A.B. MARX'S EXPLANATIONS MUSICAL FORM THESIS/67531/metadc... · Musical Form. Master of Music...

A.B. MARX'S CONCEPT OF RONDO AND SONATA:

A CRITICAL EVALUATION OF HIS

EXPLANATIONS OF MUSICAL

FORM

THESIS

Presented to the Graduate Council of the

University of North Texas in Partial

Fulfillment of the Requirements

For the Degree of

MASTER OF MUSIC

By

Adelheid K. Lang, dipl.-pianist,

Erstes und Zweites Staatsexamen in Padagogik

Denton, Texas

July, 1993

3 19

1 to, 69

Lang, Adelheid K., A. B. Marx's Concept of Rondo and

Sonata: A Critical Evaluation of His Explanations of

Musical Form. Master of Music (Music Theory), July, 1993,

pp. 116, 14 figures, 15 musical examples, bibliography, 45

titles.

The third volume of A.B. Marx's theory treatise Die

Lehre von der musikalischen Komposition is discussed. His

definitions of rondo and sonata formal types are

demonstrated in the first chapter in addition to the manner

of their derivation through a developmental process

originating in the Liedform.

Musical examples chosen by Marx are examined in chapter

two. These examples, taken from Mozart's and Beethoven's

piano works, are evaluated in relation to Marx's definitions

of the various types of form.

The third chapter is concerned with the progression

from microstructure to macrostructure and the functional

interrelation of the parts to the whole. In addition,

Marx's opinion on musical form is compared with perspectives

of philosophers from his time period and the immediate past.

Denn alle Kraft dringt vorwarts in die Weite,Zu leben und zu wirken hier und dort;Dagegen engt und hemmt von jeder SeiteDer Strom der Welt und rei t uns mit sich fort:In diesem innern Sturm und Aulern Strei teVernimmt der Geist en schwer verstanden Wort:Von der Gewalt, die alle Wesen bindet,Befrei t der Mensch sich, der sich iiberwinde t.

Johann Wolfgang von Goethe

Copyright by

Adelheid Kunigunde Lang

1993

iii

ACKNOWLEDGEMENTS

Dr. Graham Phipps, my major professor and advisor, hasalways been helpful and supportive during the time of thecompletion of this thesis. It would be difficult to mentionthe variety of levels in their entirety on which he directedthe development of my studies in a perceptive and subtleway. It is my pleasure to thank him for his assistance andconstant encouragement as well as for his adroit guidance inaddition to his outstanding professional suggestions.

My further acknowledgement is directed toward thosemembers of the faculty at the University of North Texas whohelped me in various ways including Dr. Edward Baird, Dr.Gene Cho, Dr. John Covach, Dr. David Schrader, Dr. ThomasSovik, and Mr. Adam Wodnicki. In addition, I would like toexpress my sincere appreciation to Dr. Kevin Korsyn whosethorough advice was a constant source of support, and, inparticular, his insightful piano interpretations in additionto his detailed comments regarding my compositions were ofinestimate value for me.

It would be difficult to mention all people who haveencouraged me; the following list is far from beingcomplete: my students in Nurnberg and Schwabach who havewaited patiently for the completion of my work as well asthe Government of Bavaria/Germany and the Town of Schwabach-Nurnberg, in particular Mayor Hartwig Reimann, Dir. Bernt-Hellmut Horn, and Oberstudiendirektor Erich Kroner, whosepermission for sabbatical made these studies possible.

I can hardly find the words with which to express thedepth of my gratitude to my mother, Mrs. Margarete Lang, tomy aunt, Mrs. Betty Keilholz, and to my uncle, Mr. BennyKeilholz, who supported my studies by their devotion to meand my work, as well as to Mrs. Gunda Kirchdorfer who helpedme constantly during the one year of the completion of mystudies at the University of North Texas. They neverhesitated to give their constant encouragement.

Finally, I would like to express my appreciation toProf. Dr. Achim von Arnim, Barbara and Erich Appel, Prof.Dr. Hans Becker, Dr. Bernhard Billeter, Dr. RudolfBreitkopf, Oliver Colbentson, Peter Daum, Dr. HansGraetschel, Dr. Helmut Heiger, Dr. Fritz Hieber, ElizabethKingdon-Grunwald, Reinhold Kirchdorfer, Prof. RainerKretschmer, Adolfo and Ricardo Odnoposoff, Dr. Hilma Oehl,Heinz Prandl, Dorothee and Eva Schuh, Dr. Robert Seiler,Wolfgang Semig, and Matthias Steiner for their valuablesupport.

iv

TABLE OF CONTENTS

ACKNOWLEDGEMENTS iv

TABLE OF CONTENTS VLIST OF FIGURES AND EXAMPLES vi

INTRODUCTION 1

CHAPTER I. MARX'S TREATISE DIE LEBRE VON DER 7MUSIKALISCHEN KOMPOSITION, VOLUME IIIIntroduction--Marx's theory on form: His discussionof rondo and sonata forms and the development of oneform out of the other- -The smaller and greater rondoforms--The sonatina form--The sonata form

CHAPTER II. THE APPLICATION OF MARX'S IDEA ON FORM TOTHE MUSICAL EXAMPLES CITED BY A.B. MARX IN HISDISCUSSION OF RONDO AND SONATA FORMS AND THEIREVALUATION 29Musical examples for the smaller rondo forms--Thegreater rondo forms--sonatina--sonata

CHAPTER III. CONCLUSIONS 103The logical progression from one form to the next--the progressions from microstructure tomacrostructure--Marx's opinion on form and theperspectives of philosophers of his time

SELECTIVE BIBLIOGRAPHY 109

V

LIST OF FIGURES AND EXAMPLES

Figures

Figure 1

Figure 2

Figure 3

Figure 4

Figure 5

Figure 6

Figure 7

Figure 8

Figure 9

Figure 10

Figure 11

Figure 12

Figure 13

Figure 14

Example

Example

Example

Example

Example

Example

2-1

2-2

2-3

2-4

2-5e

Title

Dreiteilige Liedform

Marx's Concept of the First Rondo Form

Key Relations

Diagram

Third Rondo Form

Fifth Rondo Form

Overview of the Smaller and Greater RondoForms

Sonatina

Sonata Form

Overview of Sonatina- And Sonata Forms

Proportionality

Beethoven, Sonata A -Major, Op. 2, No. 2(phrase structure)

Beethoven, Sonata Al -Major, Op. 26(Modulation Plan)

Beethoven's G-Major Sonata, Op. 31/I(proportions)

Beethoven, Sonata in Eli-Major, Op. 27, I

Beethoven, Sonata in Eli-Major, Op. 27, II

Marx's Example

Marx's Example

Marx's Example

Marx's Example

vi

Page

8

10

10

11

12

15

17

19

20

25

38

43

70

95

29

31

32

33

34

35

Example

Example

Example

2-7

2-8

2-9

Example 2-10

Example 2-11

Example 2-12

Example 2-13

Example 2-14

Example 2-15

Marx's Example

Marx' s Example

Beethoven, Sonata in A-Major, Op. 2, I(Exposition, score)

Mozart, Rondo in A -Minor, K. 511/I(Hauptsatz and Seitensatz, score)

Beethoven's Sonata in C-major,Op. 53/III (score)

Beethoven's Sonata in A6-Major,Op. 26/finale (score)

Beethoven, Sonata in C-Minor(Pathstique), Op. 13/IV (score)

Mozart, Sonata in D-Major, K. 381(123a), for four hands (score,

primo part)

Beethoven, Sonata in G-Major,Op. 31, No. 1/I, Allegrovivace (score)

vii

36

37

40-42

45-51

56-69

73-77

81-87

90-92

96-104

INTRODUCTION

"The number of forms is unlimited."1 This statement by

Adolf Bernhard Marx represents his understanding that the

form of a piece is not governed by an established canon.

For him, form was "the way in which the content of a work - -

the composer's conception, feeling, idea - - "2 is expressed.

He takes compositions by such composers as Ludwig van

Beethoven and Wolfgang Amadeus Mozart and employs them as

models that represent well-rounded entities themselves; for

him, "'form' was almost synonymous with whole." 3 Based upon

Marx's opinion, pieces may share similar forms, but these

forms are not based upon obligatory compositional

procedures. His belief was that form and content are

inseparably intertwined; moreover, an underlying idea--

allowing for the combination of parts into a unified whole--

is evident because of the existence of the shared similar

forms. Thus, Marx rejected the notion that form is a

"'convention'";4 rather, forms are abstract traditional

A.B. Marx, Die Lehre von der musikalischen Komposition(1837-1847), cited in Ian Bent, "Analysis," The New GroveDictionary of Music and Musicians, 20 vols., ed. StanleySadie (London: Macmillan Publishers Ltd., 1980), I, 351.

2Bent, "Analysis," 351.

3Bent, "Analysis," 351.

4Marx in Bent, "Analysis," 351.

1

2

organizational patterns that may be discovered by the

analyst.

A.W. Schlegel (1767-1845) had a similar understanding

to that of Marx in reference to the ways in which nature and

art are related. The former maintained that "...beneath the

consciously molded work of art must lies an unconsciously

molded work of nature."5 According to Schlegel, nature

[...should be understood] not as a mass of products but as

itself a producing [force]" 6 Marx's beliefs were vested in

the gift of genius, an artist's creativity, the breaking of

existing rules, and the importance of an idea that can be

developed. Another influence on Marx was the Swiss educator

Heinrich Pestalozzi (1746-1827). His view was that the law

of man's development is an internal, organic growth process

rather than the sum total of external circumstances.

Furthermore, every process has a beginning and a period of

growth; all parts form together a whole. Marx's

descriptions of each process begin with a Motiv which may be

described as the ballistic force that carries the drive to

expansion.

Marx's writings on sonata form differ from Carl

Czerny's in the sense that Czerny's development of sonata is

5Ian Bent, "Analysis," The New Grove Dictionary of

Music and Musicians, 20 vols., ed. Stanley Sadie (London:Macmillan Publishers Ltd., 1980), 1, 351.

6A.W. Schlegel, Vorlesungen caber sch6ne Literatur undKunst, 1801-1802, i, in Bent, "Analysis," 351.

3

an almost exclusively theoretical one that is abstracted

from the music. In comparison, Marx provided a discussion

on sonata form that was directed toward the music. In his

treatise Die Lehre von der musikalischen Komposition, he

pursued the discussion by citing examples from the music of

Beethoven and Mozart. Marx mentions their unique key

organization and recommends that other composers may

carefully consider the advantages of such schemes; that is,

the importance of considering the abstract theoretical

definition of form from the actual music.

A public disagreement between Marx and G.W. Fink may

serve to reveal Marx's contemporary philosophical

standpoint; Die alter Musiklehre im Streit mit unserer Zeit

(1841) records these proceedings. Die Lehre von der

musikalischen Komposition served as a tool in theoretical

education during the twentieth century, and its influence

was felt on succeeding generations.

In his treatise Die Lehre von der musikalaschen

Komposition, Adolph Bernhard Marx uses a restricted number

of terms for his definition of Rondo and Sonata Forms.

Throughout his discussion of musical forms, he adopts this

set of technical terms as a consistent one and uses them as

such. Marx describes five increasingly more complex rondo

types. From the fifth of these, he develops a new type, the

sonata form. In this paper, I have elected to retain the

original German version of these terms in order to preserve

4

the flow of my presentation of Marx's idea. Marx's terms

and their English equivalents are given below.

Practical Definitions of Terms That Marx Uses in His

Composition Treatise

Abschni tta "segment" (in the mathematical sense in comparison to"sector" [Ausschnitt]; a Abschnitt might be a smallersegment; whereas Ausschnitt might be a larger section.

Ankn pfunga connective passage between two musical phrases,periods, or parts

Bewegunga motion that can be understood either in regard to itsinner forward drive, or to its rich emotional content

Erweiterte Peri odeextended period; that is, a passage that closes with acadence, but is extended in the middle part

Ganga part carrying the motion forward that is understoodwith regard to the process of time (Zeitverstndnis)

Gestal tungsanl i egenformal concern

Hauptmoti vthe main or first theme stated at the beginning of theexposition

Hauptsatzfirst part of .the exposition that is devotedexclusively to the main or first theme

Kontinui to tsprinziplaw of continuity

Kopfmotivheadmotive

Liedsatza complete musical song-like statement; it might be asingle phrase or a more complex period consisting oftwo or more phrases

5

List of Terms (continued)

Liedsong

Liedformsong form

Nachsatzconsequent phrase that follows its antecedent

Nebensatzsecond part of the exposition, containing the secondtheme; Marx uses this term interchangeably withSei tensatz

Nebenwerkside-effect

Periodea passage that is concluded with a cadence

Ruhepoint of repose

Satzphrase

S tzchenif translated literally from German, it is defined as asmall Satz; in Marx's terms, however, it means thesubdivision of a phrase into "head" (if it is its firstpart) or into "tail" (if it is its last part)

Schlu~satzfinal phrase

Sei tenparti esecondary section

Sei tensa tzsecond theme

Uberganga transitional passage that links Haupt- und Seitensatztransition (a specific use or sub-meaning of Gang)

Uberlei tunga link passage that is shorter than a transition

6

List of Terms (continued)

Vordersa tzantecedent phrase that is followed by its consequent

Zwi schensa tzconnecting phrase between two main sections

CHAPTER I

A.B. MARX'S THEORY OF FORM: HIS CONCEPT OF

RONDO AND SONATA AND HIS DEVELOPMENT

OF SONATA FORM

The Small Rondo Forms

It is Marx's opinion, that the development of sonata

form has its origin in the rondo forms. His definition of

rondo is that it is derived from Lied which in turn finds

its origin in the variation form. Marx understood variation

as a modified repetition of Lied, in which the theme, the

liedformige Satz, was most important. The next step beyond

the Lied, the Gang or Satz in either homophonic or

polyphonic manner is introduced. This Liedsatz, then,

remains the only Hauptsatz; in comparison, everything else

is of secondary importance.

If two Liedsatze follow each other without any inner

connection, they form together a sequence of Liedsatze, but

not necessarily a new form (see Example 2-1, Chapter II).

Based upon Marx's opinion, new forms are created when

different Satze and Gnge are unified into an internally

connected whole, so that the resultant form shows only a

loosely connected series of single forms in the foreground

rather than a chain of loosely connected Sitze. There are

two main possibilities of combination: first, either that

7

8

the initiating Liedsatz remains the main part; that is, the

Hauptsatz, beside which everything else is secondary

material; or, second, a second Liedsatz, of equal importance

to the first, appears. Marx calls the former possibility

Rondo Form, derived from the Rundgesang or Rondeau.

This idea of Marx may be summarized as follows: a

Liedsatz becomes Hauptsatz when it has an additional content

besides its own. Marx conceives a unified whole as being of

tripartite structure. He calls this form Satz -- Gang --

Satz on the level of musical reality as a microcosm, whereas

its macrocosmic region mirrors natural law in expressing

eternal sequence of Ruhe -- Bewegung -- Ruhe. Marx

translates this relation into harmonic terms as Tonic --

Dominant --- Tonic, and draws a close relation to the

Dreiteilige Liedform, which turns away from and returns

later to the first Satz (see Example 2-2, Chapter II). The

following diagram shows the interconnection of its levels:

Figure 1:

Dreiteilige Liedform

Satz Gang Satz

corresponds to

Ruhe Bewegung Ruhe

corresponds harmonically to

tonic dominant tonic

9

The First Rondo Form

A Liedsatz becomes Hauptsatz in that it has an

additional content besides its own. Consequently, this is

only the case if the Satz itself is not entirely self

sufficient or if the composer does not provide the

appropriate background of mood and sensitivity to lend it a

sense of independence. The direction of expansion, then, is

dependent upon the specific mood of expression that draws by

itself its limits and means of dissemination.

The new element described above demands its right to

expansion causing the development of the Gang out of the

Satz. Therefore, the Satz-like element withdraws

increasingly into the background, whereas the Gang-like

element becomes predominant. This process finds its

harmonic expression in modulation where the harmonic motion

opens various possibilities for its continuation. At this

point, it becomes evident how closely related the first

rondo form is to the Dreiteilige Liedform. According to

Marx, the main Satz of the first rondo form becomes so

satisfactory in realizing musical expression that the

introduction of any new material would become a redundancy

(See Examples 2-3 through 2-8, Chapter II). The following

diagram summarizes the above:

10

Figure 2: Marx's Concept of the First Rondo Form

Satz

consists of

Liedsatz or Hauptsatz

Marx calls it Hauptsatz,when it fulfills the following presuppositions:

Liedsatz + Hauptsatzadditional contentbesides its own

From this scheme, Marx develops the second rondo form.

The Second Rondo Form

When new musical material is introduced, it creates a

subordinated material which we may call Seitensatz.

According to Marx, the main characteristics of the second

rondo form are Hauptsatz -- Seitensatz -- Hauptsatz, thus

corresponding to that of the first rondo form of Satz --

Gang - - Satz. The consideration how to connect one

Hauptsatz to the other permits the accommodation of

modulation to another closely related key for the

Seitensatz, frequently the dominant or subdominant key. If

C-Major is the tonic of the piece, then, the closely related

keys are

Figure 3: Key Relations

C Major - - G Major - - C MajorC Major - - F Major - - C MajorC Major - - A Minor - - C MajorC Major - - C Minor - - C Major.

11

In this form, both new musical material and subordinated

thoughts may occur. The form combines two song-like Stze

both of which are two-part songs. The following diagram may

illustrate Marx's concept:

Figure 4: Diagram

Hauptsatz (HS) Seitensatz (SS) Hauptsatz (HS)

these Sitze are interconnected because they containmaterial whose sequence is based on the previous section as

follows

theme 1 theme 2, return of theme 1,contrasting indifferent key

two-part two part two-partsong form song form song form

Marx uses Beethoven's Sonata in A-Major, Op. 2, No. 2,

to illustrate the second rondo form. (See Chapter II,

Figures 11 through 15, and Example 2-9, where the first

movement of this sonata is cited with markings to indicate

how Marx illustrates his second rondo form).

Specific Observations of the Individual Parts

At this point, Marx describes the Hauptsatz and the

Neben- or Seitensatz in greater detail. Since he believes

that as rondo tends toward sonata, Haupt- and Nebensatz

increasingly become a unified whole through their

strengthened interconnection, he conceives the section

described above as the central point of the rondo that

itself contains independent material; it therefore occurs in

12

Liedform, either bipartite or tripartite, thus containing

material for contentional dialogue. In the case where a

fully developed, independent Seitensatz does not exist--as

was the case in the first rondo form--the Seitensatz is

called Gang. The Ubergang is conceived as a link passage

between Haupt- and Seitensatz. Finally, in Marx's opinion,

the pedal point plays an important dramatic role that

enhances the move to the dominant key. Marx explains the

rhythmic structure as a contraction that causes an overlap

of the end of one section with the beginning of the

following one both on the level of individual measures and

of sections Satz -- Gang -- Satz.

The Third Rondo Form (in Slower Tempo)

Marx calls the forms greater when there are two

different Seitensatze. The first of these greater forms is

the third rondo form. Marx conceives this form as two

intertwined rondos as shown in the figure below:

Figure 5: Third Rondo Form

G

HS -- SS -- HS

HS -- SS -- HS, or:

If the Haupsatz is A, the first Seitensatz B, and the

second one C, the model becomes A - B - A - C - A. In

addition, he provides a discussion on the individual parts

13

of the third rondo form Hauptsatz - - Seitensatz - -

Verknipfung. Marx uses Mozart's Rondo in A-minor, K. 511,

as a model for third rondo for, as shown in Chapter II.

Marx distinguishes furthermore between faster and

slower meter in this form. In his opinion, the basis of

slow meter is a predominant mood of lingering

(vorherrschende Verweilen) in the single movement. The

basis of a faster meter is the predominance of motion. The

ground form of this motion is called Gang, whereas the fixed

form is called Satz (see Chapter II).

The Hauptsatz in fast meter presupposes a one-part

Periodenform. Its content is found mainly in the

Hauptstimme that has only a suggestion of an accompaniment

so that the natural flow of the faster meter is not

interrupted. This form becomes a bipartite structure in

regard to its expansion. The Ubergang of Hauptsatz and

Zwischensatz consists of a fluent motion in the

accompaniment of the Hauptsatz, followed by a Seitenstatz.

In order that the Seitensatz may not overbalance the

Hauptsatz, it must not exceed the proportions of the Satz-

or Periodenform. Therefore, the two-part Liedform may be

preferred over the mere Periodenform. Marx states that in a

rondo of faster meter we may find a satisfactory period that

is closed in itself forming the Hauptsatz. The Seitensatz

may conist of a Satz and its repetition; the Seitensatz is

followed by another Gang. Generally in faster compositions,

14

the Gange must be more elaborate, and the second Gang should

be more broadly conceived in order to complement the first

short one.

Marx discusses the finale of Beethoven's Sonata in C-

Major, Op. 53, which he considers to be a perfect example of

the third rondo form. The first movement is already in

faster meter. The characteristic of faster motion is

predominant in that the adagio is not conceived as a middle

movement between the first and the last allegro, but as an

introduction to the latter one. The last Allegro

(Allegretto moderato, then Prestissimo) illustrates Marx's

third rondo form, as may be seen in Chapter II (Mozart's

Rondo in A-Minor, K. 511, in Example 2-10, illustrating the

third rondo form in slower meter and Examples 2-14 in faster

meter, illuminated by Beethoven's Sonata in C-Major, Op.

53).

The Fourth Rondo Form

Rondo form was developed in that it grew out of an

accumulation of grouping of sections of the composition;

that is, departing from the Lied, a Gang was added, then a

Seitensatz, finally two Seitensatze, and a Anhang.

The fourth rondo form possesses the structure HS -- SSl

-- HS -- SS2 -- HS -- SS3 (HS - SS2). Marx rejects the

possibility of expanding the rondo form by adding more

Seitensatze because that procedure would adversely affect

the unity of the movement; the composer must invent four

15

contrasts, the Hauptsatz and the three Seitensatze, which

need to form a unified whole either by their mood or by

their inner connections. Marx considers this occurrence to

be the limit of this form; further extension is possible but

not desirable. The necessity of repetition of single parts

in order to achieve a desirable connection among them would

have a tiring effect. Thus, the Hauptsatz and the

Seitensatz form a closely related multitude of sections

(Masse) the interconnections of which are even more

established through modulation. Marx demonstrates as

examples Beethoven's Sonata in As-Major, op. 26 and his

Sonata in A-Major, op. 2, finale, as discussed in the

Chapter II in Example 2-12 as well as in Figure 16.

The Fifth Rondo Form

Marx distinguishes a fifth rondo form in which the

Haupt- und Seitensatz are more closely bound together as a

single section of the composition (I). The second section

(II) is then a second Seitensatz. The third section

consists of the repetition of part I. The form may be

outlined as shown.

Figure 6: Fifth Rondo Form

I II III (=I)HS -- SSI SS2 HS -- SS1

It is noticeable, however, that the Hauptsatz is not found

in the middle part. It is from this concept of the fifth

16

rondo form, that Marx develops his idea of sonata form.

Examples containing detailed discussion are given in Chapter

II.

Overview of The Smaller and Greater

Rondo Forms

Figure 7:

Origin of First Rondo Second Third Rondo Fourth FifthSonata: Form Rondo Form Form Rondo Rondo

Form form

Variation, The Gang Hauptsatz Two A series HS- -Liedfc rmi- develops (SS) intertwined or SS 1-ger Satz out of the Rondos Anknip- -HS--or Satz fung of SS2- -Liedsa tz because of di f f e - HS- -

its urge to rent HS SS.expansion and SS

Hauptsatz The Satz- Seitensatz A--B--A--C Re-if it has like (SS) - -A turnan element toadditional comes into HS--content the SS 1besides foregroundits own

Dreiteili- It Hauptsatz Hauptsatz- -ger resembles (HS) Sei tensatzLiedsatz the - -if there Dreiteilige Verknpffungis a Satz Liedform incorrespond that iting to shows theRuhe - sameBewegung- proportionsRube : Satz- -

Gang - -Satz,or Rube--Bewegung --Ruhe, or

Harmonic Tonic- - Tonic- -correspon- Dominant- - Dominant - -dent: Tonic Tonictonic--dominant - -tonic

17

To essential points in Marx's discussion of the rondo

forms, are: 1) rondo is the basis of the Hauptsatz; 2) this

Hauptsatz leads naturally to the SeitensAtze; 3) the

Hauptsatz returns as an important part thereby creating a

tripartite concept. His notion of sonata form is derived

from this tripartite model.

Two Types of Sonata Form

As described above, the fourth and fifth rondo forms

surpass the boundaries of the simpler rondo forms in the

sense that they combine the first Haupt- and Seitensatz into

a more unified whole, as HS -- SS1.

Marx's idea of sonata form realizes what was begun in

the fifth rondo form in two different types: 1) that the

"foreign element" -- the second Seitensatz -- that was

retained in the fifth rondo form, is abandoned. 2) a new

second middle part is presented in unification with the

first part. The first type Marx calls Kleine Sonatina or

Sonatinenform; the second type he calls Soantenform.

The Sonatina Form

The sonatina consists of two sections, the exposition

and the recapitulation; but it lacks a development section.

The exposition itself includes two parts: the Hauptsatz and

the Nebensatz. In contrast to the sonata, the themes

(Hauptmotive) have a lighter character and are non-

developmental. In contrast, Marx conceives sonata as a

18

tripartite form that consists of exposition, development,

and recapitulation. The exposition, like that of the

sonatina, contains a Haupt- and a Nebensatz. In the sonata,

however, these two Satze are composed in contrast. The

Hauptmotive are developmental and we may find them

continued not only into the development section, but also

throughout the entire piece.

Marx cites several examples and definitions of the

single parts of sonatina form. Its first part is similar

to the first part in the fifth rondo form with the

difference that the sonatina lacks the middle part, which is

represented in the fifth rondo form as a second Seitensatz.

The principal characteristic of sonatina form is the direct

connection of the individual sections. Marx's discussion of

several examples is given in the Chapter II with the Example

1-13.

The phrases in sonatinas in major keys may be divided

into Vorder- and Nachsatz and the modulation is less

thoroughly worked out than that of the sonata. Unlike the

tripartite rondo, the sonatina is bipartite--the second

Seitensatz has been omitted. Its sections, therefore, are

Hauptsatz, Seitensatz, Gang, and SchluI satz, whose

interconnection is less intricate than for example that of

sonata. Marx outlines the form of the sonatina as follows:

7Adolph :Bernhard Marx, Die Lehre von der musikalischen

Komposition, praktisch un theoretisch. (Leipzig:Breitkopf und Hartel, 1887-1890), III, 202-215 and 215-220.

19

Figure 8: Sonatina

Part I Part II

HS SS G SZ HS SS G SZ

The Sonatina Form in Minor

Marx finds it more difficult to justify the sonatina

form in minor because the minor mode would not express its

lighter character as appropriately as does the major mode.8

The exposition follows the same rules as that of the

exposition of the sonatina in the major key. It could not

contain the most profound emotional expression possible as

Marx shows in Chapter II. His discussion on Mozart's Sonata

in D-Major for four hands, however, is his main argument for

the discussion of this form.

Sonata Form:

A Discussion of Its Individual Parts

According to Marx's definition, sonata- -in contrast to

sonatina--is conceived with a middle part, and it is

therefore tripartite. This middle part, however, must not

contain foreign musical material. For example, a second

Seitensatz, as found in the rondo forms would destroy its

unity. Since the purpose of the sonata is to achieve unity,

such a procedure would be self-contradictory. The second

part of the sonata form, therefore, must develop the content

Ibid ., 236.

20

of the first part either exclusively or almost exclusively.

Figure 9: Sonata Form

Part 1 Part 2 Part 3

HS - SS - G - SZ ----------- HS SS G SZ

Marx considers three points as important characteristics for

sonata: 1) Since all three parts consist of the same

musical material the content must be highly concentrated,

thereby balancing the close thematic relation of the

constituent parts. Thus, Marx considers the sonata directed

toward a higher form; 2) In the sonata form, it is not

enough merely to bring back the musical material in a series

of mechanical repetitions; rather, the cadences must give

life and spirit to it. Marx uses the Allegro vivace of

Beethoven's G-Major Sonata, Op. 31, No. 1, as an example for

the demonstration of sonata form, as shown in Chapter II; 3)

The hhere Sonatenform requires a formal Ubergang that leads

directly from the Hauptsatz into the Seitensatz. This

transition provides a sense of drive that characterizes the

sonata form.

Since the second part of the sonata form does not

contain new material, it is therefore a combination of the

material of Hauptsatz, Seitensatz, and eventually that of

Schlufsatz. According to Marx's understanding of a higher

form, the individual sections will change according to their

content, to their compositional conception, and to the order

21

in which they occur. These elements can only combine into a

unified whole if they follow the eternal law of motion that

carries in itself the extremes of Ruhe -- Bewegung -- Ruhe

in all three parts of sonata form. In particular, the

middle part, that of motion, carries in itself the utmost

variety of compositional motion.9

Marx lists several prototypes for connections of the

first and second principal sections. 1) the direct return

to the Hauptsatz; 2) the Ankniipfung by means of a

Zwischensatz that contains foreign musical material; 3), the

Ankntpfung by means of a finale that points in retrospect

toward the Hauptsatz; 4) the introduction of the second part

by means of an individual final movement; and 5) the Gang-

like introduction.

A section comprising a complete Hauptsatz and a

Seitensatz, introduced into the tonic key by the dominant

and subdominant keys follows the connective passage and

represents the third part of sonata form. The modulation

may occur in several different ways, the choice of which is

dependent upon the context used.

Use of Sonata Form in Slow Movements

Whereas the rondo forms are characterized by stability

embodied in a Hauptsatz, that forms a stable central point

of the movement, the principle of motion in the sonata form

9 Ibid., 256.

22

is unstable requiring motion from the Hauptsatz to a

Seitensatz in a contrasting way. This Seitensatz, Marx

connects to previous occurrences with his discussion of the

rondo forms, relating to the parts Ruhe -- Bewegung -- Ruhe.

We assume the same section in the Seitensatz in the manner

of that found in the Rondo in terms of balance of weight.

It may be diagramed as HS -- SS -- HS -- SS; that is,

a sonata form in compressed version. Marx employs

Beethoven's Rb-Major Sonata, Op. 22, II, adagio, to

illustrate this form10 (Chapter II).

Further Discussion of Sonata Form

The term Hauptsatz refers not only to the mere form in

general, but also to the special way it proceeds toward the

entrance of the Seitensatz. Marx gave the Hauptsatz a

similar meaning in his discussion of the rondo form;

particularly in the fourth and fifth rondo forms the

Hauptsatz is given a more flexible interpretation. The

sonata carries in itself the contrast to the sonatina, the

possibility of conveying a main idea that is supported by a

secondary one leading to its unity.

The Satzform is conceived to expand the Satz from

within and to augment its effect it by repetition; whereas

the Periode cannot be understood entirely in the modern

1 Ibid., 253-254: The formal structure resembles thatof sonatina, but the character of the individual sections isquite different.

23

sense of the term; it is, moreover, equivalent to Exposition

or Development or Recapitulation; that is, Marx conceives it

as a larger section. Thereby, he distinguishes between

three different subtypes: 1) the Periode with unresolved

consequent Nachsatz; 2) the extended Periode (erweiterte

Periode) that contains additioal musical material; and 3)

the Satzkette which may be understood as a loosely connected

chain of single Perioden.

The Progression Toward the Seitensatz

Marx does not want to subject himself to any

restrictions or rules in describing the continuation of the

Hauptsatz into the Seitensatz. The only "law" that he

accepts, is the natural conception that the single element

grows out of the former one. In this respect, his "law"

corresponds to Goethe's understanding of art that each

macrostructural entity mirrors its microstructural parts in

augmentation, thus representing "natural law." The

formation of the Hauptsatz is the first result of the idea

which then becomes the driving force to its continuation in

that it carries in itself tension that demands its

expansion."

Marx describes the following types of progression

(Fortschreiten): first, the progression of the last member

of the Hauptsatz which he considers as the most common type.

Ibbid., 232.

24

As an example, he mentions the finale of Beethoven's C$-

Minor Sonata, Op. 27, No. 2, in which the forward motion can

be accomplished quickly because the essential content of the

Hauptsatz, especially the Hauptmotiv, shows a Gang-like

nature,12 see Chapter II. A similar procedure is found in

the groien C-Major Sonata."

If the Satz does not come to a satisfactory conclusion,

it motivates a return to the previous thought; that is, to

the Hauptmotiv of the Hauptsatz. Examples of this type are

given in Chapter II. A third type is the progression toward

the Seitensatz by new motives, as found in Beethoven's C-

Major Sonata, Op. 2, Nr. 3, found in Chapter II. Another

possibility is a modulation for the motion toward the

Seitensatz. In contrast to the sonatina in which simpler

material demands simple means of connection, the sonata .

requires more complex musical material. A further exception

of this rule is Beethoven's Sonata in F-Major, Op. 10, in

which significant differences in the character of Hauptsatz

and the Seitensatz demand a separation; they need a neutral

transitional passage to connect them.

Definition of Character of Haupt -und Nebensatz

The Seitensatz may be written in form of a period or a

two-part Liedform - - as already demonstrated in the case of

12Ibid., 268.

"Discussion: Ibid., 269-270.

25

the Hauptsatz. The Seitensatz possesses the following

general characteristics: 1) it must form a unity with the

Hauptsatz concerning mood, content, places of modulation,

and metrical structure; 2) it should express contrast in

each respect; 3) since the Hauptsatz is the energetic

element, the Seitensatz should represent the subservient

element with a dependent function that is the complementary

counterpart to the Hauptsatz, thereby forming a unity with

it; and 4) it should maintain its own individuality and

right to a meaningful existence and should not serve merely

as a side-product (Nebenwerk). The following elements are

Gang and Schlufsatz.

Overview of Sonatina- And Sonata Forms

Figure 10:

Characteristics of Sonatina Form Characteristics of Sonata Form

Bipartite Structure, no Tripartite StructureDevelopment Section

Vorder- and Nachsatz HS--SS--G--SZ --- HS--SS--G--SS

lighter in character Deeper Musical Content

two separate sections Three interconnected sectionsthat build together a unifiedwhole

Summarizing the above paragraphs, we may emphasize the

following points: 1) Each musical creation shows a

development out of a germ, similar to the growth-process in

nature. This generative cell is called Motiv. The various

ways in which the composer continues this Motiv, Marx

26

designates as Gang, thus emphasizing its element of motion;

2) Because of this element of motion, the Gang itself is not

satisfactory in itself. Moreover, it requires a stable

element as its complement which must be a closed musical

section. Marx has chosen the term Satz which, in the German

language, describes best a statement that stands exclusively

for itself in that is clearly separated from the Motive

which precede and follow it. Based upon his opinion, the

terms Gang and Satz represent the Grundformen in music.

3) If two Satze show a closer connection to each other, they

represent a pair which is called Periode. The Periode is

then necessarily divided into two sections: one that

initiates and another that responds. Marx describes this

Satzpaar as Vorder- and Nachsatz. Since these forms always

involve at least a pair, they are called zusammengesetzte

Kunstformen. However, even if those Stze do not come to a

full close, they may carry the name Satz. Marx demonstrates

with this statement that he acknowledges the exception

contained in each rule. In his book on Beethoven, Marx

demonstrates his opposition to any kind of constraint when

he writes:

... For the last time, the visioning (Gespensterschrei)about the compulsion toward form may be brought tosilence. Not even a full close or consequence of theprevious Satz is required, although the desire for itwould be a natural occurrence. Goethe's poem "DerUntreue Knabe" gives at the end with the following line

"Die wendt' sich - - "a perfect example for the exception from the rule,which is found also frequently in Joh. Seb. Bach's

27

music. 14

4) The reason for this opinion is that even a Periode may

not be sufficiently closed in itself. If this were the

case, the resulting piece would be bipartite because the

second period does not contain at all the material from the

first one; they represent two different musical parts,

called zweiteiliger Satz. If, however, the single parts are

connected, they occur mostly in the form of a dreiteiliger

Satz, which is closed in itself and represents a larger

unified whole. The cases described above are collectively

known as Liedformen. 5) A more detailed contemplation leads

to the realization that the single parts of a unified whole

may be of unequal importance in order to function as

complements to each other. In consequence, Marx

distinguishes between those of greater importance which he

calls Hauptsatz, and those of minor importance, designated

as Nebensatz. A Satz that shows intermediary function

between two parts of equal importance is called

14A. B . Marx, Ludwig van Beethoven: Leben und Schaffen,(Hildesheim, New York: Georg Clms Verlag, 1979), 89.

... Zum letztenmale sei die Gespensterseherei desFormenzwangs zur Ruhe gebracht. Nicht einmal vollkomm[']nerAbschluf oder Nachfolge eines ihn bringenden Satzes istbefohlen oder Herkommens, wiewohl das Verlangen danach inden meisten Fallen naturgemiA sich meldet. Das goetheschewunderschone Gedicht "Der untreue Knabe" giebt in seinemAbbrechen

"Die wend't['] sich -- "

ein glorreich['] Beispiel in der Abweichung, deren auch inder Musik von [Joh.] Seb. Bach her genug zum Vorscheingekommen sind. (My translation)

28

Zwischensatz, whereas he calls an introductory section an

Einleitung, and a concluding one SchluSsatz. The

subordinated part which is mostly represented by the second

theme or second musical thought is called Seitensatz.

In the different rondo forms, we find a combination of

those sections, as outlined above. The same consideration

exists for sonatina and sonata forms that he develops out of

the fifth rondo form.

CHAPTER II.

AN EVALUATION OF THE MUSICAL EXAMPLES CITED BY

A. B. MARX IN HIS DISCUSSIONS OF

RONDO AND SONATA FORMS

The Small Rondo Forms

The Liedsatz

As an example for the Liedsatz, Marx shows Beethoven's

Sonata in E6b-Major, Op. 27/I.

Beethoven, Sonata in E6-Major, Op. 27, 1; Example 2-1

1st (4?r

F7 -j* r **'' ra ~ 4 ' 5

100-0-4 .Y-,,

wIC pp 40

-~fog.

pro of to ka .

Z E t 1~

~ 0 ** Ie . m@ a

29

,.

to,

OWN #APR -L %"Novo'

APR.

C:. " u "rrr

M+

"-4

I4

1

4

30

When Marx describes this sequence of Liedstze as being

"without any inner connection,""3 he wanted to express that

two musical sections both of which end with a full cadence

on the tonic key, carry enough closure in themselves--like

the full cadences on E6-Major in mm. 4 and 9 in Beethoven's

Sonata Op. 27/I in the above example--and therefore are

emancipated entities themselves which do not form a unity

together. This section appears to be bipartite on three

levels: first, it consists of two sections closing with a

full cadence; second, each of these sections is repeated,

thus creating duality; finally, each section is divided

into two subsections that could be called Motive which

themselves consist of rhythmically equal figures that are

treated symmetrically, as demonstrated in Ex. 2-1.

Based upon Marx's definition a Liedsatz becomes a

Hauptsatz when it has additional content besides its own;

that is, because of its cadence-disposition it forms a

unified whole consisting of three parts, as shown in

Beethoven, Sonata in Eb6-Major, Op. 27, II; Example 2-2. The

first Satz ends on a half-cadence (mm. 7-8)--thereby

demanding continuation, whereas the second Satz closes in

mm. 16-17 on a full cadence to Ab-Major. Thus the entire

Satz in this example differs from that in Op. 27/II.

5 n reference to Chapter I/A, 7.

Beethoven, Sonata in Eb-Major, Op. 27, II; Example 2-2

Adgo can epreuano "A..) /

IN-

-fa

Pi

a "M-on

* so* 40

b r- - -j f" t r- -

This piece has reached its natural closure, in that the

f irst part represents a unif ied whole in 3a tz- -Gang- -Sa cz,

corresponding to Rube- -Bewe gung- -Rube, which by itself

31

N

5m4c -- (-7'ot4icdw..--i etr.r- ..- .r .a

m

P.r

32

corresponds to Tonic- -Dominant- -Tonic. From this concept,

Marx draws a close relation to the Dreiteilige Liedform that

turns away from the first Satz and returns later. Thus,

according to him, the dynamic section is found in the middle

part.

The First Rondo Form

As an example for the first rondo form, Marx has chosen

the Liedsatz shown in Ex. 2-3.

Marx's Example; Example 2-3

-W A

L~~' I~ -~' Nzel.

This piece is conceived as an orchestral work; it ends in

the tonic key, or in the manner shown in Ex. 2-4.


erg C~a .._..._s ....,

33

Marx's Example; Example 2-4 (continued)

dIlc

a

ii- - -_-_-_-_- -_-_-_- - -

In the first case, it seems that, based upon Marx's

opinion, the important content of the Satz is not expressed

entirely over the space of fourteen measures. The concise

change of the softer high voices in addition to the

ponderous bass in the last bars will most likely not provide

us a sense of repose. Therefore, Marx suggests that the

ending be given more weight, especially because the motive

leads to the conclusion shown in Ex. 2-5.


q j*T11 _ ... _. b -

--------- -------- ----

SIJI -.....

34

This motive can be brought to an end in the manner of

the Liedform. The above described new element demands its

right to expansion which causes the development of the Gang

out of the Satz. Therefore, the Satz-like element, in

contrast to the broadened and accumulative motion of the

Gang, withdraws increasingly more into the background,

whereas the Gang-like element becomes predominant. This

element, however, causes the need for modulation in which

the motion finds its expression. The effect of this motion

reveals several possibilities for continuation; for example,

a third Motiv in retrograde could be added. This, however,

would contradict the progressive character of the modulation

which does not carry a closing element. A better solution

for continuation, therefore, could be the one shown in Ex.

2-6.


tart! '

ME~. .. j-

* ~ . T a

35

Following its expansion, the Motiv in the bass and tenor,

and later in the upper voices, leads to a half-cadence in A-

Minor. As a result, a feeling of completion seems to occur

for the first time. At this point, a satisfaction

concerning expression seems to occur for the first time.

To summarize everything that Marx has presented to this

point: Example 2-1 ended with a fixed Liedsatz which we

called Hauptsatz; in contrast, Examples 2-2 through 2-6

demonstrate the development of new musical material that

does not have any relationship to the former one. With this

new material, the mood is transformed to a more excited

level, thus carrying an increasing expansive force. The

character of the Gang, however--in comparison to the Satz--

does not lead toward a new main thought; rather, it is a

series of interconnected Motive. Since the Gang does not

provide a satisfactory conclusion, something that carries in

itself the desired element of closure must follow. An

entire new section could be added, or the first Satz could

be repeated,. For the sake of unity, Marx decides on the

second possibility, as demonstrated in Example 2-7.


a

Mo

36

Marx's Example; Example 2-7 (continued)

.-. C. .... _ J ...,., ,, f " , + a .. .

d i m. T t e :a.

- - -- _'_ _- - _--_-- -------- _

S.. ..... .'i -....... .s

d- ....-

The modulation develops toward its dominant that is the

mediant of the new key and the tonic of the first section.

Now, the Hauptsatz is repeated entirely, as demonstrated in

Ex. 2-8.

Marx' s Example ; Example 2- 8

di-.

_______ z

I dim.I ______

V .. "J

37

The first part serves as a remembrance of the first section

and provides a sense of closure in that the content is

independent and does not require further musical definition.

The movement has come to its natural closure; in retrospect,

it may be considered a tripartite unified whole.

Applications of the Second Rondo Form and its

Discussion of Intermediary Types

The characteristic of the second rondo form is that it

consists of two song-like Satze, both of which are two-part

songs themselves. Marx uses the exposition of the first

movement of Beethoven's Sonata in A-Major, op. 2, No. 2, to

illustrate a transitional formal archetype that combines

characteristics of variation and rondo. Marx diagrams the

exposition as HS -- SS -- HS. He conceives the Hauptsatz

from mm. 1-58 which by itself is divided into two sections:

mm. 1-22 represents the first part, mm. 22-58 the second.

Marx calls both subsections T1 and T2, followed by a Gang

that leads into the Seitensatz (mm. 58-76) on the dominant

in E-Major. It builds the supplementary counterpart of

different character to the first part TI. The third part is

the repetition of the Hauptsatz. He then discusses the

relation between the parts in stating that balance. When

letters for the transitional passages are added, the scheme

is the following, whereby the numbers in the middle line

express the frequency of occurrence of the single parts and

their relative proportion to each other.

38

Figure 1116: Proportionality

HS............G....5........G.........HS......A

T1,T2 T1,T2 T1,T2

1:2:1 (3)T 1:2 1:2:1 (3) 1:1

mm. (1-58) mm. (58-76) mm. 76-110

The balanced equality that results from this scheme could be

supported by further developments in the piece. The

sections, however, are completely independent; that is,

individual parts of the whole may either be left out,

shortened, or expanded. In other words, each part may be

used in a variety of ways. This opinion can be proven by

examining the relation of the parts. It is noticeable,

however, that Marx describes mostly the macrocosmic regions

of the piece; the microcosm which is the cell for each

ballistic force--and therefore significant for the

progression of a musical section--may only be inferred from

his explanations of Satz and Gang that he gives at the

beginning of his discussion of form. Example 2-9 shows the

first movement with Marx's sections which are a combination

of variation and rondo forms.

An evaluation of the musical considerations described

above may show that Marx's notions of proportionality,

forward motion, and expansion are based upon the natural

6i.e., the Hauptsatz (HS) consists of three parts with

the proportions of musical material of 1,2, and 1subdivisions.

39

sequence of Ruhe--Bewegung--Ruhe. In particular, when new

musical material, i.e. that of the Nebensatz (mm. 12-20) is

introduced, it causes not only this forward motion, but also

a combination of two forms: the rondo and the variation

forms.

In reference to the Andante of this Sonata in A-Major

op. 2, No. 2, Marx mentions the relationship between the

single Satze. Although he does not mention the musical

content of the subsections, his ideas about phrase structure

may be applied here, as shown in Fig. 12:

Figure 1217:

HS....................SS.....G...................HS.........A

Tl T2 Ti T28 8 10 5 8 8 14

16 15 16 14 measures

The Larger Rondo Forms

The Third Rondo Form in Slower Meter

As an example of his third rondo form, Marx discusses

Mozart's Rondo in A-Minor, K. 511. Its Hauptsatz is written

in dreiteiliger Liedform. The first of the three parts (mm.

1-8) consists of two four-measure phrases in parallel

construction (Vordersatz and Nachsatz (5-8) with half

cadence and full cadence in A-Minor, respectively. The

second part, mm. 9-21) expands upon this same

17wherebythe sections TI and T2 refer to the parts intowhich the Hauptsatz is divided.

40

Beethoven, Sonata in A-Major, Op. 2, 1; (Exposition) Example

2-9 (score)

SONATEJoseph Ia'-drn tenwdmet

k om- AnMce - O pS ugs .4A 2 .

/ e- A40 7c

* a yrveelTZ

10qi dpfa

_ _ _ _ _ _ _ _ __-' _ _ _ _ _ _

dpIP I lob

qp C - ffj & ff _Zjr 77 rp PF

IZT- ;:low

W TT dw jo

41

Beethoven, Sonata in A-Major, Op. 2, 1;

2-9 (continued)

(Exposition) Example

IXI I14

- - ~

1 i. 0, .W

t-ipu

7 .I i M w1

S 1

9urIcOe&#

Al

OIL Alt Sf

AL irl

iiiiiiiii Will

s yam.

4P- 46

SO.

AL -30 olp

V/b

mmommo moomm i .... r....r !! lA ! Iwlwl. .. rr .rn .l.n...wwww

00 mwmwmm p An

lip

---- - lk, mw ML_ _ M

_0 AF le - -

141 V_ 00 PIP 01 O*A

J I r

ig. _!=_1 - - ___ - w L ____ -

! ,! ii f ' 1T "e1l .1l.l Jl Jl'." ,I ".l".. .1 5! I Ie" .. a /1..1 .. 1 1 .14 . r ! Jf " 5 I.J I!- 1 "I l r "11

V

I -% IrwfoP %,% V &-64 db

42

Beethoven, Sonata in A-Major, Op. 2, 1; (Exposition) Example

2-9 (continued)

tycr Qufp ;J y Q VS C~ l PG (

1/

4p -

i. A.

4 4> ltf: o5

a 416 At dp,~u~b

I~ s(I1eu~L s a2MGM

- M

"1 1

P -- ---

3r3.

-d-- -0 6.

sfatt. # 6)(

Glfke u .t 2. W , 08 : 23 IC. me .e 4m * 032

EMpps -

I IO

r t %,Itt1Lte3Irre u 1:1. 1.$.m n pe iuI mC . I Ier eVat 1. :rt. IJ'..La 3 I Ia.

1r 31 4433 tl'ur jnOrt kutbe. elect e l . .- I e st ac3 a . to oft[. 31mC. osbl r= EeC ti mso 'a r . 4 t

1

43

Vordersatz/Nachsatz structure in the relative major key of

C. Its antecedent phrase of four measures ends with full

cadence; its final eight measures comprise a double

Nachsatz: the first ending with a deceptive cadence, the

second ending with a full cadence. The third part of the

Hauptsatz (mm. 23-30) restates the first part with only

slight figural variation. A two measure Ubergang connects

the end of part two with the beginning of part three.

The Seitensatz, in the submediant key of F-Major, (mm.

31-64) has a more complex form than the Hauptsatz. Its

first part (mm. 31-41) comprises a single phrase with

repeated "head"--that defines cadential harmony in F-Major

at m. 33 and again at m. 35--and a compound "tail" that

modulates to the dominant key of C-Major with a cadential

figure appearing in mm. 37, 39, and 41. The second part is

a developmental Gang that makes use of the Hauptmotiv from

the Hauptsatz and passes through the tonal regions of C-

Minor, G-Minor, D-flat Major, to the dominant of F-

Major/Minor, as indicated in Ex. 1-10. The third part of

the Seitensatz repeats the material of part one with the

significant difference that the "tail" now appears at the

temporary level of F-Major with its respective three

appearances of the cadential figure at mm. 60, 62, and 64

respectively.

The passage (Gang) that follows is a retransitional one

that prepares the return of Hauptsatz at m. 81. In place of

44

its expected second part in C-Major (as found in mm. 9-21),

a second Seitensatz appears, this time in the tonic major

key (mm. 89-108). This Seitensatz is also in three parts as

follows: 1) four measure phrase ending on dominant harmony

in the nature of a Vordersatz with a five-measure extension;

2) a middle section using material from mm. 1-8 in a fashion

reminiscent of the middle part of SSI (mm. 41ff.), thus

remaining in the temporary key; and 3) and ornamented return

to the material of the first part with a full cadence

lending the quality of a Nachsatz.

When we continue to observe the entire piece, we may

realize that Marx's idea is applicable for the entire work.

In sum, the piece has tripartite structure in a great

variety of levels: first, the overall form combines two

tripartite structures, each expressed in the large formal

design A B A. Each section (Hauptsatz and the two

Seitensatze) is divided into three parts, as is each

subsection until the smallest unit, the Motiv (see markings

in the score). Marx's terms Vordersatz and Nachsatz are

equivalent to the modern terms antecedent and consequent

phrase. The detailed comments in Ex. 2-10 may illuminate

these statements throughout the entire piece.

45

Mozart, Rondo in A-Minor, KV. 511/I; (Hauptsatz and

Seitensatz) Example 2-10 (score)

RONDOfir das Pianoforte

"on krie 22. ' 9.

-we-

I~ _ _

~, -. U, - -#-'

-- d -. 5

___ W M__ V

I AMR

I Air

~ _____ ____

Mizarts Erke.

Andantr.

...............!

46


Sei tensa tz) Example 2-10 (continued)

eei

(r- P 'Z f

1 /Ps

- f

m mm..m.

____-___________________t__- --

~I~z--zz ez - ____

* r - '~ ~c r -'-y -.

* - -f

Mozart, Rondo in A -Minor, KV. 511/I;

Seitensatz) Example 2-10 (continued)

(Hauptsa tz and

" i1221 *T*J ,,,_____

-""" er,'r.r rrw

ma " _ __ . --- p " .#' -

,. ____ - - ;E E

AN

-' p

?Alt

V NW

f 4-

-" *

-* 4::j,

tx to MIs (sopa{uo ab is prarale {

- --- 1t /...... 4.... ,* i Oi*

U7_ w # "mown

-

t|Yg *~ -*

47

WWI mu-*

- r

-- -, --

4p

....

48


Sei tensatz) Example 2-10 (continued)

t~

-9z-x

. 1

Na rener

1 ~~ -~~~P

_ __

- *__ _ __

S r a e - I I -

i1 _

-+. :0-*

_ _ __--

rS ®"Kma M f. "Zis .. .

r "

St

49

Mozart, Rondo in A-Minor, KV. 511/I; ( Hauptsatz and


-"eT h Oc CO Ir...

7 A/adow"

4 - - r, - -.!46.= I s-

4AW *'a*ts!~*: LfL~ - -At" -

- -OP - .- ." -1_er

cres-

C7'

S--------

** a un rr n*,7-*

- - ~ ~"~ -- ~-

*0 i p

_______ _ff~ I - -

-- -- _ _ _ _ _ _ _ _ _ _ _ _

p

I V

I -

a~t

r

'?e

4b

iI

Ate.mm..%

. %IJ ___.

Y

... E ;. - . ....

pI _

I

I

s

50

Mozart, Rondo in A-Minor, KV. 511/i; (Hauptsatz and


-. .h.

L -- - ---

-; afi- bA

it. .n;rrrrr~~i w

- -- : -

- --- y

r 1

-I--.."

.A

""A

-: * - -

-- - - - -

-- ---- - __ - - -

rrt- ,. *

a --

#. g ~ 7 A~-0 so-me . . - - -* - - --- -

-00._see_

44 All dip Op 4

-- f - a111.J---..E --

k% \ l' 1 ,

M?

51



Fe pwar

I ~ --- *

IV A-V ~ v~- e ~ j

A -~-

________+ - - . -

P SWI

AW _ _INU ' T t7lIryC

0 Or

* req,--- MI- .

A5Z4 ' = == .* t

*_ G.*** ** **0. 0

-~, ---- - Sm -______-----_--_

- -\ _

-

- .. -OwtM---

* * /:i

52

Mozart, Rondo in A -Minor, KV. 511/I; (Hauptsatz and


4- -- ~~-

*r

AMt

-r--_-

I ?

== -

1P afts

_____ _____ __

______________ ra

- _ -___ - _ _ _

___ __ .. . AL ~ - ..

lo-- 0,Ip a I0 AP- a I-- '

PI

- **--

_l '""' .... _ " " fm.." ! ___ p

53

The Third Rondo Form in Faster Meter

As an example for the third rondo form in faster meter, Marx

discusses the first two sections (mm. 1-312) of the third

movement of Beethoven's Sonata in C-major, Op. 53/III. Its

Hauptsatz shows the following Stzchen (mm. 1-8)--Marx uses

this diminutive form of the term for a less extensive Satz--

in C-Major which is divided into two four-bar phrases, the

second of which is the exact repeat of the first one. It is

followed by an equally composed one on the dominant (mm. 9-

16). The accompaniment of the Stze is given under the

letters a (mm. 1-8) and b (mm. 9-16), whereby a represents a

pedal-point, whereas b shows an unisono Gang. Both Sitze

are repeated, and the second one is followed by a pedal

point on G (dominant) of three measures (mm. 20-22), after

which the first one recurs with diatonic accompaniment.

After its repeat on the dominant, it is followed by a

dberleitungsartigen Gang (mm. 51-53) of four measures (mm.

51-54), consisting of a trill-figure that is continued as an

accompaniment into the next restatement of the Satz in the

soprano in C-Major (mm. 55-58). This series of five SAtze

including repetitions seems like a unified whole because of

their equal formations of endings which give the impression

of a question because of the ascending third c-e at the end

of each Satzchen, and the uninterrupted flow of

accompaniments. This series ends with a closing, but

incomplete cadence in m. 62.

54

At this point, a new figuration (mm. 62-66) emphasizing

C-Major, is introduced; it leads into the Seitensatz (mm.

70-74) in the relative minor key A-minor. Its Vordersatz

(mm. is repeated one octave higher which is followed by the

Nachsatz (mm.78-82), and its figurated mirror-inversion (mm.

82-86) in the bass voice one octave lower (see Ex. 2-11).

A coda (mm. 86-101) leads into the final cadence in a-minor

in m. 98. An Uberleitung follows that is reminiscent of the

first part of the Satz (mm. 1-4), but with a cadential

ending in A-Minor, and, after two restatements in F-Major

(mm. 101-105) and G-Major (mm. 105-111), the Satz is

repeated in the original key, C-Major.

The second Seitensatz occurs in C-minor in m. 175 the

first part of which is repeated in F-Major (mm. 178-182),

whereas the Nachsatz ends in A1-Major (mm. 182). To be able

to return to the key region of C-Minor in m. 198, this Satz

is remodeled by means of sequential patterns as indicated in

the score (mm. 190-197). In addition, this new Satz is

repeated in the upper voice (mm. 198ff.), whereas the bass

contains the triplets in free imitation, and is followed by

a close on C-Minor in m. 216. After the modulations to Ab-

Major (m. 221), F-Minor (m. 224), and D6-Major (mm. 228-

238), a Gang follows in the keys of Db-Minor, Ab-Minor, Eb-

Minor, Bb-Minor, F-Minor, and C-minor that ends on C-Major.

At this point, a pedal point is unfolded that leads back to

the Hauptsatz. This section is followed by a modulatory

55

passage, starting in C-minor and proceeding through F-minor,

A6-Major, AK-Major, F-minor, back to C-Minor. In this

fashion, the initial key of C-minor was never really

omitted. In order to return to the original key C-Major, a

modulatory Gang is introduced that erases the impression of

the previous key.

The Hauptsatz returns in abbreviated form (mm. 312).

The movement is closed with a Prestissimo section that

functions as Coda (mm. 402-542). Based upon Marx's opinion,

the proportions of this rondo movement are:

Hauptsatz 62 measures,first Seitensatz with Gngen 52 measures,Hauptsatz 62 measures,second Seitensatz withGngen 138 measures,Hauptsatz until thePrestissimo 90 measures,Coda (Prestissimo) 141 measures.

The Fourth Rondo Form

Marx uses Beethoven's Sonata in Ak-Major, op. 26,

finale, to illustrate fourth rondo form. Marx summarizes

the form of the movement as follows:

Figure 13: Beethoven, Sonata A6-Major, op. 26 (Modulation

Plan):

HS SS1 HS SS2 HS SS1

A B A B A

A6 Eb Ab C-Min. E6 A6

mm. 1-28 32-52 57-64 80-88 100-106 107-128

56

Beethoven's Sonata in C-major, Op. 53/Ill, Example 2-11

(score)

RONDO. G t.(

Al egretto moderato. pop- p!L

se?

ipre pIaN(cm

0 Ifpedm/ _ IL h

l

" tWin .r A

ppw

AF d-Ne;4u

Art mrllA|-o--

I'

57


(continued)

C, t Iko17. *bau

} -erk (cuisue

-* r *-v - ---

-e-p , , - - - - - --

*.A

!- - -t.-_ 7*A*

~, =i1____

-064

04,0)

_ : xc=.~aztytcccccc k~cc :urs0. c c= .

.crccccarcca.:.uu acu~s-'7 / e p f M

58

Beethoven's Sonata in C-major, Op. 53/111, Example 2-11

(continued)

(141) 17

! .l_ At A.6

QIA & &(C YU I *-l

- - -

-.1 OFA ~ e

* ..___ - --o

:~Z~ p

r .

59

Beethoven's Sonata in C-major, Op. 53/III, Example 2-11

(continued)

7 A err.e eaA . r A

rrPP

l-A ILn _ _ _R_ _)D

OF_ _

14 4C41ritssit

*0

ad 16

, N- -o 41= Now.

_

A ]Mk.ME

- -1 -

4 x*

ef$gin

- -7o K - T7-~I

I

60


(continued)

(41) io

40 P smpre pi/U.i'flr d

G0

- -

at

* * i:r--

* -- __ ~~~~1f

# r t ~ rt "

C.0= A

*-~

____ .-.. 13u---- I .. .........

P -

r. "

61


(continued)

1?4 (

~~~ _~~ ~--..

~ 2 aoe -~ -AO -

- --- -

~~ -I

vfet

r.rrirr." r~w_ ii- "S rru n

a'U.I fg 1xy [cv it.

Ai

S WTIAR z~

i

wo ,, 96 -- '?9 [ c s _____'I -i +

62


(continued)

XPW (34) 2 1

~ten.

-- *

K hp L--- es. fAIM

-_L

'2 tw 46 4

*4. . "*.

~~ I ~ ~ ~ ~ 'prPpau~rf

" r i. .r.r (. -w~rr r. n.. rr~qoiurrwr."~l~w . +i

Cedff/a)C-wa

63


(continued)

Y! ui'4?'

rempre pp scail

~ ~ ~* a Li.i. -

ZQ2M

Mi- tm_ v r,- u__ ,K i-: # *

isan a

64


(continued)

(147 23

- W

*

1 i A A A * % ADAD A ME -

p /,,I.t A

IF

_ _ EE __________

_ - ~- t==~~~I pfzpCI

3o3

Mr --- A--4,-

- _r- I T

I r.0 I T I I "_ I--___

r E17 , 1I i14-do4 }*

"I,

AV IV Agr

Nau ,/calz_-

.

... :

rt .(/

'I'

C-,

Q

-

pop--*

I

42sI

65


(continued)

24 (11 t

* - ~11, r- 'r

& ~ ~ I (90 c

_ .r , (t4 ZQ$ # Aer0

___*1-

9440

.OltV ~~rnpi pia r

-. -.-- ,-..Apo-.- v :rd#qL-dP, r oa

_dP PR i P 77

-Ilop

n _ "

4

-V

66


(continued)

(140) 2.

-4 X fjf

FP, I

" C * *~*9 * C

*

*36 res :' - - - /

sempre S3Z.

too_4

;p. p

- 1 IIii a %u iaII I ' .rtI-imfo.

67

Beethoven's Sonata in C-major, Op. 53/IlI, Example 2-11

(continued)

. 0!au 'sc Se 2 Aad4Iq Jer2 a

~ e~ 4- 2~ ',- -- M --

q OF*

--- . = -

1 + -- -_+ -1 , / I

-* * I-

111

O/uu9 j ia11- -g11n

- t4t//7 '1/t f o

68


(continued)

R ?f / pp}

*itppJPip

ererr

J L I . 31 .. L .l M . = ."="'"

1a pit

* -

S7F . 14 .

IAI

__77R7ol ErF~V __

3 L L

(15))2

69

Beethoven's Sonata in C-major, Op. 53/111, Example 2-11

(continued)

Pepxd 4 4aa/a /41 ttheblOgyf

n a ha"o ,u,3P * i . AA?*~~L

A-n M.

-- tit r t

fs+ ri r+rro + 2 ry.*+o+ r+r + + ..

rP

T4--4.

_ Ic?46

II. sm.

f

70

A further elaboration of this modulation scheme will be

demonstrated in the following outline:

The Hauptsatz (mm. 1-28) consists of two separate

Stze. The first of these is divided into Vorder- and

Nachsatz in parallel construction, each further subdivided

into "head" and "tail. "

HS 1-281st Satz Vordersatz (1-6) ends on V

Nachsatz (9-12) ends on I

In contrast, the second Satz is an assimilation of a single

phrase that is repeated; the phrase states its motive three-

times in sequence.

2nd Satz 12-20

20-28

3 times motive established tocadencerepeated Satz

It is followed by a Gang, that moves from I to V and leads

into the first Seitensatz in E6-Major, as shown in the

following outline:

Gang (28-32) 1 -- V- SS1 (32-52) in E6

single phrase with head repeated threetimes with Stimmtausch and tailleading to cadence.

An exact repeat of the Hauptsatz follows:

HS (52-80) exact repeat of 1-28

The second Seitensatz occurs in m. 80-88 as follows:

SS2 (80-88) 2 four-bar phrases, ending onC-Minor (m. 84) and ending onG-Minor (m. 88), repeat

71

The following part leads back to the literal restatement of

mm 1-7, see below:

89-91 Gang: consisting of "tail" ofthe second Seitensatz withcadential ending on G-Minor

91-93 modulatory passage to F-Minor,then to Eb-Major (m. 96)

96-106 literal restatement of mm. 1-7,ending on V

107-128 literal restatement of mm. 6-28, followed by the imitationof 2-bar phrases (mm. 128-130,

130-132, 132-134, and 134-138)with the proportions 2, 2, and4 measures.

Although these two- and four bar phrases have

properties that combine elements of Gang and Satz, I prefer

to use the term Gang to describe this passage because of the

motion forward that is created by repetition, although the

figure itself is the second part of the Nachsatz.

138-142 equals mm. 32-36, followed by arestatement of the Seitensatz inStimmtausch. The following Gangleads directly into theSchluikadenz (final cadence) inAb.

In Marx's opinion, as discussed in Chapter I, the fourth

rondo form possesses the structure HS -- SS -- HS -- SS2 --

HS -- SS3 (HS - SS1) and should not be expanded because

then, it would loose its inner coherence. This sonata by

Beethoven is a perfect example of fourth rondo in the sense

that Beethoven expands the scheme suggested by Marx only

until the second Seitensatz.

72

Beethoven's Sonata in Asb--Major, Op. 26/f finale, Example 2-12

(score)

Allegro Va&tI.-no 4

(al

_______ lo___ALI-_______06

-= __ A cei Cd ~emu '4:so -

ea c Teo>t ( e SccI

9)

s Ti-

alld

I ______________________________________

4p AL V

rr ii R _

l

16-age. 4 k7.;

1

! p4 d" G

dPb

fJ ' " +r4t "

-

I

I

440 !ff:=^

C^ - goI

73

Beethoven's Sonata in Ab-Major, Op. 26/ffinale, Example 2-12

(continued)

20SL -__ .___________________--_ _- --- _-

4P _ __ _ _ _ _ _ _ _

" W" e A

~ A ~ ~ -L , . . e . . L*

ALA

1e

jr ____' .ar

j6-p f

All~-w .-

11.- pec'Q- ( .

* -

r. v

-;2 - iLF a--* - ;- _______

" -- t ----fi- D-z-zE-z- -------

(A'

Urq

.'

wi

-- -e- - --0

74

Beethoven's Sonata in AI6-Major, Op. 26/finale, Example 2-12

(continued)

0 fA: I

40 ME dpip 04 lpIN allIF 44 i. lI AM it Na Op

a -C

- - n td;--r - --

Ao 0/fr7a? 12-/ ,&/euccr) re 14 P 4 1t~-

e i s....s ...a , N17* .** ** **-J ** *l

Ma laet' 2 c /erA-r t lt, v' liGt rVG-

'4 i

Ith

)*~ p if PPf i- --

-~I 5 , (e auyie-

0cs f" how

75

Beethoven's Sonata in A6-Major, Op. 26/finale, Example 2-12

(continued)

Vekrclt. (/ /-rr/ resr/e uet

_AAT

iY __

G -o. 1 er r. e r rr(1 _ ____ ___ _ __ ____ ~r

II 4-p-- ~ _

- I C-C=

- ~

f-- *-4

V 4p... 40. r.

~~~~~. ~ ~~~ar~~+~~+c---q + coc -b-k r

V C/ / C~d616

I-' w

'+ t

i t '

6

0

I

it

u v etaM

,

76

Beethoven's Sonata in Ah-Major, Op. 26/finale, Example 2-12

(continued)

7 Zd

"~ AL

M~4 - /& -z

9f _. *

!* (a"e (3 (0.f ~ P ,~ rcreme.

I '%,o"

-~- en* -w -- ow. v- - - -4100 oew'S' C ke "

~, A -* a ~ -a44

-ww

40-4

-" _ I ~j-1A

p crNow

-r - -- =- - --

- 6 --- iii -m-.

'' _..----1--_ ..... ! PPr '_

-dl_0 wa

I

77

The Fifth Rondo Form

As an example for the fifth rondo form, Marx discusses

Beethoven's Sonate Pathetique, Op. 13/IV. He divides this

piece into three sections- -HS - - SS1; SS2; and HS - - SS1- -

according to his model, as described above in

Chapter I.

The formal structure follows the outline given below:

Section I HS (1-17)

Complete Satz (single phrase) 1-81-78

Nachsatz that serves as anextension of the basic eight-measure Satz (9-12);

it is followed by a

Nachsatz fragment of two measuresthat is repeated (13-14) (15-16) and extended to finalcadence in m. 17.

The Zwischensatz -- or Gang modulates to EL--that is, a

transition (18-25). It is followed by the first Seitensatz

SS1single Satz in three parts:

1) "head" (25-29) ;repeated in minormode (30-33)to arrival ondominant;

2) extension of V harmony(33-36)

3) "tail" (37-43)cadential material.

The second Seitensatz is constructed as follows:

78

SS2Vordersatz (43-47) ends on V;

Satz in parallelphrase structure Nachsatz (47-51) ends on I;

Ubergang (51-61);(a retransition)

HS (62-78) exact repeat of 1-17.

The second section of this piece is conceived as follows:

Section IISS2 and Gang

79-120Vordersatz (79-82) ends on V of A;

79-86 Satz inparallel Nachsatz (83-86) ends on I of El6;phrasestructure

87-94 ornamented repeat of 79-86;

95-98 Ubergang made of related material

Gang 99-120begins with repeat of Vordersatz (99-102 =

79-82) thereby suggesting repeated SS2,but Nachsatz is changed in its thirdmeasure to become a Gang (retransition)extended by means of pedal point tom. 120

Section IIImm. 1-8 Satz is repeated exactly but Nachsatz hasbeen left out, but the Gang at 128-134 acts as

-transition.

m. 134: the Seitensatz appears transposed to C-Major, followed by Schlu~satz

m. 139: no change in mode (see m. 30), in m. 143the "tail" appears again like in m. 34

m. 153: SS2, consisting of Vordersatz (mm. 154-157) and extended Nachsatz (157-171)

mm. 171-178 Hauptsatz appears again, followed by aGang-like passage that leads into theAnhang (m. 34).

79

The illustration is given in Ludwig van Beethoven's

Sonata in C-Minor (Pathetique), Op. 13/IV (see Example

2-13). The observations that are made in this example allow

for the following considerations. When Marx states in

Chapter I that "in the fifth rondo form, the Hauptsatz is

not found in the middle part," we may observe that in the

above sonata, the Hauptsatz recurs between the first and

second Seitensatz; one may ask whether this particular

sonata may be a perfect example for the demonstration of

this form. Since based upon Marx's opinion either the first

part of fifth rondo form or the third part equal each other;

that is, both section I and section II consist of HS and SS1

in his theoretical explanations. In the above example,

however, the third section contains in addition also SS2, so

that we may state, that this example given by Marx is at

least not a "perfect" one, but comes close to his suggested

form.

Marx's Discussion About the Application of Sonatina Form

In Works of the Piano Literature

Marx uses Mozart's Sonata in D-Major, KV 381 (123a),

for four hands to illustrate sonatina form. Marx outlines

the form of the sonatina as follows:

Part I Part II

HS SS G SZ HS SS G SZ

80

Beethoven, Sonata in C-Minor (Pa thetique) , Op. 13/IV,

Example 2-13 (score)

Rondol- Alegro ........_,_ ,-N

0----

r~ ~er- b. a ,

11 W1~II~Z ____________

1r r-mowr I r -

A, I " Its-'

s.4?sgeau c ce "

5f4& c? kear'mit/ c

1 LiQ

14

roru -wwor -c

56. -r o

a,! r o H

~)

4

Beethoven, Sonata in C-Minor (Pathetique), Op. 13/IV,

Example 2-13 (continued)

158

,I- -

(4 14 t4 ...rte .. 4 e s

Slob v{Midt

V~c 4akp44

..-- ---- _t

rro-

81

1

I

82

Beethoven, Sonata in C-Minor (Pathetique) , Op. 13/IV,


@-71

-w --- F--Is,? t

@d -

_M r

(/ t~~-.--5 .M~--e.F - ______rr__

4p 'sc

ml

I -_____ _____d

At 6A ALL p.

ot 1,

AL. A 0. At it

AV I-

"

Y I - p) -

i

83



160

ol X 2 9 j ~- -.1'W0-

1 4 A& ;C)I

- ---rr-

Crese.016

.- " * ,-- -T

G --

I.2

ate ' ..,,,' ..

*

84



/1:

1 1 ~ -2'

111

3 __-_s --

-7-0- 7-#-

C) ~ ' _________

85

Beethoven, Sonata in C-Minor (Pathetique) , Op. 13/IV,


162

1 -

C++

0 IF

ti

NOUN"

4

C

K '- C4 -1 * . .f fd P'

- - -0* -

86

Beethoven, Sonata in C--Minor (Pa thetique) , Op. 13/IV,


163tg Qb E/2,1%-: e4- 0C

/ . . 4wZZ$[w-A L

01 to *6t *

- T -E - * -;- - - --# ! i . 'mt i f_ __--- -

p- -resc-

- , V 4041

- T~L- ~ ~ ~ - --- -

~L~2 2

"i ,;/ .60400P* " i0 "in i

OIL

-ll V O7

6pree

171~~ dc~~R74i __

It liRraRl~ Xrrtisitmn kn .21." I rx eii}n fnN i hiinns " t)I**I" i ni.f' I~nI l -r~rtrrwro "0

wrt

,A -

S

87

As already stated in Chapter I, the characteristic of

sonatina is that it does not contain a development section.

Part I of the movement consists of a Hauptsatz (a single

phrase in three parts--Satzchen--developed out of two

motives that occur originally in mm. 1-3). The same

procedure occurs in the Seitensatz which now appears to be

in the main key for its first seven measures and ends on a

full cadence. (Marx uses the term Stzchen to define a part

of a Satz; if there are two Stzchen in a Satz, we might use

the terminology "head" and "tail" for them. In this

particular movement, the first Satz is comprised of three

Satzchen, which we might then refer to as "head," "middle,"

and "tail."--Therefore, in this context, Satzchen does not

mean little Satz). The second Seitensatz and SchluIsatz are

in the dominant key, as indicated in the score. An

important feature of this part one, which might also be

referred to as "Exposition" of the sonatina form, is that it

lacks a transitional phrase (Gang) that is commonly found in

the sonata and in the more complex rondo forms.

Marx dismisses the possibility of regarding mm. 31-51

as a second Seitensatz with the following commentary:

"The Uberleitung follows with twenty-one measures.One may pose the question if this movement might be

considered a rondo of the fifth form rather than asonatina, but--regarded more closely--this sectioncannot be defined as a second Seitensatz, becauseMozart writes another bipartite Satz in the paralleldominant key (mm. 31-34), which he then repeats one

step lower in A-major (mm. 34-37). It is followed by aGang (mm. 38-52) that leads back to the Hauptsatz.

88

Therefore, the Satzchen in mm. 38-51 is only

intermediary and is not a real Seitensatz."1 8

The main point of Marx's commentary is basically to describe

mm. 31-51 as a retransition (bergang) rather than as a

second Seitensatz (development section).

In the final part (recapitulation), Marx points out

that the Seitensatz appears first in the expected manner in

the major mode (m. 68-76) and then is repeated in the tonic

minor key (mm. 77-89). It ends with a Gang (m. 69) that

leads into the SchluLisatz (m. 76).

The Sonata Form

Marx uses the Allegro vivace of Beethoven's G-Major Sonata,

Op. 31/I, to illustrate his idea of sonata form. Even

though he addresses in his treatise merely the Hauptsatz of

this sonata, we may try, to apply his system onto its entire

first movement. The following observations can be made:

The entire movement is conceived of three parts which we--in

the modern terms- -would call Exposition (mm.1-111), a

tripartite Development section (mm. 111-192), and a

Recapitulation that restates almost literally the thematic

materials of the Exposition (for further detail see markings

in the score).

Although Marx cites this movement as "a particularly

fortunate example of sonata form," he does not provide any

"Marx, Ibid., 217.

89

Mozart, Sonata in D-Major, KV 381 (123x) , for four hands,

Example 2-14 (score, primo part)

Sonate in D.tr K4v4et' e r vier lHandcn

I___t______. _A 4 d KV 38 (1231* it~i1.: i' ar:tutia. a ill

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92

commentary. Therefore, all of the interpretations that can

be made must be inferred from his definition of the form (as

discussed in Chapter I).

The sonata starts with two introductory measures that,

at the same time, are the first part or "head" of the

Hauptsatz followed by a Nachsatz or "tail" (mm. 1-11) . We

may say that the Hauptsatz is a bipartite song in which

thematic material restated literally in mm. 12-22 at a

different level, and is followed by a Gang that leads to the

dominant key D-Major in m. 44. Then, the Hauptsatz is

repeated with a modulation to B-Major. The first Seitensatz

follows in that key (m. 66). The original Satz in B-Major

is a single phrase (mm. 66-73). After an Ubergang of two

measures (mm. 73-74), A second Satz, that is derived from

the first one, appears in the parallel minor key; it is made

up of two Motive and comprises a digression before the

cadence in B-Minor (mm. 74-88). The second Satz is repeated

with different voicing (mm. 88-98).

The continuation is the second part or development

section. In Marx's terms, this section is the second

Seitensatz. Like a central pivotal component, it is divided

into two sections (mm. 114-217, part I, and 119-193,

partlI), thus conceived symmetrically in terms of

proportionality. Its first part, consequently, is directed

retrospectively toward the Exposition, containing parts of

the first theme or Hauptsatz, whereas the second part is

93

conceived of musical material from the Seitensatz and,

therefore, prefigures the notion of the last part, the

Recapitulation (mm. 193-295) which begins with the Hauptsatz

(mm. 193-204) that is not followed by a Gang. The

Seitensatz 1 is introduced in mm. 219-225, but in E-Major,

followed by another restatement (mm. 226-234) in E-Minor,

then restated in G-Major (m. 241). This sequential passage

is continued until m. 256 where it ends on G-Major. Another

Gang-like passage that is constructed of the "tail" of the

Seitensatz (mm. 256-259) continues after a Uberleitung of

six measures until in m. 271 starts the literal restatement

of mm. 134-192 in abbreviated version. At m. 295, the Anhang

begins.

If we were to compare the proportions in this entire

first movement, we may observe the following conditions:

Figure 14: Beethoven's G-Major Sonata, Op. 31/I

(proportions)

Exposition Development Section Recapitulation

3 sections 2 sections 3 sections

In following Marx's definition of sonata form, as

described in Chapter I, Beethoven's second Seitensatz is

constructed of exact transpositions of whole sections from

the Hauptsatz and the first Seitensatz. When we compare

this fact with Marx's statement that "this middle part must

not contain foreign material because it would destroy its

94

Beethoven, Sonata in G-Major, Op. 31, No. 12/I, Allegro

vivace, Example 2-15 (score)

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A. 3 )~(L-'

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102

unity," we may realize that his observation appears to be a

perceptive one with regard to the actual music of this

sonata. When he furthermore states that "it is not enough

merely to bring back the musical material in a series of

mechanical repetitions," then, we may consider whether the

transpositions of the first section are a satisfactory

element for creating this unity. When we observe the

cadences, however, which occur in such keys as Bb -Major (m.

134) , c-minor (m. 142) , d-minor (m. 150) , E-Major (m. 219),

e-minor (m. 226), and back to the original key, G-Major (m.

241), we might agree that those regions give at least "life

and spirit" to the mere transpositions of this part. The

passages are restated harmonically equal; in the first

repeat, however, in m. 144, the previously treated harmonic

passage is now written in unison. Then, the second repeat,

Beethoven restates the harmonized version in m. 152, thus

avoiding "mechanical repetition." In this sense, we may

agree to Marx's choice of this example in that Beethoven

does not only include harmonic but also thematic repetition

which is treated in transformation.

CHAPTER III

CONCLUSIONS

Marx's concept of rondo and sonata may be evaluated by

a critical observation of the examples he uses--as presented

in Chapter II--to illustrate his definitions--as presented

in Chapter I.

The basic formal unit from which Marx derives his

concepts of rondo and sonata forms, is the Liedsatz. Its

characteristic is a single musical idea. The transformation

of this simple form into a Hauptsatz is the critical change

that ultimately leads to the more complicated developmental

forms that we know as rondo and sonata. The characteristic

of the Liedsatz is that it closes with a full cadence,

whereas the Hauptsatz ends on a half cadence, thus demanding

expansion. The necessity for is thus displaced and

ultimately realized by the restatement of the Hauptsatz,

thereby creating a tripartite structure. Since Marx also

conceives a unified whole as being of tripartite structure,

we may follow his definition that "the first and second

Liedforn represent a series of different Liedstze that are

ordered in a series, that proceeds to the more complete

Hauptsatz." The expansive part, he calls Gang, a term which

in the German language expresses the element of motion; it

corresponds in modern English to the term "transition."

103

104

The first rondo form grows out of the tripartite

Liedform, but contains the additional element of expansion,

caused by the musical content. When important content of

the Satz is not expressed entirely in itself, the need for a

satisfactory solution demands continuation. The musical

material is expanded without losing the inner connections

between the sections of the form. Marx mentiones, for the

possibility of several interrelated Motive as a means of

maintaining this interconnectedness.

In the second rondo form, this tripartite structure is

expanded to Hauptsatz--Seitensatz--Hauptsatz, whereby the

Hauptsatz is to be understood as a compound unit, thus

corresponding to the Satz--Gang--Satz of the first Liedform.

The connection of the Hauptsatz to the other Stze is

achieved by modulation to a loosely related key, for the

Seitensatz frequently the dominant or subdominant key. The

Gang is always to be understood as a connective passage that

lacks a final cadence. The other progressive change that is

achieved in the second rondo form is that both new material

and subordinated thoughts may occur.

The third rondo form takes a pivotal position among all

discussed forms in that it may be interpreted either

retrospectively toward the previously described forms or

progressively toward the following ones. Therefore, Marx's

understanding of this form may be summarized as follows:

The third rondo form is described as a connective process of

105

two simple rondos. It can be used either for compositions

in slow or for those in faster meter. The emergence of

these rondo forms has its origin in a dynamic expanding

quantitative force (Ausweitung) , as opposed to a mere

joining together of different units (Angliederung) that

would cause a more static expansion (Weitschweifigkeit).

This element of expansion creates the necessity to justify

the new element of complexity. The element of complexity in

third rondo may be expressed in two different ways: slow

tempo in which there is a lingering quality (vorherrschende

Verweilen), and fast tempo in which motion is the

predominant quality.

The fourth and fifth rondo forms have to carry the

characteristic of a closer connection (Ineinanderverweben)

between Hauptsatz and Seitensatz than is found in the third

rondo. These two most complex rondo forms are, in Marx's

opinion, the necessary connecting link between fifth rondo

and a new form, the sonata. In the fourth rondo form, a new

Seitensatz is added, thus creating the common rondo form (in

our terms A B A C A), whereas the fifth rondo contains

sonata elements because of its division into three sections.

In the fifth rondo form, Haupt- and Sei tensa tz are more

closely related to each other and section II is understood

as the a prefigured form for the development section in the

sonata.

106

As an intermediary stage to sonata, Marx regards the

sonatina which only consists of two sections. In contrast

to the sonata, however, the themes (Hauptmotive) have a

lighter character and are non-developmental, while

maintaining a contrast between them. He distinguishes

between the type in major or minor mode, stating "the minor

mode would not express the lighter character of the themes

as appropriately as does the major mode."'9

The culmination of Marx's explanation is a tripartite

model that he designates sonata form or

Sonatenhauptsatzform. His models are all taken from the

Classic period composers, such as Mozart and Beethoven. In

this form, the second key area (Seitensatz 1) appears to be

less significant than the first key area. In this form, the

Hauptsatz contains not only the main section, but also the

modulation part to the first Seitensatz. A particular

aspect of Marx's scheme is that he does not account for the

Ubergang between Hauptsatz and Seitensatz. Marx requires a

highly concentrated content because all three parts in this

form consist of the same musical material. According to

Marx, the compositional concept must give color to the form

and not consist of a "series of mere mechanical

repetitions. ""2

'Marx, Komposi tionsl ehre, III, 91 f f .

20In reference to Chapter I.

107

Marx's model of the development section (Seitensatz 2)

shows a place of discourse of opposing forces that originate

in the first and second themes. In some instances, however,

this section is brought back into the programmatic scheme of

the lyrische Episode when, for example, developing moments

have already occurred in the exposition. The final section

containing recapitulation and coda, however, brings back the

material of the Exposition. In this third part, which

comprises a complete restatement of the thematic portions

such as first key area and second key area (Haupt- and

Seitensatz), the themes are both stated in the tonic key.

Since the sonata is a higher form, in the actual music,

the individual sections will change according to their

content, order and compositional concept. Only those

elements can combine into a unified whole, thus fulfilling

the law of motion Ruhe- -Bewegung--Ruhe. Based upon the

character of an intermediary passage, there may be either a

the direct return to the Hauptsatz or an extension

(Anknipfung), where foreign material is introduced in the

manner of a Gang. The Hauptsatz is to be understood as a

part that proceeds toward the second key area (Seitensatz).

Marx's term Periode may be expressed in the modern sense by

the sections Exposition--Development--Recapitulation. The

motion toward the Seitensatz is described by Marx as a

progression (Fortschreiten) of the last part of the

Hauptsatz or a progression by modulation, thus emphasizing

108

forward motion. The Hauptsatz itself may be conceived in a

two-part Liedform, whereas the Seitensatz must form a unity

with the Hauptsatz with regard to content, places of

modulation, and metrical construction.

It should be mentioned that Marx's approach to form is

not a mere harmonic one; rather, it is based upon phrase

organization; that is, his opinion represents a thematic

approach to form, as demonstrated in the examples for each

section: as the terms Satz--Gang--Satz represent in Marx's

view Ruhe- -Bewegung--Ruhe, they signify events in a process

of motion. These parts contain the element of interrelation

to each other; that is, an interconnection of various levels

such as thematic and harmonic relationships in addition to

those of phrase organization. As described above, Marx's

concept was the basis for the nineteenth-century concept of

forms in general and sonata form in particular.

One may ask if Marx's statement that "the number of

forms is unlimited"21 may contradict his extensive and

detailed considerations on specific forms. A consideration

of the philosophical background of Marx's time and the way

of thought may lead us to the conclusion that these forms,

must be viewed as a segment out of an "higher"

(ibergeordnete) entity of formal structure that does not

exclude formal development for the future.

2 In reference to Introduction, p. 1.

SELECTIVE BIBLIOGRAPHY

I. An Annotated List of A.B. Marx's Theoretical Works

Marx, Adolf Bernhard. Allgemeine Musiklehre. Ein Hlfsbuch

fur Lehrer und Lernende in jedem Zweige der

musikalischen Unterweisung. 10. verbesserte Auflage,

Leipzig: Breitkopf und Hrtel, 1884.

This treatise shows Marx's opinion that teaching

is as important in the life of an artist as are theory

and performing.

Berliner Allgemeine Musikalische

Zeitung, redigiert von A.B. Marx. 1. -7. Jahrgang.

Berlin: 1827-30.

Anl ei tung zum Vortrag Bee thoven' Scher

Klavierwerke. Nach der Originalauflage von 1863 neu

herausgegeben von Eugen Schmitz. Regensburg: Gustav

Bosse- Verlag, 1912.

In this book, Marx discusses and demonstrates his

understanding of Beethoven's piano sonatas.

Aus Adolf Bernhard Marx's

litterarischem Nachla. Ein Gedenkblatt zum

hundertjihrigen Geburtstage des weil. konigl.

Universitts-Musikdirektors und Professors in Berlin,

Dr. A.B. Marx, dargereicht von Gustav F. Selle.

Berlin: 0. Jahnke, 1898.

Das Ideal und die Gegenwart. Jena:

H. Costenoble, 1867.

This treatise is most important for the

introduction and definition of his term Idealmusik and

its projection onto Beethoven's Symphony Nr. 3,

"Eroi ca . "

Die alter Musiklehre im Streit mit

unserer Zeit. Leipzig: Breitkopf und Hrtel, 1841.

109

110

This book concerns the philosophical and musical

thinking of the nineteenth century and gives the reader

the background for the Romantic term "absolute music."

. Die Form in der Musik. (In: "Die

Wissenschaf ten im 19. Jahrhundert." Sonderhausen,

1857. 23 1/2 cm. Bd. II, Hft. 2,Sn. 21-48).

The above listed treatise introduces the reader to

the different forms in music as well as to their

development in understanding during the eighteenth and

nineteenth century.

. Die Lehre von der musikalischen

Komposition. Praktisch und theoretisch. Leipzig:

Breitkopf und Hartel, 1887-90.

Volume III contains the chapters on "rondo" and

"sonata" which will serve as a basis for the proposed

thesis.

. Die Musik des Neunzehnten

Jahrhunderts und ihre Pflege. Methode der Musik, 2.

unver.nderte Auflage. Leipzig: Breitkopf und Hartel,

1873.

This book introduces the reader to the music of

the nineteenth century as it was conceived by its

contemporaries.

. Die Organisation des Musikwesens im

PreuSischen Staate, eine Denkschrift. Berlin: E. Bote

& G.Bock, 1848.

-This treatise is mainly concerned with the

educational and pedagogical situation in nineteenth-

century Prussia and its influence on performing and

theory.

. Erinnerungen aus meinem Leben.

Berlin: 0. Jahnke, 1848.

This autobiography may serve as background for a

better understanding of Marx's ideas.

111

Ludwig van Beethoven: Leben und

Schaffen. In zwei Teilen mit chronologischem

Verzeichnis der Werke und autographischen Beilagen. 5.

Auflage mit Berucksichtigung der neuesten Forschungen,

durchgesehen und vermehrt von Gustav Behncke. Berlin:

O.Jahnke, 1908.

This treatise is one of the main sources for the

proposed thesis. It contains Marx's understanding and

explanation of the term "unity" in relation to form in

music and to other genres of art such as poetry and

painting.

. Uber Malerei und Tonkunst. Ein

Maigru an die Kunstphilosophen von Adolph Bernhard

Marx. Im Mai 1828, mit zwei Steindrucken. Berlin:

G. Fincke'sche Buchhandlung, 1828.

This book gives the reader a good insight on

Marx's view on the arts in the nineteenth century.

. Uber Tondi chter und Tonkuns t .

Aufsatze von Adolf Bernhard Marx. Zum ersten Mal

gesammelt und herausgegeben von Leopold Hirschberg.

Hildburghausen: F.W. Gadow & Sohn, 1912.

This treatise serves the same objective as the

above.

The Universal School of Music. A

Manual for Teachers and Students in Every Branch of

Musical Art. Translated from the German by A.H.

Wehran, compiled by D.D. Wood. 2 ed. Louisville:

American Printing House for the Blind, 1877.

. Wolfgang Amadeus Mozart: Sein Leben

und Wirken. Gedenkbuch zu seinem hundertjahrigen

Geburtstage am 27. Januar 1856. Stuttgart: H. Kohler,1861.

This book is interesting for the understanding and

treatment of form.

112

II. Secondary Sources

Burnham, Scott G. Aesthetics, Theory and History in the

Works of Adolf Bernhard Marx. Ph.D. dissertation,

Brandeis University, 1988, abstract, pp. 277,

AAC8819744.

Dahlhaus, Carl. Ludwig van Beethoven und seine Zeit.

Laaber-Verlag, Laaber, 1987 [Grose Komponisten und ihre

Zeit].

Musikalischer Realismus. Zur

Zeitgeschichte des 19. Jahrhunderts. Munchen: R.

Piper & Co. Verlag, 1982.

Eggebrecht, Hans Heinrich. Zur Geschichte der Beethoven

Reception. Verlag der Akademie der Wissenschaften und

Literatur, Mainz, in Kommision bei Franz Steiner Verlag

GmbH, Wiesbaden, 1970.

Forbes, Elliot, ed. Thayer's Life of Beethoven, 2nd rev.

ed. Princeton, New Jersey: Princeton University Press,

1967.

Goethe, Johann Wolfgang von. Farbenlehre, herausgegeben von

Waldemar v. Wasielewski. [Goethe's Werke].

Vollstandige Ausgabe in vierzig Teilen, mit

Einleitungen und Anmerkungen von Karl Alt. Verlagshaus

Bang & Co., Berlin, 1832].

Greene, David B. Temporal Processes in Beethoven's Music.

New York, London, and Paris: Gordon and Breach Science

Publishers Inc., 1982.

Korsyn, Kevin E. Integration in Works of Beethoven's Final

Period. Ph.D. dissertation, Yale University, 1983.

Ann Arbor, Michigan: University Microfilms

International.

Lee, Choonhae Kim. Reubke's "The 94th Psalm:" Synthesis of

Conservative and Progressive Styles. DMA dissertation,

University of North Texas, 1989, abstract, pp. 78,

AAC9016186.

Levy, James Marx. The Tonal Hierarchy: A Discrete, Pitch-

Free Model of Tonal Cognition. Ph.D. dissertation,

Yale University, 1989, pp. 363, AAC9010666.

McCachren, Jo Renee. Antoine Reicha's Theories of Musical

Form. Ph.D. dissertation, University of North Texas,

1989, abstract, pp. 257, AAC90161192.

113

Moyer Brigitte Plesner Vinding. Concepts of Muusical Form

in the Nineteenth Century Wi th Special Reference to

A.B. Marx and Sonata Form. Ph.D. dissertation,

Brandeis University, 1969.

Ratner, Leonard G. Romantic Music: Sound and Syntax. New

York: Schirmer Books, An Imprint of Macmillan

Publishing Company, 1992.

Ratz, Erwin. Einfilhrung in die musikalische Formenlehre.

Osterreichischer Bundesverlag f r Unterricht,

Wissenschaft und Kunst, Wien, 1951.

Gesammelte Aufsa tze, herausgegeben von F .C.

Heller. Universal Edition, Wien, 1975.

Reti, Rudolph. Thematic Patterns in the Sonatas of

Beethoven. London: Faber and Faber, 1967.

The Thematic Process in Music. New York:

The Macmillan Co., 1951.

Rietzler, Walter. Beethoven. Berlin und Zurich: Atlantis-

Verlag, 1942.

Rosen, Charles. Sonata Forms. New York: W. W. Norton &

Company, 1980.

Thayer, Alexander Wheelock. Ludwig van Beethovens Leben,

3 Binde. Berlin, 1866-1879.

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