, the second half of this multi-part section has a similar role to that of a
transition in the sense that it deviates harmonically. However, in this case, there is not a
deviation from the key, but from the mode, followed by a return to the expected mode in
the closing theme.
Sonata No. 7 in D has several multi-part sections: a transition, closing theme, and
coda. The transition is in three parts, each starting in mm. 17, 23, and 31, respectively.
The first part consists of figuration resembling the theme, which then ventures into a
different direction, harmony, and texture with more drama than the theme itself.
59
17
18
Fig. 62. Sonata No. 7, mm. 17-20, Trans., part 1.
The first section ends with a fermata. The following part contains a beautiful melody in
B minor. The listener is led to believe that this is the second theme, especially after there
was a fermata right before this theme-like part of the transition (acting like a caesura);
however, Bm is only the relative minor of D, so it is clear that KA2 has not yet arrived.
60
22
23
28
Fig. 63. Sonata No. 7, mm. 23-30, Trans., part 2.
This melody ends in m. 30. The third part of the transition (mm. 35-45) is analyzed in
the following table.
Measure(s)
Harmony
Key
RN analysis
Comment
Table 14. Sonata No. 7, mm. 35-45, Trans., part 3.
31
35 37 39 42 43
#
Fm
E
A
D
E
A
A
A
A
A
A
A
vi
V
I
IV V
I
Third part of
After this, the function
transition begins.
is terminative.
Another example of multi-part sections is found in the closing theme of Sonata
No. 7 in D. The CT can be divided in two parts, each starting in mm. 67 and 73. The
61
first part is in the key of A with a melodic element, accompanied with a lower voice 4note descending pattern, which comes from KA1. These four notes are accompanying all
along.
67
Fig. 64. Sonata No. 7, mm. 67-70, CT, part 1.
Table 15. Sonata No. 7, mm. 73-87, CT, part 2.
Measure(s) Harmony Comment
73
D
Contains the 4-note motive from KA1
75
C
79
Dm
83
Bb
Using the same 4-note figure, Beethoven moves through various harmonies. In m. 83,
the motive arrives on a Bb harmony. At this point, we are a bVI from the tonic, and a
half-step above the key of A, which should be the key of this entire section. In m. 86, G#
pitch hints an E harmony, which is the dominant of A. There is a cadence in A (the
expected key) in m. 93. The previous chart shows how Beethoven has a tendency to be
experimental, even during the CT, whose function should be terminative—not
developmental. Beethoven ventures away from A and then returns. Perhaps, the
62
composer makes the arrival back to A even stronger by going away from it and then
returning to the expected key.
85
92
Fig. 65. Sonata No. 7, mm. 85-93, passage in the coda.
One more example from Sonata No. 7 in D is found in the coda section, which is
divided into three parts: starting in mm. 94, 106, and 114. The first part begins with
imitation between the upper and lower voices.
63
94
97
Fig. 66. Sonata No. 7, mm. 94-101, coda, part 1.
The second part has a completely different texture and character. It consists of two
phrases of a descending melodic line using half notes.
106
109
Fig. 67. Sonata No. 7, mm. 106-113, coda, part 2.
64
The third part of the coda is derived from the first four notes of the piece. This tetrascale
is used throughout the entire piece for various effects.
Table 16. Sonata No. 7, on the uses of the motivic tetrascale from KA1.
Measure(s)
Where
Comment
1, 3
In KA1
Descending and ascending
11
Extension
Used in the context of figuration
54
In KA2
Used for the theme in A and Am
67
In CT
As accompaniment
73
In CT
Used to move away from A.
75
In CT
Same as above
83
In CT
Same as above
114-123
End of exposition
Reminiscences
Sonata No. 8 in Cm has a KA2 in two parts, starting in mm. 51 and 89. [KA2]—
the counterpart—is like it, with two parts starting in mm. 221 and 253. KA2’s first part
begins in Ebm, and the second is in Eb. This minor-major relationship is significant,
because, while being in the correct tonality throughout KA2, Beethoven eventually
arrives at the expected mode for the second part of KA2 (m. 89). Both of these sections
have very different textures, dynamics, articulations, contours, and melodies.
51
Fig. 68. Sonata No. 8, mm. 51-55, KA2, part 1.
65
89
Fig. 69. Sonata No. 8, mm. 89-91, KA2, part 2.
Sonata No. 9 in E has a KA2 in two parts, each starting in mm. 23 and 39. Both
sections are in B. The first one begins with a descending melody; the second ascends, for
contrast.
22
23
Fig. 70. Sonata No. 9, mm. 23-36, KA2, part 1.
66
39
40
Fig. 71. Sonata No. 9, mm. 39-42, KA2, part 2.
Sonata No. 15 in D has a transition in three parts, each starting in mm. 40, 48, and
63. It is indeed a very interesting multi-part section. The first part of the transition has a
very melodic line with a pastoral feel, stating the melody in A and E. The development
section contains many sequential repetitions of theme-derived materials using the same
interval relationship.
40
44
Fig. 72. Sonata No. 15, mm. 40-47, Trans., part 1.
67
The second part is a varied repetition of the first section. This is more scalar than the first
part, and it also has a cadential extension attached to its ending.
48
Fig. 73. Sonata No. 15, mm. 48-51, Trans., part 2.
After arriving on an E harmony, it is clear that Beethoven is heading to A major in the
third part (mm. 63-98), but first he tonicizes F#m (mm. 63-64). It is this compositional
choice that makes the third part of the transition an insertion, because Beethoven could
have composed this piece without including this passage, and it would have been
musically complete.
Measure(s)
63-63
70
73
76
77
83
87-90
91
Table 17. Sonata No. 15, Trans., part 3, analysis.
Harmony
Comment
F#m
The insertion begins here.
A
From F#m, he arrives back in A
F#
Returns to F#m
German
Augmented
6th of F#m
C#
Which is the dominant of F#m
E#o7
Uses chromatic motion to get to the next harmony.
E7
Preparing the arrival of KA2 in the anticipated key.
A
Cadences
68
60
71
80
86
Fig. 74. Sonata No. 15, mm. 60-91, Trans., part 3.
Summary
The examples above display Beethoven’s well-planned organization of musical
ideas that serve the end of providing musical variety and excitement. Contrast is the
main theme of this chapter, as each example shows how Beethoven uses his musical
ideas to distinguish one mode from another, one texture from another, one melody from a
transitional passage, or a wide range of other features. Beethoven often gives various
forms of treatment to musical motives derived from these multi-part sections. These
functions include stating, transitioning, connecting, and closing. At times, it seems like
69
the composer has too many good musical ideas to discard any of them and opts to expose
all of them in multi-part sections, much to the listener’s delight.
70
Chapter 5
DEVELOPMENTS AND RETRANSITIONS
The development sections of the sonata-allegro movements have some of the
most interesting elements of Beethovenian composition. Here, one sees different cycles
of intervals, sequences, fragments and variations of previously-exposed materials,
dominant pedal extensions, interesting retransitions, ingenius harmonic progressions, and
the use of remote tonal regions. Sometimes, even new ideas are introduced in these
developments. Other elements widely employed in development sections are patterned
walking bass lines, the use of harmonies over an extended dominant pedal tone,
chromatic mediant relationships to the tonic key, increased chromaticism, and the use of
borrowed harmonies. At times, harmonies become dissonant and tense during
retransitions, and they resolve upon the arrival of the recapitulation. The composer often
explores distant harmonies from the tonic key. Beethoven also provides—in a few
instances—false retransitions and recapitulations, increasing the level of anticipation for
the recapitulation proper. This chapter also discusses the composer’s use of sequences,
concerto-like figuration, and bass movement around dominant harmonies at cadential
points. Finally, the technique of assigning the function of the retransition to the
recapitulation will be explored below. This chapter will review every development from
71
the selected sonatas, considering any harmonic progressions of interest, as well as any
noteworthy formal elements.
General Observations
Sonata No. 1 in Fm has some interesting bass motion and harmonies in the
retransition. This development begins in Ab—the same key as the end of the exposition.
Table 18. Sonata No. 1, development.
Measure(s) Harmony 55 Bbm
70 Bbm 75- Fm
80
b
b
49
A
68 Cm
72 A
Here, the music is ascending by seconds, and then descending by the same interval.1
Between mm. 81-93 a new theme is introduced over a C dominant pedal extension. This
is followed by the retransition, found in mm. 93-100 where Beethoven not only provides
the C pedal, but also other harmonies that tonicize Fm even further.2
C7
Table 19. Sonata No. 1, harmonies in the retransition.
Bbm
C7
Fm6
Bb7
Eo7
1
C7
This upward and downward movement of the roots by seconds (mm. 49-72) is somewhat symmetrical.
As we will see in other examples, Beethoven’s tonal levels might ascend by seconds, and also descend by
the same interval, but the descent begins from another tonal level—and is therefore, not as symmetrical.
For example, compare this development to Sonata No. 8’s mm. 207-220, whose discussion is found in
Chapter 7.
2
For more examples of this, see the retransitions of Sonata Nos. 5 and 8.
72
Sonata No. 2 uses a chromatic mediant relationship and a patterned bass line. Its
exposition in A ends in E, and briefly tonicizes Em. Here, the development begins in C,
whose relationship to E is that of a chromatic mediant. This is comparable to Sonata No.
5, whose exposition ends in Eb, and C is the next harmony at the beginning of the
development. The harmonies that the development explores are:
Table 20. Sonata No. 2, development.
Measure(s) Harmony 176 Dm
192
Dm
120
C
181 Dm
197 Am
122
Ab
183 Gm
202 E
148
Fm
185 C
161
F
187 F
This movement displays many different and interesting harmonic cycles. The sequential
pattern previously shown begins from the Em tonicization at the end of the exposition,
and continues descending by thirds until m. 176. This downward movement then
continues, but in fifths. The pattern continues, reversing the direction of the root: this
time, it is through ascending fifths. The harmonies in mm. 192, 197, and 202 are
preceded by their corresponding leading-tone seventh harmonies, C#o7, G#o7, and D#o7,
respectively. The E major harmony in m. 202 signals the beginning of the retransition,
and it lasts until m. 224.
73
183
186
192
198
Fig. 75. Sonata No. 2, mm. 183-204, development section.
Sonata No. 3 in C displays a patterned bass line, interesting chromatic movement,
and a false retransition and recapitulation. The exposition ends in the key of G, and it
begins the development section in Cm.
Measure(s)
Table 21. Sonata No. 3, development.
Harmony 91
Cm
93
Fm
74
97
Bb7
91
96
Fig. 76. Sonata No. 3, mm. 91-97, opening of the development.
From G-Cm-Fm-Bb7, the roots are descending by fifths. This last harmony, Bb7, breaks
the pattern, making a turn in the music into a concerto-like3 passage. From mm. 78-81,
KA2 theme in the development mm. 97-109, one hears broad broken chords in the upper
voice, accompanied by blocked accompanimental chords. It is during this change of
texture that Beethoven changes the direction of the bass line. The bass note begins
ascending chromatically. Table 22 compares Beethoven’s use of the ascending bass line
in the development section and the expansion in the recapitulation.
3
This sonata has many concerto elements, including the sections starting in mm. 97, 218, and the cadenza
in m. 232, followed by reminiscences (m. 233). It is evident that the composer was mixing the idea of the
concerto with that of the sonata. This cadenza uses the motive from KA1’s theme, which is followed by a
section of reminiscences. These passages are comparable to Sonata No. 6, from mm. 111-116, which has
chromatic descent by seconds in the bass.
75
Table 22. Sonata No. 3, comparison of bass lines.
False retransition in mm. 97-109
Expansion in mm. 218-251
Measure(s) Harmony Bass note Measure(s) Harmony Bass note
97
Bb7
Bb
218
Ab
Ab
99
Bo7
B
224
Eo42
Bb
6
#o4
101
Fm 4
C
226
F 3
C
103
C#7
C#
228
Bo65
D
# 6
#
#o6
105
Fm4
C
229
C 5
E
107
A65
C#
230
Bo43
F
#o7
109
D
D
231
F
F#
232
C64
G
The material in mm. 97-109 serves the function of a false retransition, preparing the
arrival of the false recapitulation (m. 109). Then, the harmonies descend by fifths.
Table 23. Sonata No. 3, false recapitulation in mm. 109-129.
Measure(s) Harmony Comment
109
D
115
Gm
hinting G briefly in m. 117
119
Cm
hinting C briefly in m. 121
123
Fm
127
Dm6, C64
128
Fm6, F#o7
129
G
HC
This movement around the V (mm. 127-129) is very typical of cadences in Beethoven’s
music. In m. 129, the retransition begins, consisting of a G dominant pedal harmony and
fragments of the theme from KA1. Table 24 lists other examples of Beethoven’s use of
this compositional device.
76
Table 24. On movement around the
dominant in other sonatas.
Sonata No. measures
4
105-109, 173-175, 181-183
5
82-86, 248-253
6
44-55
9
75-81
10
41-43, 106-107
11
36-38
127
Fig. 77. Sonata No. 3, mm. 127-130, movement around the G dominant.
Sonata No. 4 also has an eventful development. It has some interesting harmonic
patterns, a passage resembling an earlier insertion, and introduces a new melody in Am
and Dm. This development, like Sonata Nos. 2 and 5, begins a third lower than the final
harmony in the exposition. In this case, the exposition cadences on Bb, and it is
immediately followed by a G7 in m. 137.
77
133

137
B
G
7
Cm
Fig. 78. Sonata No. 4, mm. 133-141, end of the exposition, opening of
the development.
This opening of a development section down a third from the exposition is different from
Sonata Nos. 2 and 5 in that G7 tonicizes Cm, but it is a root that is kept for four measures
before resolving to Cm. So, all three of these examples are comparable. This passage is
followed by a descending thirds pattern:
Measure(s)
141
145
151
158
173
Table 25. Sonata No. 4, development.
Harmony Comment
Cm
Ab
Fm
here, an ascending seconds pattern begins
Gm
Am
Between the Gm and Am tonal levels, Beethoven alternates between the It. 6th and the V
harmonies in the key of Gm (mm. 162-165), followed by a deviation that resembles an
earlier insertion in the exposition.
78
The following example uses a D#o7 chord in A minor, acting as the #viio7 of the
dominant harmony, E7 (m. 171). Earlier in the movement (m. 79), the same D#o65 (#iio65)
harmony is used as a non-dominant fully-diminished chord4 resolving to a C64. In figure
79, it is a D#o7 resolving to Am64. In m. 173, the retransition begins.5
167
Fig. 79. Sonata No. 4, mm. 167-170 (comparable to mm. 79-93).
4
In both cases, these insertions are added materials, clearly. For example, the F harmony in m. 78 could
have easily been connected to m. 111, with a Bb harmony—where the closing theme begins. This means
that mm. 79-110 form an insertion. See Chapter 3 for more information about this example. In the same
way, m. 166 could have been connected to m. 171, without needing the secondary leading-tone harmony,
which was used more for a dramatic effect than out of necessity.
5
Notice that this retransition, like that in Sonata No. 6, does not use a long dominant pedal. Contrasting to
this example is Sonata No. 15, where the dominant pedal lasts from mm. 219-256.
79
173
179
185
Fig. 80. Sonata No. 4, mm. 173-189, retransition.
Something noteworthy in this development is that a new melody is introduced in Am.
This key is a tritone away from Eb, the tonic key (and the destination of this section).
Beethoven sometimes uses foreign keys in developmental sections. In m. 177, a sudden
modulation to Dm occurs by avoiding a PAC in Am. Beethoven then replaces the Am
chord with a Dm64, keeping the correct voice-leading in the bass, but suddenly moves to
Dm—a tonal level at which he restates the new melody. In a span of four measures,
Beethoven abruptly ends the melody, only using two diatonic harmonies to tonicize Eb.
80
Measure(s)
185
187
Table 26. Sonata No. 4, retransition.
Harmony Comment
Dm
Bb7
setting up for the eliding PAC in Eb in m. 189,
where the recapitulation begins
Sonata No. 5 in Cm uses a chromatic mediant relationship to the tonic key, a
patterned harmonic progression, and an extended dominant with interesting superimposed
harmonies. Its development section also introduces a new melody. This development
begins a third lower than the end of the exposition, which cadences in Eb.
Measure(s)
106
113
118
126
136
146
150
158
Table 27. Sonata No. 5, development.
Harmony Comment
C
down a third from Eb; then, down by fifths
Fm
Fm
new theme
Bbm
a new pattern begins: up by thirds
Db
Fm
and finally, up by fifths
Cm
G
half cadence
Following is the retransition over a G pedal point, and a long one indeed.6 Then, the
following harmonies are used over the G pedal.
G
6
Table 28. Sonata No. 5, harmonies in the retransition.
Fm
Eb
Fm
Cm
G7
Cm
This is comparable to Sonata No. 8’s retransition.
81
G
158
162
Fig. 81. Sonata No. 5, mm. 158-168, retransition.
Sonata No. 6 in F exhibits reminiscences of a KA2 motive, but inverted. It also
contains a patterned harmonic progression, a chromatic bass line, a new melody, and a
retransition that modulates to an unexpected key. This movement’s exposition ends in
the key of C, and the development section begins up a second, in the key of Dm. It is
similar to Sonata No. 4, where the exposition ends in Bb and the development begins in
Cm.
82
64
C
67
Dm
Fig. 82. Sonata No. 6, mm. 64-70, opening of the development.
The development uses an inversion of the KA2 motive. Instead of ascending, like the
melody in m. 19, the theme descends. At the same while, it is accompanied by figuration
in the upper voice.
Measure(s)
67
77
83
91
95
99
107
109
111
Table 29. Sonata No. 6, development.
Harmony Comment
Dm
Dm
New theme
Gm
down a fifth
Bb
using the same new theme
Bb
the KA2’s inverted motive is used again
Bbm
Fm
then, down by thirds
Db
Bo7
This breaks the pattern.
83
Then, the bass line begins sliding downward, chromatically.7
Table 30. Sonata No. 6, chromatic bass line in the development.
Measure(s) Harmony Bass note Measure(s) Harmony Bass note
111
Bo7
B
115
Asus
A
b7
b
112
B
B
116
A
A
113
Dm64
A
Finally, this A harmony sets up the recapitulation’s first key of D, which is an unexpected
tonality. Chapter 7 will discuss this passage in more detail. It is important to note that
while the retransition ends with the recapitulation in m. 118, the function of the
retransition continues until the resolution into F, the expected key. In other words, the
first few bars of the recapitulation finish what in this case the retransition did not
accomplish—making a return to the tonic key. In conclusion, Beethoven shifts the
function of the retransition to the beginning of the recapitulation.
7
This descending bass by seconds in mm. 111-116 can be compared to mm. 97-109 and 218-232 in Sonata
No. 3. See the discussion above for more details.
84
118
126
134
Fig. 83. Sonata No. 6, mm. 118-140, recapitulation.
Sonata No. 7 in D uses motivic treatment extensively. It also explores distant
harmonies from D and A major, uses the borrowed iv harmony, and has some interesting
bass motion. Its exposition ends in the key of A, with a descending 4-note pattern. This
pattern is used as a connective factor between the end of the exposition and the repeat of
the same, as well as into the development. This 4-note motive is used in a variety of
ways, and with many functions.8
8
This can be compared to Beethoven’s treatment of the first few notes of Sonata No. 2’s first theme.
85
119
119
128
Fig. 84. Sonata No. 7, mm. 119-137, end of the exposition and opening of
the development.
The development progresses as follows:
Measure(s)
125
129
133
149
157
167
Table 31. Sonata No. 7, development.
Harmony Comment
Am
Dm
using KA1’s theme.
b
B
This is loosely related to KA1’s theme, but at least it
keeps the same rhythmic values.
Gm
Eb
A
Retransition
86
156
158
163
Fig. 85. Sonata No. 7, mm. 156-167, development.
Beethoven achieves a dramatic change in tonal levels from Eb to A by using a G
harmonic minor scale in mm. 158-9. The chord progression follows from the arrival of
the scale into a C# bass note, forming a part of an A65 harmony (m. 161), which
progresses to Dm (m. 163), Italian Augmented 6th chord in D (m. 165), descending to A
(m. 167), where the retransition begins. This harmonic progression is very imaginative.
This retransition (mm. 167-183) alternates between the A7 and Dm harmonies.
This lower-voice pattern utilizes a half-step under each of the chord tones, a
Beethovenian use of dissonance and chromaticism. The introduction of the borrowed iv
chord adds interest and drama to the retransition. This is the tension that comes before
the resolution into the recapitulation, which begins in m. 184.
87
168
Fig. 86. Sonata No. 7, mm. 168-172, alternating harmonies.
Following this passage, a simple harmonic progression continues in the
retransition. This time, the interest is in the ascending bass line, which is used to
modulate back to the key of D.
Table 32. Sonata No. 7, harmonies
before the recapitulation.
Measure(s) Harmony Bass note
175
A
A
176
G6
B
7
179
A
C#
181-183
A65
C#
Sonata No. 8 has a development section displaying chromatic mediant
relationships, a patterned bass line, chromatic bass movement, and an extended dominant
accompanied by various harmonies. Its exposition ends with a D65 harmony, and it
resolves in the development’s introductory section, which is in Gm. In a very interesting
way, Beethoven respells the same notes enharmonically, to form a leading-tone D#o42
chord, that progresses to a B7 chord, setting up the key of Em. This occurs in m. 135,
where beat 1 spells those notes as an F#o42, and beat 3 as a D#o42. In other words, by
means of an enharmonically respelled common chord modulation, the composer arrives
88
at a foreign key—Em—which is not closely related to Cm, the tonic key. The key of Em
is up a chromatic mediant from Cm and down by the same relationship to Gm, found in
the introduction prior to the development.
131
133
Fig. 87. Sonata No. 8, mm. 131-137, introduction to the development section.
Table 33. Sonata No. 8, bass notes in the development.
Measure(s) Bass note Comment
137
E
142
Eb
143
D
acting as a dominant pedal of Gm
b
148
D
149
C
This downward bass movement resembles many other examples in developments by
Beethoven where the bass either ascends or descends by seconds. Such examples of this
89
technique9 are found in Sonata Nos. 1, 3, 4, 6, 9, 10, and 11. Therefore, it could be said
that this walking bass technique is a very common technique in the Beethoven sonatas.
In figure 88, Beethoven provides a tonal level in Gm, but an interesting point is
that there is no Gm root position chord between mm. 145-148. However, it is clear that
the tonal level implies a G minor harmony. A reason Beethoven does not provide a G in
the bass may be that he prefers to keep the downward chromatic movement in the bass,
which starts in m. 137. This tonal level is followed by a sequence in F, starting in m.
153.
145
150
Fig. 88. Sonata No. 8, mm. 145-155, development.
9
Sonata No. 3 (mm. 113-129) has some striking similarities to Sonata No. 8 (mm. 143-156). Both
examples create a feeling of tonal instability, in which Beethoven is not only venturing into other tonal
regions, but also avoiding any strong cadences, always moving elsewhere. That is what developments are
all about.
90
Measure(s)
157
160
161
162
163
165
167
Table 34. Sonata No. 8, development.
Harmony Comment
Bo7
In this passage, like in Sonata No. 3’s mm. 224-231,
Beethoven uses all possible fully-diminished
harmonies.
G7
This harmony is very close to its preceding fullydiminished chord. By changing the Ab to a G, it
became a G7 chord. Something similar happens from
the following Eo7 to C65 chords: The Db becomes a C
to turn the harmony into the C65, which acts as a
secondary dominant of the iv (Fm).
Eo7
C65
Fm
F#o7
G
This is a dominant pedal extension. The retransition
begins here.
157
163
Fig. 89. Sonata No. 8, mm. 157-166, development.
Like Sonata No. 5, this example from Sonata No. 8 uses several harmonies surrounding
G, all over the same dominant pedal. These harmonies are: C#o (with a suspended Ab
passing tone), Do, Ab, and G. These help create a sensation of tension before the
91
resolution arrives in the recapitulation. This dissonant use of the Ab later becomes
consonant in m. 187, where it fits into the Cm descending scale (over a G dominant
pedal) and is used to introduce the recapitulation.
167
168
Co
Do
A
G
Fig. 90. Sonata No. 8, mm. 167-171, retransition.
Sonata No. 9 in E contains a development section opening with a motivic idea,
before introducing a new theme; it also exhibits a chromatic mediant relationship to the
tonic key, a borrowed iv harmony, and a very simple retransition. Prior to the
retransition, it concludes its exposition in the key of B, with a reminiscence derived from
KA1’s theme (mm. 57-60).
92
57
Fig. 91. Sonata No. 9, mm. 57-61, ending of the exposition.
However, in m. 60, an A-natural is introduced, making the B harmony a B7, thus
tonicizing E upon the repeat of the exposition section. Therefore, the exposition and
development sections are connected through a motivic idea, a reminiscence from KA1.
The development quickly moves from E (m. 61) to a tonal level in Am (m. 65),
introducing a new theme. This is not the only sonata that introduces a new melody in the
development. Other examples are found in Sonata Nos. 1, 4, 5, and 6. The new theme is
presented again in m. 75 in the relative major of Am—C—which has a chromatic
mediant relationship to E major.
93
Measure(s)
61
62
63
64
65
67
69
71
72
73
74
77
79
81
Table 35. Sonata No. 9, development.
Harmony Bass note Comment
E
F maj.42
E
Ø6
B 5
D
#o4
G 3
D
Am6
C
Up to this point, the bass line has been
descending in a stepwise motion.
Then, it begins to ascend by seconds.
7
Dm
D
Am64
E
6
Dm 5
F
D65
F#
This acts as a V65 of V
6
C4
G
G7
G
Here, this ascent ends.
6
Em 4
B
The bass motion around the B
dominant signals the approaching
retransition.
A#o7
A#
B
B
At this point, the retransition begins over a dominant pedal extension, borrowing a iv
harmony from the minor mode.10 With B as the temporary tonic for this retransition, this
harmony alternates with Em until m. 88.11
10
Chapter 6 will discuss the use of the minor iv chord in more detail.
11
The use of the I-iv alternating progression is similar to that found in Sonata No. 7’s recapitulation, where
the A-Dm harmonies interact in the same way.
94
75
77
C:
80
84
89
Fig. 92. Sonata No. 9, mm. 75-90, new theme in the development.
Finally, a beautiful tonicization in m. 89 provides an A-natural for the return to E
in the recapitulation in m. 91. The progression12 in the two previous measures is V-IVI64-V7—all over a B pedal—to I. The PAC in E at the end of the retransition elides with
12
The down by step motion from the V to the IV chords is noteworthy.
95
the recapitulation. This simple chord progression can be compared to the simplicity of
the opening theme (mm. 1-4, 91-94), which uses I-IV-V-I, and here it is used to
reintroduce the main theme.
Sonata No. 10 displays fragmentation of KA1 and 2 motives, a patterned bass
line, a false retransition and recapitulation, a bVI relationship to the tonic key, and a
minor iv harmony in the retransition. Its exposition ends in the key of D. A noteworthy
observation about the development is that KA1 fragments are played in Gm, and KA2
fragments are played in Bb, resembling a typical key structure if the sonata were in Gm.
Table 36. Sonata No. 10, development.
Measure(s) Harmony
64
Gm
KA1
66
Cm
68
F#o7
69
F7
74
Bb
KA2
In this development, Beethoven follows the traditional key relationships that normally
would be used in an exposition. The exposition in this movement uses the keys of G and
D, as expected. This development uses Gm and Bb.
78
Fig. 93. Sonata No. 10, mm. 78-81, KA2 theme in the development.
96
An ascending bass line is found in these measures, where KA2 is developed.
Table 37. Sonata No. 10, ascending bass line in the development.
Measure(s) Harmony Comment
78
F7
79
F#o7
80
Gm64
G in the bass
b
81
A
Deceptive cadence, using a Neapolitan relationship
to G or Gm. Here, Beethoven continues to develop
KA1’s theme.
84
False retransition (Gm scale)
89
Tonicizes Fm
91
By sequential repetition, Beethoven tonicizes Bb.
At the end of the false retransition, a false recapitulation13 begins in Eb, which is a bVI
relationship from the tonic G. The bVI harmony is a technique that Beethoven uses to
expand the material at hand. In this case, the bVI helps Beethoven provide a false
recapitulation—as in Sonata No. 1, where the composer expands material by deceptively
providing a bVI (Ab) chord, instead of a tonic C chord in m. 218.14
98
Fig. 94. Sonata No. 10, mm. 98-100, false recapitulation.
13
The “False Recapitulations” section at the end of this chapter discusses mm. 99-124 in more detail.
14
Another example of this deviation from the tonic into the bVI is in Sonata No. 9, where the composer
ventures into a 4-measure tonal region in C before continuing to [KA2] in m. 103.
97
The compositional choice of writing a false retransition and recapitulation can be
considered an unexpected addition of materials. This false recapitulation, found in mm.
99-106, ends with a retransition alternating between the D7 and Gm harmonies (mm.
107-115).15
Once the alternating progression ends, the retransition continues with a sustained
dominant extension (mm. 115-124) on D7, the dominant of the tonic key of G. The
above-mentioned retransition is based on a fragment of the theme as connecting material,
a traditional way of returning to the recapitulation. After this long exploration of
different tonal levels and harmonies, the real recapitulation begins in the expected key
of G.
120
124
Fig. 95. Sonata No. 10, mm. 120-126, retransition.
15
Compare to Sonata No. 7’s retransition (mm. 167-175), which alternates between the A and Dm
harmonies, or Sonata No. 9’s retransition (mm. 81-89), which uses the B and Em chords. Sonata No. 10’s
retransition uses the D7 and Gm harmonies (mm. 107-115) to modulate back to the key of G. Finally,
Sonata No. 15 also alternates between an F# and Bm harmonies (mm. 219-226). In conclusion, it is fair to
say that the borrowed minor iv harmony is often used in retransitions.
98
One final observation is that this sonata alludes to mediant and submediant
relationships quite often. These elements are more characteristic of music from the
Romantic period, rather than from the Classical era.
Sonata No. 11 in Bb displays many interesting compositional elements: a
chromatic bass line, a patterned harmonic progression, clever use of dissonance, and
developmental treatment of motives. It is very chromatic, with a descending bass line by
seconds. The exposition ends in F, and the development begins in the same key. Then,
the composer begins a circle of fifths sequence.
Measure(s)
75
85
89
92
Table 38. Sonata No. 11, development.
Harmony Comment
Gm
and in 81 with a thematic idea based on the coda (m. 62)
Cm
Fm
Bbo7
Here,16 Beethoven breaks the sequence by providing a
seventh chord.
This is followed by a bass line descending chromatically by seconds.
16
Other examples of movements that break developmental sequences by providing a seventh chord are: No.
3 (m. 97) with a Bb7, No. 6 (m. 111) with a Bbo7, and No. 9 (m. 74) with a G7.
99
Table 39. Sonata No. 11, bass notes leading to
the retransition.
Measure(s) Harmony
Bass note
93
Fm6
Ab
7
95
G
G
97
Cm64
98
Gbo7
Gb
7
99
F
F
101
Bbm64
102
Fbo7
Fb
103
Eb7
Eb
b7
105
E continues;
At this point, the retransition begins. The descending bass line pattern ends, and a codabased pattern (from m. 81) begins.
Beethoven knew very well how to create dissonant sounds that gave a feeling of
tonal uncertainty. In figure 96, he provides a C7 harmony with an added flat scale degree
two (Db) in the upper voice in m. 109. The Db resolves to a C in m. 112. In the following
measure, the harmony is F7, also with an added flat 2nd (Gb). This dissonance lasts until
m. 116, where the suspended non-chord tone becomes an F. This dominant pedal
extension lasts from mm. 113-127, setting up the recapitulation in the tonic key. During
this F7 dominant pedal extension, Beethoven uses fragments of the coda motive (m. 62).
100
109
110
113
116
Fig. 96. Sonata No. 11, mm. 109-117, retransition.
Other examples of sonatas where the flat 2nd is significant for an added dramatic
effect are shown in the following table.
101
Table 40. On the uses of the flat two pitch in other sonatas.
Example
Measures Comment
Sonata No. 1, 23-25
This example uses an Fb in the melody against an Eb
KA2
in the bass. This Fb comes from the key of Abm,
which is the first key of KA2.
Sonata No. 3, 115
Suspended D bass note against an Eb
Development
119
Suspended G bass note against an Ab
123
Suspended C bass note against an Db
F# against an F in the upper voice (and a similar
Sonata No. 4, 79
CT
passage in m. 259)
Also,
111
Sonata No. 5,
[Trans.]
207-215
Sonata No. 7,
KA2, into the
closing theme
69-73
Sonata No. 8,
Retrans.
167-170
187
Sonata No. 9,
Coda
148-154
Bb pedal with Cb in the accompanying upper voice.
These harmonies are decorative of the primary
harmony for the passage, which is Bb. The
juxtaposition of the Bb with Cb creates dissonances.
Db in the melody against a C in the bass. Here, a D
could have been used, but Beethoven borrowed the
Db from the minor mode of F. The composer is
transitioning to the key of F.
In this section, dissonances are used in much the
same way as in Sonata No. 3, where the bass note is
used in suspension, and thus clashes with the new
harmony in the upper voice; it uses major and minor
seconds.
Here, Beethoven uses an Ab against a G pedal tone.
This scale implies a G harmony, but uses pitches
from the Cm scale. Cm is the destination key of this
retransition, since it is leading to the recapitulation
in m. 195. Here, adding the Ab is very appropriate,
because first it is perceived by the listener as a
dissonance and then it turns into scale step 6 in the
tonic key.
Here, Beethoven uses an F against an E in the upper
voice. This chromaticism resembles the idea of
using the borrowed minor iv chord (i.e., mm. 46,
81).
102
Sonata No. 15 has a patterned harmonic progression and a long secondary
dominant pedal harmony. Its exposition ends in the key of A, but during the last four
bars (mm. 160-163), it retransitions to D by introducing a G. Thus, the development
section begins in D.
Measure(s)
167
183
Table 41.
Harmony
G
Gm
187
191
Dm
Gm
195
203
209
213
217
Dm
Am
Em
Bm
German
Augmented
6th of Bm
F#
219-256
Sonata No. 15, development.
Comment
using KA1’s theme
Where he begins the lower-voice scales,
switching to the minor mode.
At this point, an ascending pattern begins: down
by fourths.
Dominant pedal extension—here, the
retransition begins.
219
Fig. 97. Sonata No. 15, mm. 219-226, secondary dominant extension (part of
the retransition).
103
What is interesting about this dominant pedal is that it does not tonicize D
major, but rather, B minor. Once this pedal harmony resolves in m. 257, Beethoven
continues in B major, then in B minor, and finally returns to the tonic key of D.
Measure(s)
257
262
267
269
Table 42. Sonata No. 15, retransition.
Harmony Comment
B
Closing theme in the VI
Bm
Closing theme in the vi; there is a change of mode, to
fit the harmony into the context of D, where Bm is a
vi chord.
7
A
V7
D
Recapitulation in the expected key
250
260

B
F
A7 (tonicizing D)
Bm
Fig. 98. Sonata No. 15, mm. 250-268, continuation of the retransition.
False Recapitulations
In a false recapitulation, the first theme is presented, but in an unexpected key.
This can be deceiving to the listener, who is led to believe that the development has
104
ended, and that a retransition has already occurred. It is only later that the listener
realizes that, in fact, the recapitulation is yet to come, and that the previous
announcement of the first theme was presented in a deceiving manner.
The false recapitulation in Sonata No. 3 begins in the key of D in m. 109. This
false recapitulation is presented in the context of the following formal structure, which is
very evenly distributed:
Table 43. Sonata No. 3, outline of development section.
Measure(s) Section
91-108
development
109-129
false recapitulation
130-138
retransition
108
Fig. 99. Sonata No. 3, mm. 108-111, false recapitulation.
Sonata No. 3’s false recapitulation and a passage from Sonata No. 6 can be
compared with regard to their function. In Sonata No. 6’s mm. 110-118, the retransition
fails to modulate back to the correct key, and the tonic key returns as a consequent phrase
in the recapitulation. Another striking similarity is the fact that the bass notes leading to
each of the sections being discussed display chromatic motion.
105
Sonata
No. 3
No. 6
Table 44. Sonata No. 3 and 6, on their similar bass motion.
Measure(s)
Comment
97-109
The bass line ascends like this: Bb, B, C, C#, D
110-118
The bass line descends like this: Db, C, B, Bb, A
Once these bass lines reach their respective destinations, Beethoven presents the
primary theme in a “wrong” key—Sonata No. 3 in the manner of a false recapitulation,
and Sonata No. 6 as the recapitulation itself in the midst of modulating back to the tonic
key. Therefore, the function of both of the passages discussed above is similar.
Sonata No. 10 also displays an example of a false recapitulation in the key of Eb,
starting in m. 99.
Measure(s)
99
101-102
103
104
105
105
106
17
Table 45. Sonata No. 10, false recapitulation.
Harmony
Comment
Eb
This is the beginning of the false
recapitulation, utilizing KA1’s theme.
Ab
Bb, G6
The relationship to the tonic key is that of a
chromatic mediant.17
G6, Cm
D
D
Gm to French
From Gm to the French Augmented 6th, the
Augmented 6th
root descends by third. This is also a
18
chromatic mediant relationship.
(in Gm), to D
in m. 107
This is comparable to Sonata No. 29’s exposition, where KA1 is in Bb and KA2 and the CT are in G.
18
The harmonic progression of the French Augmented 6th chord to the D (mm. 106-107) is comparable the
one found in Sonata No. 29’s development, from Eb to D (VI to V), in mm. 190-191 with root position
chords descending by step.
106
The retransition found in mm. 107-127 uses a D dominant pedal extension. This
retransition uses a fraction of KA1’s theme in a reminiscent fashion. Beethoven also
alternates between the D and Gm harmonies.
106
Fr. 6
107
D
6
Gm
4
Fig. 100. Sonata No. 10, mm. 106-108, dominant extension (part of the retransition).
Summary
Developments are where Beethoven best expresses different versions of his
original ideas. Beethoven is known for being a composer who exploits motivic material
to the fullest—even outside of the development section. Some of the techniques he
implements within his developments are the use of sequences and cycles of intervals (i.e.,
seconds, thirds, and fifths) by patterned harmonic progressions. The fragmentation and
variation of original motives is a common practice, as is the use of distant harmonies
from the tonic key and the introduction of new melodies. Bass lines are often patterned
in diatonic or chromatic, ascending or descending, motion. The use of auxiliary chords
107
that decorate the dominant harmony is also common. The composer explores
chromaticisms and the use of borrowed harmonies in development sections. Mediant and
submediant relationships to the tonic key are found in most of the sonatas analyzed in this
study. At times, the listener is led to believe that the recapitulation has started, only to
later discover that it is yet to come, and that the former announcement was deceptive. It
is during the developments that one sees the realization of some of the cleverest
compositional decisions made by Beethoven.
108
Chapter 6
MAJOR-MINOR RELATIONSHIPS
Beethoven often experiments with major and minor key relationships. In many
cases, his music moves between the minor and major modes during KA2 before
confirming the key in the CT or coda section. These shifts in mode are usually
accompanied by changes of texture and character in the music. After Beethoven moves
away from an expected mode, he usually makes a return to the “correct” mode via nonmodulating transitional material. Other noteworthy major-minor relationships are found
in Beethoven’s use of borrowed harmonies and cosmetic changes, such as the provision
of the major and minor versions of the same interval class. Following are some general
examples of the above-stated compositional features.
General Observations
In Sonata No. 1, the key of Ab is presented in KA2 in the minor and major modes:
first, m. 21 presents Ab minor; then in Ab major (m. 33). The first part of KA2 displays
darker sounds than the second, as Abm has 7 flats. The tonic key is Fm, and this sudden
change in character strongly effects the listener.
109
20
21
Fig. 101. Sonata No. 1, mm. 21-22, KA2, part 1.
The second part of KA2 (m. 33) is livelier and uses sforzandi. The shift from the
minor to the major mode is probably to form an emotional effect, or perhaps it was done
to match what would be done later in the recapitulation: start in F minor and then travel
to the major mode in [KA2].
33
36
Fig. 102. Sonata No. 1, mm. 33-41, KA2, part 2.
110
In Sonata No. 2, KA2 is also presented in Em (m. 59) and E (m. 84); [KA2] uses
Am (m. 278) and A (m. 303). Perhaps this was done—once again—to keep the minor to
major relationship consistent throughout the piece. The Em theme is very lyrical and
somewhat melancholic. The E theme is much livelier with bravura descending and
ascending broken octaves and more figuration than the first theme in KA2. A shift in
character, rhythmic values, and mode is evident.
58
61
Fig. 103. Sonata No. 2, mm. 58-62, KA2, part 1.
84
Fig. 104. Sonata No. 2, mm. 84-88, KA2, part 2.
111
Sonata No. 3 also presents KA2 in its minor and major modes: Gm (m. 27) and G
(m. 47); and [KA2] in Cm (m. 161) and C (m. 181). In order to move from the minor to
the major mode, Beethoven uses non-modulating passages that resemble transitional
material. These passages simply change to the major mode in the parallel key. Note that
the rhythmic values resemble what is often found in transitions and codas.
27
Fig. 105. Sonata No. 3, mm. 27-30, KA2, part 1.
39
42
Am
46
D
Gm
G
Fig. 106. Sonata No. 3, mm. 39-47, passage in KA2, used to connect part 1 to part 2.
112
The corresponding part in the recapitulation has the same harmonic relationships. This
movement from the minor to the major mode shows that Beethoven is in no hurry to start
in the expected mode. As we will see in other examples (as in Chapter 7), the composer
would even in some cases start KA2 in an unexpected tonality and eventually arrive at
the expected destination. This delayed arrival of the conventional mode or key is a
compositional feature that Beethoven often employed.
Sonata No. 3, contains some interesting major-minor relationships in mm. 113129. These are comparable to Sonata No. 8’s mm. 143-156. For more information about
these examples, refer to Chapters 5 and 7.
Sonata No. 6 uses major and minor relationships in KA2 and the CT in both the
exposition and recapitulation sections for contrast.
Table 46. Sonata No. 6, corresponding sections in the exposition and
recapitulation.
Part
mm. in
Harmony Part
Corresponding
Harmony
Exp.
mm. in Recap.
KA2, part 1 19
C
[KA2], 145, 153
F, Fm
part 1
KA2, part 2 38, 41
C, Cm
[KA2], 170, 174
F, Fm
part 2
CT
55
C
[CT]
189
F
In the midst of KA2, Beethoven moves to a different mode. In this case, he shifts from C
to Cm, only to return to C again for the closing theme. There are other examples (as in
Sonata No. 4), where an insertion diverts into a completely different key area, only to
return to the correct key for the closing theme. This case is not as dramatic as in Sonata
No. 4, since it only deals with a change in mode.
113
145
146
Fig. 107. Sonata No. 6, mm. 145-148, [KA2], part 1.
The key relationships in the recapitulation are as follows:
Table 47. Sonata No. 6, key relationships in the recapitulation.
Measure(s) Harmony Comment
145
F
153
Fm
This is a repetition of m. 145, in the minor mode.
While this is a cosmetic difference, in the sense that
content was not substantially changed, the change of
mode and mood is significant. It contrasts with the
theme, which was presented in F major in m. 145.
This is a varied repetition.
170
F, Fm
The section starting in m. 170 corresponds to m. 38 in
the exposition. It follows the same key relationship as
the exposition.
189
F
This corresponds to m. 55 in the exposition.
114
153
155
159
Fig. 108. Sonata No. 6, mm. 153-161, [KA2], part 1, stated in the minor mode.
Sonata No. 7, like the previous example, moves in KA2 from the major (m. 54) to
the minor mode (m. 61), only to return to major once again (m. 67) for the CT. The same
is true in the recapitulation’s counterpart.
115
54
60
Fig. 109. Sonata No. 7, mm. 53-65, KA2.
Sonata No. 8 moves from the minor to the major mode in KA2. The second key
area begins in Ebm (m. 51). The first part of KA2 is over a dominant pedal, providing a
sense of tonal instability in Ebm. Then, starting in m. 68, a sequence begins tonicizing
the following harmonies:
68
Db
Table 48. Sonata No. 8, KA2, part 1.
76
Ebm
80
Fm
85
116
Cm (DC)
67
Db
72
6
4
Bb7
79
86
Ebm
C
7
Fm
Bb
Eb
Fig. 110. Sonata No. 8, mm. 67-89, KA2, part 1.
The key of Eb, the expected key and mode, arrives in m. 89 for the second part of KA2.
This is the destination where the transition before KA2 should have arrived, but it is
delayed by the first part of KA2 in Ebm. Beethoven is masterful at creating drama to
build up to KA2 as a climax in the exposition. In the recapitulation, this minor-to-major
relationship is not found, as KA2 begins in Fm and then modulates to Cm. Chapter 7
discusses the recapitulation in more detail.
In Sonata No. 9, the major-minor relationships are different than the examples
above. These examples use borrowed harmonies to produce cosmetic changes and
117
sounds form the minor mode, while being in a major key. In mm. 46-50 Beethoven hints
the alternating minor-to-major mode relationship.
46
50
Fig. 111. Sonata No. 9, mm. 46-50, CT, using Em and E harmonies.
In the following example, by using a G-natural, instead of the G#, Beethoven uses
the b6 scale degree (in the key of B), borrowing the iv chord (Em) from the minor mode.
This has a strong musical and dramatic effect. Also, this major-minor relationship is
confirmed throughout the piece, as it helps to create a common thread in the composition.
The retransition follows, confirming the new key and mode by providing a I-IV-I64-V7-I
progression in E. The borrowed sounds from the minor mode in mm. 81-88 help create a
feeling of tension that is resolved in the retransition in mm. 89-90, when the G# is
reintroduced.
118
80
84
89
Fig. 112. Sonata No. 9, mm. 80-91, retransition.
The following example uses a harmonic alteration with a minor second, and then
a major second, alternating back and forth.1 Again, this is one of the many segments of
the piece where these chromatic nuances are used in order to create a dramatic effect. It
is a cosmetic, yet powerful, alteration.
1
Brahms displays the same feature in his Intermezzo in A, Op. 118, No. 2 (mm. 30-34 and 96-100), where
a fragment of the theme is played in the lower voice, three times with a C# and once with a C-natural (scale
degree 3).
119
151
154
Fig. 113. Sonata No. 9, mm. 151-155, coda section, using a reminiscence from KA1.
Sonata No. 10 uses a broader major-minor relationship2 spanning throughout the
entire movement. The exposition is in the key of G; the development (m. 64) is in Gm;
and the recapitulation (m. 125) returns to G. Naturally, Beethoven explores other keys,
such as D for KA2, but the modal relationship previously described is noteworthy.
Sonata No. 11 has an interesting major-minor relationship with regard to
intervals.
Table 49. Sonata No. 11, major and minor versions of the same interval class.
Measures Comment
57-58
contain a G resolving into an F
59-60
conatin a Gb resolving into an F
2
A similar treatment of mode mixture is common among composers like Haydn and Brahms. Haydn’s
String Quartet Op. 64, No. 5 (Lark) begins and ends in the key of D and includes a fughetta in D minor
(starting in m. 29) in the middle section. Brahms’ Intermezzo in A, Op. 118, No. 2 includes a middle
section in F# minor that moves to the parallel major mode and returns to minor before the return of the A
section in A major (the relative major of F# minor).
120
Beethoven uses these dissonances in the closing theme in terminative function, over a
dominant pedal in the new key of F. The recapitulation’s counterpart does the same in
mm. 187-193 but in the key Bb.
56
59
Fig. 114. Sonata No. 11, mm. 56-62, CT.
Sonata No. 15 moves from Bm to B, and back to Bm.
Table 50. Sonata No. 15, modal mixture before the recapitulation.
Measure(s)
Harmony
213-216
Bm
217-218
German Augmented 6th
219-259
F#, dominant pedal (of Bm)
257
Retransition in B major
262
a repetition of the retransition idea, in Bm
121
Beethoven uses a Bm harmony to cadence in D for the opening of the recapitulation. The
Bm chord acts as a vi in the new key of D and is followed by an A7—the dominant of D
major. The passage from m. 213 to the opening of the recapitulation could have been
more direct in arriving at the tonic key, without first tonicizing B major. The composer
probably used this long secondary dominant pedal for the dramatic effect that diverting to
the VI (key of B) created.
219
continued
250
260
Fig. 115. Sonata No. 15, mm. 219-226, 250-268, retransition.
122
Summary
The selected sonata-allegro movements analyzed in this work display
Beethoven’s creative use of major-minor relationships in order to provide contrast,
interest, and freshness to his music. KA2 is often a section where the effect of transition
is present without the consequence, which is the modulation. This is due to the need to
remain in the same key as KA2 for the closing material of the section. Also, Beethoven
often employs a delayed arrival of the conventional key or mode for dramatic purposes in
his compositions. Borrowed harmonies and altered intervals also provide variety, as they
bring non-diatonic elements into the music.
123
Chapter 7
FUNCTION AND HARMONY
Beethoven’s treatment of form and harmony is extraordinarily eloquent. As we
will see in the examples below, the use of interesting harmonies is a major part of
Beethoven’s compositional style. They often help the composer achieve certain musical
effects that could not be obtained otherwise. Tonal regions are often introduced using
supertonic, chromatic mediant, and tritone relationships to the tonic key. The use of
direct transposition of a melody and the introduction of auxiliary chords that decorate
diatonic harmonies is also common. The following examples also include discussions of
the #iio7 non-dominant harmony, chromatic alterations of original material, dissonance,
the developmental treatment of musical motives, unexpected cadential resolutions, and
insertions in tonal levels different from the current key.
Other techniques Beethoven uses are the VI and bVI relationships to the tonic key,
the German Augmented 6th harmony, and the application of deceptive cadences (DC) to
expand content. The composer uses 7th tones frequently to either add material,
discontinue a sequence, or to set up a new key. This chapter also includes a discussion of
simple diatonic harmonies, as well as the insertion of unexpected keys, and how
Beethoven returns to a more normal key. Certainly, the application of interesting
harmonies contributes to making these movements musical masterworks.
124
General Observations
Sonata No. 1 uses direct transposition. The primary theme is in Fm, and is then
displayed a fifth higher. This resembles the idea of the subject and its answer from the
Baroque fugue, if it were in F major.
1
C 65
Fm
Fig. 116. Sonata No. 1, mm. 1-4, KA1 theme.
Sonata No. 4 in Eb contains another example of direct transposition. In the
development, Beethoven provides a new theme in Am (m. 173)—which has a tritone
relationship to the tonic key.
173
Am
Fig. 117. Sonata No. 4, mm. 173-175, new theme in the development.
125
This theme is then transposed to Dm (m. 181), while it could have remained in Am.
After playing the theme in Dm, the retransition (m. 185) to the tonic key of Eb occurs
through a Dm, Bb7, Eb progression.
181
Dm
Fig. 118. Sonata No. 4, mm. 181-183, new theme, transposed.
Sonata No. 15 contains another example of direct transposition (up a fifth) in mm.
42 and 44, playing the transition to the second theme in A and E, along with their varied
repetitions.
40
A
44
E
Fig. 119. Sonata No. 15, mm. 40-47, transition.
126
Sonata Nos. 2, 4, 5, and 8 begin their respective development sections a third
below the last harmony of the exposition. Sonata No. 2’s exposition ends with E, and
Em. Its development begins with a C harmony. Em is used only to arrive at C.
118
Fig. 120. Sonata No. 2, mm. 118-124, opening of the development.
Sonata No. 4 in Eb ends its exposition in Bb. The development begins with a G7
harmony, tonicizing Cm. It is noteworthy that the harmony immediately following the
cadence in Bb is a G7, lasting for four measures. Even though G7 eventually resolves into
a supertonic level (Cm), it lasts enough time to signal the chromatic mediant relationship
between the Bb and G7 bass and harmonic motion.
127
133
137
Fig. 121. Sonata No. 4, mm. 133-141, opening of the development.
Sonata No. 5’s exposition ends in Eb, and the first harmony in the development,
with a contrasting dynamic and articulation is C major. Here, a mediant relationship is
very clear.
98
106
Fig. 122. Sonata No. 5, mm. 98-108, opening of the development.
128
Sonata No. 8 ends the exposition in Gm, followed by the introductory material
from the beginning of the piece (which is also used before the coda). This passage
modulates to Em, which has a chromatic mediant relationship1 to KA1 (Cm) and to the
introduction of the development (Gm).
131
133
Fig. 123. Sonata No. 8, mm. 131-136, introduction to the development.
Sonata No. 4 is harmonically very interesting, with a highly chromatic CT and
two #iio7 non-dominant harmonies. In its closing theme, basic chords are outlined, but
what makes them noteworthy is the use of auxiliary chords that tonicize these harmonies.
The chords in [brackets] signify “adjective” chords.
1
For more examples of various key relationships between the exposition and the development of each of
the selected sonatas, refer to Chapter 5.
129
Measure(s)
111
115
117
118
119
Table 51. Sonata No. 4, harmonic analysis of the CT.
Diatonic Harmonies
Auxiliary Harmonies
I, (Bb)
This harmony alternates with [Do7 -with no
3rd], which is a viio7 of Eb, through m. 114.
IV64, (Eb/Bb)
[V7/IV, or Bb7sus4] and [iv, or Ebm]
viio7, Ao7 (with no
3rd), over a Bb pedal
V7, F7/Bb pedal
I
111

o7

rd
[D /B ] no 3
B
113


E /B
117
Ao7/B no 3rd
F7/B
[Em]
121
125
Fig. 124. Sonata No. 4, mm. 111-127, CT.
130
B
7sus4
[B
]


E /B

[E m]
The content in mm. 111-119 is repeated an octave lower (mm. 119-125) with some
chromatic alterations. Here, the music is very chromatic. The fact that most of the
diminished chords in this passage lack a third is quite remarkable. Also, the high degree
of dissonance is also notable: for example, a Cb in the treble (m. 112) clashes against a Bb
in the bass, and C in the treble (m. 125) clashes against a Bb in the bass. Figure 125
illustrates a similar example from Sonata No. 3, where a series of pitches clash with the
previous harmony. Especially noteworthy are mm. 115-116 and 119-120.
113
117
Fig. 125. Sonata No. 3, mm. 113-121, false recapitulation.
Sonata No. 4 has yet, another example of dissonance, with a #iio7 chord, which has
a non-dominant function. The harmonies used in this insertion are discussed in Chapter
3. Measure 79 has an F# in the bass against an F nartural in the treble. The same occurs
in m. 259, with a B in the bass against a Bb in the treble. This same harmony is used in
131
m. 167, but the dissonance is not present in that case. Perhaps, what is most interesting
about Beethoven’s harmonic treatment in the examples above is that they are found either
before or at the CT, which should serve terminative—and not developmental—function.
79
85
C:iio65 (enharmonic)
I6 4
91
Fig. 126. Sonata No. 4, mm. 79-93, insertion before the CT.
Sonata No. 6 in F has a transition (m. 16) that cadences on E (m. 18). This is an
unexpected resolution: a V/iii, or V in A minor, cadencing in the key of C for KA2. This
E chord could have resolved into A major or minor, or deceptively into F#m, but the
composer continued in C, which is a third above the ideal resolution of A. It is also the
only occurrence of this feature in this movement.
132
16
18
Fig. 127. Sonata No. 8, mm. 16-22, transition.
The Submediant Key Relationship
The submediant key relationship to the tonic key is more a Romantic trait than a
Classical one. Beethoven explores this harmonic relationship in Sonata No. 6 in F. Its
KA1 is in F and its KA2 in C—as one might expect. However, in the recapitulation,
[KA1] begins in D, which has a VI relationship to F. It then modulates to F (the expected
key) and remains in it for [KA2]. This section is not a false recapitulation, where this
kind of experimentation often happens; this is a recapitulation proper that eventually
arrives at the anticipated key.
133
118
D:
126
PAC
Gm
C7
134
F:
Fig. 128. Sonata No. 6, mm. 119-140, recapitulation.
Here, the recapitulation (m. 118) begins in D. The cadence is confirmed in m. 129. Two
measures later, the composer continues in Gm, turning to a C7 harmony in m. 133.
Therefore, the root movement is using descending fifths: D-G-C. One could argue that
the passage from mm. 131-136 holds the function of a retransition. The role of the
retransition is to bring back the tonic key. The development’s retransition ends on an A7
harmony, setting up the “wrong” key of D. The real retransition is within the
recapitulation itself—functionally—where the modulation back to tonic actually occurs.
This is very noteworthy. The passage from mm. 118-136 serves both as recapitulation
and the return of F major, which is confirmed in the consequent phrase in m. 137—
derived material from m. 123.
134
Four other sonatas with examples where the submediant key relationship is very
clear are Sonata Nos. 9, 15, 16, and 29:
Table 52. VI and bVI relationships in Sonata Nos. 9, 15, 16, and 29.
Sonata
Comment
No. 9 in E
moves to Am in the development, and then to C. From the
tonic, this is a bVI relationship. Also, the recapitulation (in
E) has a transition in C (m. 103), which then turns into a
German Augmented 6th in the key of E descending to a B (V)
chord, providing the effect of a transition, but not the
function (which is to modulate).
No. 9 in E
has a recapitulation with a transition in C. This movement is
in E. This C harmony later becomes a German Augmented
6th in E, progressing to a V, and back to I. This bVI chord is
used in m. 103.
No. 15 in D
has a retransition that travels through B—the VI of D—
stating the CT in part. Then, the minor mode of B (the vi) is
used before progressing to A7. Here, the Bm acts as vi in D.
No. 16 in G
KA2 begins in B (III), and then changes mode to Bm (iii),
acting as the vi of the dominant key of D, to which the
movement eventually arrives. Beethoven keeps the same
relationship in the recapitulation: [KA1]-G, [KA2]-E, Em
(acting as the vi of G), eventually returning to the tonic key
of G.
b
No. 29 in B
Its KA2 and CT are in the key of G (VI), instead of F.
All of the examples above provide an effect or mood that would otherwise not be
achieved, were it not for Beethoven’s dynamic treatment of the VI and bVI tonal
relationships.
135
b
VI and Augmented 6th Chords
The above-named harmonies are all very similar, as well as the minor iv.
Following are some examples of the composer’s use of these interesting harmonies, and
their significance in the music they embellish.
Sonata No. 1 in Fm uses the German Augmented 6th chord in the development (m.
54). Prior to this augmented harmony, an Eo65 begins the tonicization of F. The G in the
bass moves chromatically to a Gb. During this harmonic alteration, the German
Augmented 6th chord occurs, before resolving to an F harmony that in turn tonicizes Bbm.
Sonata No. 3 in C ends its [CT] with a bVI harmony. Instead of a PAC to finalize
the piece, the bVI acts deceptively, introducing a developmental section—in the form of
an expansion—after the closing theme (and in fact, at the exact place where the final
cadence should have occurred under normal circumstances). This example is quite
remarkable, since it not only presents a deceptive cadence, but also the opening of an
extra section containing concerto-like passages and figuration, as well as harmonies that
are completely unrelated to the tonic key of C.
136
212
217
A

221
Eo42
225

F o43
Bo65
229

C o65

Bo43
F o7
232
233
C 64
Fig. 129. Sonata No. 3, mm. 212-235, CT and expansion before coda.
137
See Chapter 5 for a discussion on the harmonies used in this expansion,2 as compared to
the development of the same movement.
Sonata No. 4 in Eb uses an Italian Augmented 6th chord in m. 34 before resolving
to an F chord that harmonizes the upcoming KA2 in Bb. The use of this augmented
harmony helps to provide a feeling of tension before the resolution that is found in KA2.
Sonata No. 6 in F uses a bVI chord, an Ab, in KA2 before the cadential extension
that begins in m. 47. The Ab pitch was first introduced during the second part of KA2,
and it was kept for a deceptive cadence in m. 45, where the bVI occurs. The PAC in C is
delayed until m. 54, eliding with the CT.
Sonata No. 7 in D offers examples of German, Italian, and French Augmented 6th
chords, in mm. 314, 320, and 321, respectively. This occurs in the coda section, before
the final tonic pedal that serves a terminative function. Therefore, this harmonic
exploration is the dissonance before the resolution is provided by the extended tonic
harmony from mm. 327-344.
Sonata No. 8 in Cm uses the German Augmented 6th chord in m. 30 before
tonicizing a G dominant harmony in m. 31. The same occurs in m. 34. After the
tonicization of G follow a tonal level in Ab and one in Bb, which act as preparatory
harmonies for KA2 in Ebm.
Sonata No. 9 in E uses a bVI harmonic relationship when, in the transition (m.
103), a progression that should cadence on E, ends on C—the bVI of the tonic key. At m.
106, this bVI chord becomes a German Augmented 6th chord, as the bVI has an added 7th
2
A similar expansion and key relationship is found in Sonata No. 4 in Eb, whose KA2 in Bb has an
insertion in C; and whose [KA2] in Eb has an insertion in F.
138
(spelled enharmonically as an A#). This German Augmented 6th 3 resolves downward to
a B dominant extension. Now, this extension is very interesting, because it plays with
major and minor relationships. This example, illustrated in figure 130, uses the following
harmonies:
Harmony
B
A#o7
B
Table 53. Sonata No. 9, dominant pedal extension.
RNA
Comment
V
Alternating harmony
viio7/V
Alternating harmony
V
Beethoven uses these harmonies over a B dominant pedal during this non-modulating
transition. The reason this transition remains in the tonic key is that it occurs in the
recapitulation section.
3
Also, Sonata No. 15’s transition to KA2 uses the German Augmented 6th chord in an interesting way.
139
97
100
105
108
DC
Ger. 6th
Dominant ext.
112
Fig. 130. Sonata No. 9, mm. 97-113, transition to [KA2].
Although this section continues in E, it provides the listener with the feeling of transition
by means of interesting harmonies.
Sonata No. 10 in G contains a French Augmented 6th chord in m. 106, before
resolving on a long D dominant pedal extension that lasts from mm. 107-124. Clearly,
140
this augmented harmony contributes to the tension that is later released in the unfolding
of events during the retransition preceding the recapitulation section.
Added 7ths
A common technique that Beethoven uses to insert material, to break a harmonic
sequence or to set up a new key, is by adding a 7th tone to a harmony. Following are
examples from various sonatas where this compositional device is used.
In Sonata No. 3 in G, the harmony changes from G (m. 55) to G7 (m. 60), the
V7/IV. The introduction of the 7th changes the function of the tonic chord to that of a
secondary dominant, tonicizing C (m. 61). This harmonic progression then moves to D
(m. 63), and back to G6 (m. 66). Beethoven uses the 7th as a way to extend the material,
just as he does in the following examples.
59
G:
61
I6
IV
Fig. 131. Sonata No. 3, mm. 59-62, passage before CT.
141
V7/IV
Another example is from Sonata No. 4, where in the transition, one finds repeated
ascending and descending Eb scales. At m. 25, one expects a PAC in Eb, but there is an
Eb42. The introduction of the 7th tone changes the function in a similar way as the
example above. This Eb7 harmony tonicizes a temporary Ab, which is a part of a larger
harmonic progression.
21

E:I
25
V42/IV
IV
Fig. 132. Sonata No. 4, mm. 21-28, transition.
Sonata No. 9 has two examples of added 7ths. The first is found in mm. 57-60
ending the exposition in B, and introducing its 7th in m. 60, in order to return to the tonic
key of E. The second example is found in the retransition (m. 81), which begins using a
B dominant pedal, but it sounds like the key of B until the A is introduced in m. 89,
making it a B7 harmony, and setting up a cadence in E.
Sonata No. 10 contains a passage into the CT beginning in m. 33 in the key of D.
This harmony continues until m. 40, where the 7th is introduced. It then acts as a V7/IV,
142
tonicizing G. This extension delays the arrival of the CT through an extended harmonic
progression.
33
D: I
36
40
V7/IV
IV
Fig. 133. Sonata No. 10, mm. 33-41, passage before the CT.
Finally, Sonata No. 15, which is in D, ends its exposition in A. However, the last
four measures of the exposition reintroduce the 7th, tonicizing D. This is the same kind of
example as Sonata No. 9, where the purpose of introducing the 7th of the previous
harmony is to tonicize a new one. In this case, the A7 retransitions back to D for the
repeat of the exposition and for the opening of the development section.
143
148
155
A: V7/IV
I
IV
V
I
I (IAC)
D: V7
I
Fig. 134. Sonata No. 15, mm. 148-163, end of the exposition.
Note that most of these examples occur in three specific parts of the movement: in the
transition to KA2, as a passage to the CT, or at the end of the exposition.
Simple Harmonies
Although Beethoven often uses complex harmonies and tonal levels, as well as
insertions in foreign keys, his music is also well rooted in simple, primary harmonies. In
other words, his music is not always harmonically complex. Sonata No. 9 has such an
example, found in the opening theme, with a harmonic progression I-IV64-ii42-V7-I.
144
1
IV64
E: I
ii42
Fig. 135. Sonata No. 9, mm. 1-2, opening of KA1.
The retransition (mm. 89-91) has the following progression: V-IV-I64-V7 over a dominant
pedal, ending on a tonic chord and eliding with [KA1], which is accompanied by scales
in the recapitulation but still outlining the same harmonies as those found in the
exposition: I-IV64-ii42-V7-I.4
89
E:
V
IV
I64
(Over a dominant pedal)
V7
I
Fig. 136. Sonata No. 9, mm. 89-90, retransition.
4
This can be compared to J.S. Bach’s beautiful, yet simple, chord progression in the first four bars of the
“Prelude in C,” BWV 846, in The Well-Tempered Clavier. He uses the following harmonies, and cadences
on the last one: I-ii42-V65-I.
145
“Wrong” Keys
A few sonatas present some key areas in an unexpected mode, while others
present some themes in an unexpected key altogether; in other words, the key in which
the material is presented does not always correspond to the conventional harmonic
structure of the sonata-allegro form. These keys are referred to as “wrong” keys in this
study.
Sonata No. 5 both contains material presented in a “wrong” key, and hints the
minor mode within the context of a major key. First, the exposition presents its KA1 in
Cm and KA2 in Eb, as one might expect. But the recapitulation’s [KA1] is in Cm and
[KA2] is in F and Cm. This [KA2], therefore, deviates from the norm. The beginning of
[KA2] is very significant. The key of F is unrelated to Cm, making this relationship
difficult to explain, especially in the context of the recapitulation. In some cases,
Beethoven begins [KA2] in the correct key, moves away from it, then returns to the same,
but this section of the piece begins in the “wrong” key altogether. Moreover, in this
[KA2], mm. 230-247 do not correspond to any material in the exposition but had to be
included to state [KA2] at the tonic level—an essential element of sonata-allegro form.
This content is exclusive to the recapitulation.
Table 54 details which parts of the exposition and recapitulation are stated as
expected, and which parts deviate from the norm.
146
Table 54. Sonata No. 5, corresponding parts in the exposition and
recapitulation sections.
Exposition
Recapitulation (corresponding part)
mm. 1-22
mm. 168-190
mm. 23-31
Truncated material
mm. 32-70
mm. 191-229
mm. 230-247, inserted material
mm. 71-end
mm. 248-end
With regard to the Db’s in figure 137, some interesting harmonic topics arise.
207
211
F:
Fig. 137. Sonata No. 5, mm. 207-215, part of the transition to [KA2].
The transition found in the exposition uses the following harmonies and tonal levels.
147
Measure(s)
32
37
41
46
Table 55. Sonata No. 5, transition.
Harmony Comment
Ab
A third below the tonic key.
Fm
Down by another third.
b
D
yet another third
b
B
Yet another third, after passing through a German
Augmented 6th chord in Eb (m. 45). The Bb harmony
becomes a Bb7 in m. 49, setting up the new key area
that begins in m. 56.
The recapitulation also uses the pitch Db. The first note5 of the transition in m.
191 is a Db. While this Neapolitan root sounds very foreign after a cadence in Cm that
just occurred in m. 189, the pitch was introduced earlier in the exposition. At any rate,
Beethoven tonicizes Gb, Ebm, and C to arrive at the “wrong” key of F in m. 215.
Now, let us consider how Beethoven arrives in F to begin with. In m. 191, where
the transition begins, he introduces a Db, in the context of Gb major (scale degree 5).
Table 56. Sonata No. 5, transition to [KA2] in the recapitulation.
Measure(s) Harmony Comment
191
Gb
Uses a Db pitch (scale degree 5 in Gb, which is a key a
tritone away from Cm).
200-203
Ebm
205
C7
This outlines a harmonic descent in thirds.
5
Also, compare mm. 49-50 with mm. [208-209], which could have been D’s instead of Db’s. Here,
Beethoven borrows the pitch from the minor mode to create a darker mood, which comes back in the coda
in mm. [271-281]. Notice that in the coda section’s exposition counterpart, from mm. 94-105, Beethoven
remains in the major mode. In mm. [208-209] he hints the minor mode, providing a darker effect with the
Db’s. The upcoming key is Cm in m. 233.
148
191


G:
E m:
201
F: Ger. 6th
C:
V
viio7/V
V
V7
Fig. 138. Sonata No. 5, mm. 191-207, transition to [KA2] in the recapitulation.
Beethoven uses the same technique of the downward-moving bass line in the
exposition. For this, see mm. 32-48 and 191-207. He also uses the same harmonic
progression in mm. 204-208, as the one used in mm. 45-49 in the exposition’s
counterpart:
Table 57. Sonata No. 5, harmonic progression in the transition.
German
V
viio7/V
V
V7
Augmented
6th
149
32
38

E : Ger. 6th
49
V
viio7/V
V
V7
Fig. 139. Sonata No. 5, mm. 32-56, transition to KA2 in the exposition.
Finally, note that the above-named tonal levels are very remote in relationship to
Cm, the key of this movement. It is remarkable that the tonal levels in these transitions
are even more remote than those used in the development itself.
Moreover, mm. 221-222 can be compared to mm. 228-229. Measure 222 begins
in F, and then changes mode to Fm (m. 229) in order to begin the retransition to Cm by
way of a iv-V-i progression (mm. 229-233). It is through this shift to F minor that
Beethoven continues onto [KA2],6 in the expected key and mode.
6
Some cosmetic differences follow. An example is found in mm. 241-242, where the recapitulation
contains a broken chord instead of a scale, but this difference is not quite as significant as those mentioned
above.
150
Sonata No. 8 is similar to No. 5 in that they are both in Cm; they both present
[KA2] at the subdominant level.7 The difference is that No. 8 uses Fm and No. 5 uses F
major. Nevertheless, the similarities are noteworthy. In the transition, there is a
patterned process for arriving at Fm (m. 221). This sequence begins in m. 207.
Table 58. Sonata No. 8, transition to [KA2] in the recapitulation.
207
Cm tonal level
211-214 Ebm tonal level
b
207-210 D tonal level
215-220 Fm tonal level
7
An interesting comparison to Mozart is the following. Sonata Nos. 5 and 8 provide [KA2] at the subdominant level and then move to tonic. Mozart’s K. 545 in C maintains this relationship in the
recapitulation, but he uses [KA1] in F and [KA2] in C. Here, the “wrong key” is in the first key area,
instead of the second, but the similarity is striking. Regardless, there is a relationship of fifths between all
of these sonatas. However, a difference is that Mozart probably had a different concept in mind. In this
sonata, Mozart maintains a C-G relationship in the exposition, and in the recapitulation, F-C. Therefore, he
was probably striving to maintain the ascending fifth motion. What this also means is that the transition in
the recapitulation also modulates, as it does in the exposition. In fact, all of these sonatas have modulating
transitions in the recapitulation, which is an unusual feature. In conclusion, it is remarkable that all of these
examples move through the subdominant key areas before returning to the tonic key.
151

D tonal level
203
Cm:
208
A

E m tonal level
215
D

Co6

D6 G


D /A

A





B /A B 6
E m Do6



6

E m6 A m E m /B

B
Fm tonal level

C/B
C6
Fm
Eo6


F m6 B m

Fm/C It.6
C
Fig. 140. Sonata No. 8, mm. 203-219, transition after [KA1].
This transition is very intricate in its sequential and harmonic construction. First,
its tonal area roots are ascending by seconds. Second, the chord progressions use the
following harmonic structure in each of the levels named above.
Table 59. Sonata No. 8, tonal levels and harmonic progression in the transition to
[KA2] in the recapitulation.
207-210
Db tonal level
207, V6
over a C
209, I6
IV
pedal
----208, I
viio6
210, I64
V
b
6
6
211-214
E m tonal level 211, V
over a D
213, i
iv
pedal
211, V
over a IV pedal 212, I
vii06
214, i64
V
6
6
215-220
Fm tonal level
215, V
over an E
217, i
iv
pedal
215, V
over a IV pedal 216, I
vii06
218, i64
It.6 and V
152
The tonic key of Cm returns during [KA2] in mm. 233-237, through a G7 harmony.
245
253
C7
F7

B m7

E7
A

Dm64
G
Cm
Fig. 141. Sonata No. 8, mm. 245-254, circle-of-fifths progression within [KA2].
At the end of this harmonic exploration found in mm. 221-252, the composer
continues in Cm. It is noteworthy that in the midst of the recapitulation, Beethoven
ventures into new harmonic territory.
Summary
Beethoven uses a vast array of techniques to create wonderfully varied music.
The composer follows sonata-allegro form strictly in the selected sonatas that this work
analyzes, but he also takes many liberties with regard to harmony. At times, Beethoven
explores distant keys from the primary tonality of the movement; other times, he borrows
harmonies from the minor mode; still other times, he provides chromatic alterations and
dissonant sounds. Augmented 6th and bVI chords frequently provide a feeling of tension
153
preceding strong cadential resolutions. Often, 7th tones are added to harmonies in order
to insert new material, break sequences, or set up tonal levels. Motives are frequently
given developmental treatment at various tonal levels. Insertions are often displayed in
tonal areas that divert from the current key. Cadences do not always resolve as expected.
When deceptive cadences are provided, the introduction of an expansion is common.
“Wrong” keys are sometimes implemented to present expository material in a deceptive
way. These keys are frequently found in the first part of [KA2] before the conventional
key is tonicized for closing material. Mediant and chromatic mediant, and submediant
harmonic relationships are often explored. Perhaps most striking of all is that KA2 and
CT sections are sometimes more developmental and harmonically daring than the
development section itself. Therefore, a developmental function is often assigned to
sections whose role should be terminative. Also, in one case, the recapitulation fulfills
the role of the retransition—a remarkable shift in function. The eloquent use of these
characteristics is perhaps one of the elements that distinguishes Beethoven from many
Classical composers and places him closer to his Romantic era counterparts.
154
Chapter 8
CONCLUSION
Beethoven’s compositions are very resourceful. Throughout his vast repertory
one can find a variety of musical elements. The sonata-allegro movements of his piano
sonatas provide plentiful examples for analysis and discussion of the various techniques
that make his music so remarkable.
A careful study of the Beethoven sonatas requires attentive listening and analysis,
as well as accurate cataloguing of events that occur throughout the movements. Once the
information is synthesized and articulated, one may gain more insight into Beethoven’s
compositional style.
Variety in Beethoven’s sonatas is often expressed by means of the adding of
materials beyond conventional cadential points—in the form of repetitions, cadential
extensions, or insertions. This variety extends to motives, which are often modified
through thematic variation, varied repetition, development, derived materials (such as
fragmentation and inversions of themes), and reminiscences. A few times, truncation
occurs. The events listed above are used for various functions, depending on the section
of the piece. In most cases, if an extraordinary event occurs in a transition or
development, it is to add drama and tonal instability. If something non-conventional
occurs after a cadence, it usually extends the terminative function, stating the tonic key
155
more clearly. If a deceptive cadence occurs, it usually provides an insertion of new
material. This variety is always coupled with excitement and freshness.
Beethoven’s use of multi-part sections, which incorporate contrasting subsections, displays a vast array of musical characteristics. These elements include melodic
and transitory passages; antecedent and consequent phrases; expository, transitional,
connective, and terminative function; ascending and descending melodic contour; and
finally, different rhythms, articulations, dynamics, modes, and character in each subsection. Most of the multi-part examples found are KA2 and transition sections. In many
cases, a feeling of transition is provided between KA2 and the CT without modulating,
and in some cases these sections can be more harmonically daring than passages in the
development section. Frequently, it seems like the composer has too many good musical
ideas to discard any of them, and opts to expose all of them in multi-part sections.
Other interesting elements of Beethovenian composition occur within
development and retransition sections, which display cycles of intervals and sequences as
well as harmonic patterns and walking bass lines. Primary motives are frequently given
developmental treatment at various tonal levels. The use of auxiliary chords that decorate
the dominant harmony is also common. In development sections, one can see that
Beethoven had a strategic formal and harmonic plan and that there was a method to his
wide use of musical variety in these sections. Interesting harmonic relationships, the use
of dissonance, and distant harmonies from the tonic key all contribute to Beethoven’s
remarkable treatment of development sections. Mediant and submediant relationships to
the tonic key are found in most of the sonatas analyzed in this study. False retransitions
and recapitulations provide deceptive announcements of the primary themes. Equally
156
noteworthy are Beethoven’s harmonic progressions coupled with a unique treatment of
musical motives. Finally, retransitions frequently involve a pedal tone with
superimposed harmonies. From the twelve sonata-allegro movements studied, only two
contain simple harmonies in the retransition section.
Beethoven often mixes major and minor modal relationships, which serve well to
contrast musical ideas. KA2 is often chosen as the section in which this shift occurs,
before confirming the key in the CT or coda section, and changes in mode are usually
accompanied by changes of texture and character in the music. The mode mixture
frequently found in KA2 provides the effect of transition without the consequence, which
is the modulation. Therefore, Beethoven frequently employs a delayed arrival of the
conventional key or mode for dramatic purposes in his compositions. Other noteworthy
major-minor events include Beethoven’s use of borrowed harmonies and cosmetic
changes, such as the provision of the major and minor versions of the same interval class.
A final observation is regarding Beethoven’s extraordinarily eloquent treatment of
form and harmony. The composer uses a vast array of techniques to provide different
musical effects. Key relationships often explored include the supertonic, mediant,
chromatic mediant, tritone, and submediant intervals from the tonic key. Other common
features are direct transposition, auxiliary chords that decorate diatonic harmonies, the
# o7
ii non-dominant harmony, chromatic alterations of original material, dissonance, the
developmental treatment of musical motives, unexpected cadential resolutions, and
insertions in tonal levels different from the current key. Also, augmented 6th and bVI
chords frequently provide a feeling of tension preceding strong cadential resolutions.
The composer frequently adds 7th tones to chords in order to expand material, discontinue
157
sequences, or to set up a new key. Unexpected keys, as compared to the conventional
sonata-allegro harmonic structure, are frequently found in the first part of [KA2] before
the conventional key is tonicized for closing material. Developmental function is often
assigned to sections whose role should be terminative. Shifts in function often surprise
the listener and maintain interest in the music. All of the above-named elements
contribute to Beethoven’s unique compositional approach.
In conclusion, there is much to be learned from Beethoven’s immense
compositional output. His piano sonatas provide a rich source for further study in
musical form and tonal harmony. A careful examination of the Volume I sonatas gives
us insight into Beethoven’s compositional style, specifically in the context of sonataallegro form—a Classical gem.
158
APPENDIX
EXAMPLES OF COMPOSITIONAL DEVICES BY SONATA NUMBER
Device
Harmony
# o7
ii harmony
Added 7ths in seventh
chords
Interesting
Type/other
To break a
sequence, tonicize
a key, or other
Augmented 6th
harmonies
# o7
ii chord
Patterned
(“walking”) bass
lines
Down by step
progression
Other
Chromaticism
Borrowed
harmonies and
pitches
Dissonance
Added flat 2nd
Half-step motion
Direct transposition
Dominant pedal tone
Harmonic cycles (tonal
levels), ascending or
descending
Harmonies above
a dominant pedal
Movement around
the dominant
pedal
By 2nds
By 3rds
By 5ths
Harmonic relationships
(to the tonic or
dominant key)
Second
Mediant,
chromatic
mediant, VI, and
b
VI
Tritone
Other distant
harmonies
Sonata Nos.
1
2
3 4 5
R R R 6 7
R 8
9 10
R R
11
R
15
R
R R R R R R R R R
R
R R R R R R R R R R
R
R R R R R R R R R R
R
R
R
R
R
R
R
R
R
R
R
R
R
R
R
R
R
R
R R R R R R R R
R
3
11
15
R
R
1 2
R R
R
R
R
R
R
4 5 6 7
R R R R
R
R
R R
R
8 9 10
R R R R R R R R R R R R R R R R R
R R R R R R R R
R
R R R R R R R 159
R
Major-minor
relationships and mode
mixture
Transitional effects
during or after KA2
Unexpected cadential
resolution
“Wrong” keys
Form
Added material
R R R Expansion
Extension,
cadential
Extension,
dominant pedal in
retransition
Insertion
False retransitions and
recapitulations
Multi-part section
KA2
Transition
CT
coda
Truncation
Retransitions
Other
Concerto-like
figuration
Derived materials
Without a
dominant pedal
extension
Using simple
harmonies
in CT or
Development
Fragmentation of
motives with
various treatments
Reminiscences
Repetition
New melodies
Shift of function in a
section
Experimentation
during a closing
section
Thematic
Variation
Introduced in the
development
Before using
terminative
function
R R R R R R
R R R R R 1
2
3 4 5 6 7 8
R R R R R R R R R R R R R
R
R
R
R
R
R
1
2
R R R
R
R R
R
9 10
R
R R
11
R
15
R R R
R
R
R R R
R
R
R
R
R
R
R
R
R
R
R R 3 4 5
R R 6
7 8
R 9
11
R
15
R R R
R
R
R R R R R R R R R R R
R
R R
R
R
R
R
R R R R R R R R
R R R R R R 160
R R R R R
10
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