govern the forward motion of the piece and the order of chords affects this motion;
this was the first .... Piano Sonata in C Minor, Op. 13 "Pathetique,,3 (1798/99).
Beethoven's Piano Sonatas: An Analysis of Compositional Trends from 1795-1822
Chelsea Bloomberg
Spring 2007
Dr. Gerald Berthiaume, Advisor
School of Music
College of Liberal Arts
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Precis Ludwig van Beethoven (1770-1827) is widely recognized as one of the most important composers in music history and his thirty-two piano sonatas are arguably the most significant pieces in their genre. There is an audible distinction between the first and last sonatas, and curiosity about the cause of this disparity, and a love for the music itself, inspired the conception of this study. Research for this project was focused on analysis of the written music, looking at six specific sonatas chosen from each of the three periods into which Beethoven's music is commonly divided. This is a standard method of finding out what events motivate a musical work. However, even using a typical approach, the results reached by an analyst may differ significantly from those of other researchers, due to the subjectivity inherent in music. In music, chords (three or more notes sounding simultaneously) frequently govern the forward motion of the piece and the order of chords affects this motion; this was the first aspect examined. Treatment of melody is another important part of music which was studied in detai1. The order in which specific themes appear, referred to as "form," also figures promjnently in music and was another emphasis of the study. Harmonic analysis proved difficult in some sections of works where there are few explicit chord progressions. In these instances, the main motivator was determined to be the relationship between individual, concurrent melodic lines. Upon completion of research, it was determined that there are several differences between the works of each period, as well as specific techniques that remain constant throughout all of his sonatas. Initially, the harmonies employed are largely traditional but over time they become more adventurous. Beethoven's treatment of melody also changes
over Lime. In the first sonatas, the melodies tend to be lengthy, but by the last sonata the melodic ideas are reduced to only a few notes. From the early sonatas Lo the later sonatas therc is a noticeable shift in volume and thickness of sound. When Beethoven began writing, the piano was a delicate instrument, not nearly as powerful as the modern piano and his first sonatas reflect this. As he continued writing, however, he demanded more volume than the instruments could provide, inspiring changes in the instrument that eventually resulted in today's piano. Throughout all Lhirty-two sonatas, however, Beethoven retains a highly logical ordering of themes. Every composer after Beethoven was somehow affected by his works. Some, like Johannes Brahms (1833-1897) considered Beethoven the greatest master and sought to continue in a similar style. Others, such as Frederic Chopin (] 810-1849) and Franz Liszt (1811-1886), felt that the classicism expressed in the music of Beethoven had reached its ultimate conclusion and thus broke from this style, creating a radical new ideal in their own music. Without Beethoven's adjustments to harmony, melody, and texture, neither of these responses could have occurred and the music of today would be markedly different. The potential methods for expanding this study are numerous. Ideas include performing a full analysis of all of the piano sonatas, analyzing other works of Beethoven (the symphonies, Lhe quartets, etc.), and studying the works of earlier and later composers to acquire an understanding of precisely how composers approached writing before and after Beethoven.
Table of Contents List of figures
6
Illlroduction
7
Methodology
8
Analytical Considerations
9
The Early Period (1795-1802)
10
Op. 2, No.2
11
Op. 13 "Grande Sonate Patherique"
14
The Middle Period (1802-1812)
18
Op. 53 "Waldstein"
18
Op. 57 "Appassionata"
23
The Late Period (1812-1827)
29
Op. 106 "FiirdasHammerklavier"
30
Op. 110
37
Conclusion
39
Glossary
41
Bibliography
44
List of Figures Figure 1. Op. 2, No.2, III: m. 1-3
13
Figure 2. Op. 13, I: m. 6
15
Figure 3. Op. 13,1: m. J31-J33
16
Figure 4. Op. 13,1: m. 59-61; III: m. 1-2
17
Figure 5. Op.53 I: m. 1-4
19
Figu re 6. Op. 57, I: m. 1
23
Figure 7. Op. 57, I: m. 10
23
Figure 8. Op. 57, III: m. 1-7
28
Figure 9. Op. 57, III: m. 20-22
28
Figure 10. Op. 106, 1: m. 1-2
30
Figure 11. Op. 106, 1: m. 385-387
31
Figure J 2. Op. 106, l: m. 4-8
32
Figure 13. Op. 106, IV: m.17-21
35
6
Introduction. Ludwig van Beethoven (1770-1827) completed thirty-two piano sonatas between
1795 and 1822. When he published the first opus, a set of three (Op. 2), few could have imagined the extent to which his writing would evolve by the time he published the last sonata, Op. Ill, twenty-seven years later in 1822. When Beethoven started out as a fresh, young talent from Bonn, Gennany, the world was enamored of classicism, the foci of which are clean lines, clear textures, and, above all, balance. The art, music, and literature of the time looked back to the architecture and sculpture of ancient Greece to find inspiration. Musical classicism reached its pinnacle in the works of Wolfgang Amadeus Mozart (1756- I 791). Beethoven adored the genius' music, and found in his works inspiration and a model to emulate as well as a shadow from which he must escape. In October of 1790, the young composer copied out a musical excerpt in his sketchbook, writing, "This entire passage has been stolen from the Mozart Symphony in C, where the Andante in six-eight from the ... [writing breaks off].'" Further down the page, he rewrote the passage, signing it "Beethoven himself.,,2 This desire to break from the earlier master's style was never fully effected in practice, however, and the influence of Mozart shows even in Beethoven's latest sonatas. Despite remaining evidence of Mozartean ideals of balance, by the end of Beethoven's life, he had strayed from the classical ideal fulfilled in Mozart's music. Even the most casual listener can easily discern the difference between Op. 2, No.1 (1795) and Op. I II (1822). However, hearing the difference is a matter far removed from knowing I Lewis Lockwood. Bee/hoven: The Music and /he Life (New York, N.Y.: W.W. Norton & Company,
2005) 57.
2 Lockwood. 57.
7
what precise changes occurred over time to create two works of such disparate character and construction. The purpose of this research is to discover and describe the changes in
composition style and technique made throughout the twenty-seven years during which
Beethoven composed the thirty-two piano sonatas.
Methodology.
In order to answer the research question, I chose six of the thirty-two piano sonatas to analyze. These sonatas represent the three standardized divisions of Beethoven's compositions, including two works from each period. The early period consists of music written between 1792 and 1802, and includes sonatas Op. 2 through Op. 49. The middle period lasted from 1802 to 1812 and includes sonatas Op. 53 through Op. 90. The late period lasted from 1812 to Beethoven's death in 1827 and includes the last fi ve sonatas, Op. 101 through Op. Ill. The sonatas chosen for this study are as follows: Early period: Piano Sonata in A Major, Op. 2, No.2 (1795) Piano Sonata in C Minor, Op. 13 "Pathetique,,3 (1798/99) Middle period: Piano Sonata in C Major, Op. 53 "Waldstein" (1803/04) Piano Sonata in F Minor, Op. 57 "Appassionata" (1805/05) Late Period: Piano Sonata in B-flat Major, Op. 106 "Fur das Hammerklavier" (1817/18) Piano Sonata in A-flat Major, Op. 110 (1821) } The tilles of Beethoven's sonatas were generally added by the publisher, not by the composer. An exception is Sonata Op. 81 a "Das Lehewohl" ("The Farewell"), which the publisher altered by translating it into French ("Les Adieux").
8
Analysis of these six sonatas included a study of harmonic structure, formal structure, motivic and melodic elements, phrase style, texture, and relationships between movements. While studying these pieces, 1 compared findings with the analyses of Donald Francis Tovey and Charles Rosen, both of whom are weJl-respected for their studies of Beethoven. In addition to the study of these works specifically, I also compiled generalized information on all thirty-two sonatas; this information includes key relationships between movements, particular points of interest, general formal structures, number of movements, and use of repeats.
Analytical Considerations. There are several things to consider when approaching the works of Beethoven from an historical and analytical perspective. First, we must be careful not to rashly label a once-used technique as a rule that must be found in subsequent works; Beethoven sometimes experimented with an idea for one work and never used it again. For example, after an analysis of Op. 106, it would be an error to declare that all late works of Beethoven are constructed using third relationships as the basis for harmony and melody. Second, we must take care not to throw out early ideas as possibilities for his later works; something that was laid aside for several years could suddenly be resurrected to achieve a desired effect; Lhis principle applies to the clean textures of Op. I 10. When examining Beethoven's works in terms of three main periods, it is vital to remember that the reality of any man's work is that it is a continuous flow. Charles Rosen warns against using the period di visions as a hard rule, saying that there is no distinct break beLween the first two
9
periods and that the second and third periods contain many similar elements. He does not discard the idea entirely, however: "Whl:n the division into three periotls is retained, it should be clear that it is a fiction for the purposes of analysis, a l:onvenience for understanding, and nOI a biographical reality. The steady development tliscernibJc in Beelhoven's career is as important as its discontinuities even if these are easier to describe. 11 is only in comparing works several years apart that the discontinuities assume a demonstrable and . persuasive sense. "~
This caution should be kept in mind whenever considering the progression of composition technique in Beethoven's works.
The Early Period (1795-1802). Even though the early works of Beethoven are somewhat imitative of Mozart, he was already disinclined to follow on the heels of convention. Beginning with the first set of sonatas, published in 1795 as Op. 2, he shocked his audiences-and would continue to do so until his death thirty-two years later. Prior to these works, a group of sonatas published together would begin in a major key; the first of the three sonatas from Op. 2 is in F Minor. Also, the sonatas of Mozart and Haydn generally have three movements. Each of the opus 2 sonatas has four movements. Of course, Beethoven did not add an extra movement for no reason; rather he drew from symphonic literature, the works of which tended to have four movements in the following pattern:
I.
Fast, probably in sonata form.
II.
Slow, often in simple ternary, but could be in any form.
III.
Stylized dance, usually a minuet form. s
·1 Charles Rosen, The Classical Style: Haydn, Mozart. and Beethoven. (New York: W.W. Norton &
Company, (972) 1R9.
5 In Beethoven's works, the label of this movement is often scherzo. However, these scherzi are usually in
the same three-phrase form as the minuel.
10
IV.
Fast, often a rondo or sonata form.
Each of the three opus 2 sonatas follows this format, showing Beethoven's early inclination to expand the scope of piano literature.
Opt 2, No.2. In the first movement of Op. 2, No.2, the second thematic group (beginning measure 58) wanders into surprising tonalities that would not have been seen in Mozart, and the sound of which our twenty-first century ears simply cannot understand as revolutionary in the way that Beethoven's contemporary audience would have. The chord changes, beginning in E minor and tonicizing G major, B-flat major, D major, and Fsharp minor,6 are dictated by a rising bass line that is used to increase intensity; the ascending bass used in this fashion is an innovation that began with Beethoven and that he used extensively through all three periods. 7 At the time, it was the norm to maintain a fairly simple harmonic structure in the exposition of a sonata form movement and this progression so near the beginning of the exposition confounded the expectations of Beethoven's audience. In the larger harmonic and formal framework, however, the work is fairly conventional; it modulates to the major dominant by the end of the exposition, spends time in closely related keys during the development section, and returns to the material of the exposition without any thematic changes while maintaining the tonic-key framework. 8
6 The chord actually progresses to an F-sharp diminished triad in root position, which is diatonic to the kcy
or E minor, ralher than resolving on a chromatically altered chord.
7 Exampks include the first movement or Op. HIa (m. 21-28) and the first movt:rnent of Op. 57 (m.1 09
123).
8 It stays in tonic with the exception of the necessary visitation of the tonic minor (a minor) that parallds
the dominant minor section in the exposition. This modulation to the dominant minor hefore, or instead of,
the dominant major is common in Beethoven's expositions. Reference Op. 10 No.3, second movement (m.
17-29), Op. 27, No.2, third movement (21-64), and Op. 31, No.2, tirst movement (m. 41-74).
11
The whole of the first movement is mainly constructed from ideas found in the first twenty measures of the work. Though this main idea is long, the treatment of it in the development is more motivic in nature, predicting how Beethoven would treat thematic materiaJ in future works. The development of smaller motives derived from the first group is paI1icularly noticeable in measures 181 and foJlowing, where the two elements from measures 8 and 9 are laid out in Slretto. For the most part, however, Beethoven quotes larger sections of thematic material, as in measures J22-157. The texture of the first movement is thin, not often using more than three vertical pitches 9 on a given beat, and more frequentJy using only two. The marked articulations generaJly indicate lightness; much of the work is marked staccato or is simply unmarked, implying a detached sound. Where slurs are marked, they are lIsually written near a section with a detached sound, which suggests that they are there to enhance dramatic contrast. For example, the first thematic grou p (m. I-57) contains much staccato, whereas the second thematic group (beginning m. 58) contains no staccato at all; the melody line is instead heaviJy slurred. In the second movement, Largo appassionato, we again see the transference of symphonic tradition to the piano. The bass part of the main theme is marked staccato
sempre, and in performance sounds much like pizzicato on a ceJlo or bass; it accompanies a stateJy, hymn-Jike meJody. As in the first movement, there are few unexpected harmonies, though the sudden explosion of the theme in 0 minor (parallel to 0 major, the main key of the movement) is made by dynamics, marked fortissimo. Contrasting the grandeur of the sJow movement, the third movement is a bright
9
"Verlical pitchcs" refers
10
pitches that sound simultaneously.
12
scherzo and trio.
lo
The brief movement is essentially classicist, with a light, clear touch
and the two-note slurs typical of the works of Mozart and Haydn. Its form is the standard three-phrase minuet that was so often used by the earlier masters. The first section is in A major, and the second starts in the dominant key (E major). Aside from a brief interruption in this second section, outlining a new melody in the mediant key of G-sharp minor (utterly remote from the tonic, A major), the harmony is unremarkable. The fourth movement is labeled Rondo Grazioso. Like the third movement, this delicate rondo
ll
employs the classical two-note slur extensively, as in measures 2, 8, and
10; these are only a few examples from the 187-measure movement. Another decidedly classicist element is the nearly constant presence of Alberti bass, 12 which was widely used by Beethoven's precursors and contemporaries:
espreJl.
3
i
Fig. I. Op. 2, No.2, IV: m. I-l.
It runs through most of the rondo theme (m. 1-16) and through the entire first episode (m. 26-40) and the subsequent repetitions of these sections. The only feature that may have caused serious L:Oncern on the part of the contemporary audience is the bombastic
These are landed Scherzo and Minore in Ihe score. II may arguably be in sonala-ronuo form, though in analysis it is important 10 remember thai the form came after Ihe work; allempting to fit a musical work into a specific box can lead 10 useless and often counlerproduciive argumcnlS. 12 Alberli bass is a style of accompanimelll cnaraeleri7.ed ny a nroken chord with ilS members in Ihe pallern 10
II
1-5-3-5.
13
middle section, in A minor (parallel of the original key). It initially bursts forth in ful1 chords in the left hand played against highly chromatic right hand triplets. The patterns formed by the chromatic right hand are, despite the shocking contrast against the elegant outer sections, fairly simple, strictly organized figurations.
Op. 13 "Grande Sonate Pathetique." Three years after Op. 2, Beethoven published Sonata Op. 13 in C minor. It begins with an entirely different character than his previous works, which included the three opus 2 sonatas and six other sonatas.
13
According to Donald Francis Tovey, the publisher
bestowed the title Patherique, declaring that the tone of the work "utterly eclipsed,,14 the keyboard style of al1 earlier masters, including Mozart. However, Tovey points out that, despite its external grandeur, its actual core ideas are not as profound as those of Mozart's works in the same key. IS The first movement begins with an introduction, marked Grave, in the tempo of a French overture
l6
and much of its material is expressed in the French style's
characteristic dotted rhythms. The harmony in this section is somewhat unstable, though it primarily uses tonic and dominant in C minor. Several measures briefly tonicize the mediant (E-flat major), the subtonic (B-flat major), and the dominant (G major) by use of secondary dominants. However, these borrowed dominant chords do not always resolve, instead progressing to the next chord in stepwise motion and with shared tones:
These eighl works include lwo thaI were published laler in his career, Op. 49, Nos. I and 2.
Donald Francis Tovcy, A Companion to Beethoven's Pianoforte Sonatas (Complete Analyses) (New
York: AMS Press, 1931) 68.
I~ Tovey, 68.
16 This is a style that began in the 1650s with Jean Baptiste Lully (J 632-1687), the distinguishing features
of which include a slow tempo, dolled rhythms, and suspensions.
13 14
14
....
,,~,I I •
-'
~
~
Fig.2. Op. 13, I: m. 6.
A major motivator of this introduction is the contrast betweenj(me and piano. The first chord is marked jjJ, indicating that the notes following the j(nte chord should be much softer; this indication also occurs on the downbeats of measures 3 and 9. Other measures in the introduction have crescendos followed by piano, implying suhito piano. The exposition is marked Allegro di molto e con brio and begins softly. The opening phrase is a standard eight-bar phrase with a symmetrical rising and falling contour (four bars ascending, four bars descending). To modulate to the second thematic group, Beethoven uses a secondary dominant of the subtonic in the home key of C minor (an A diminished chord resolving to a B-flat major chord, beginning in m. 42). In turn, the subtonic becomes the dominant of the new key, E-flat minor (m. 51). As in many of his sonata expositions, Beethoven here tonicizcs the parallel of the final exposition key area, the relative major 17 (E-flat major), in the first section of the second group, saving the strength of the destination key for greater effect at the end of the exposition. Rosen calls the beginning of the development "novel" IR in that it brings back a segment of the Grave introduction, this time in G minor, coming from E-flat major by way of a 0 dominant seventh chord; at the first ending of the exposition this chord progressed to V7NI in E-flat major (a G dominant seventh chord), leading back to the
The final key area of the exposition eould also be the dominanl in either major or minor key works. Charles Rosen, Beethoven's Piano Sonatas: A Short Companion (New Haven and London: Yale University Press, 2002) 142. 17
18
15
original key. At the second ending, instead of proceeding elsewhere, it simply repeats an octave lower to prepare for the restatement of the introduction: 11.
l h~.
"
~3 ~
. 'fl~mp~ __:0 G
4
1":\
--
b~f
r.'\
- - fI
U-
~o;;
r~
= 0"
tf~
~;;
!!
J~;
"
(J Fig. 3. Op. 13,1: rn. 131-133.
Later in the development, there are passages that lack thematic development, using arpeggios, broken octaves, and tremolos to heighten tension and drive toward the next segment of thematic development (e.g., m. 160- 171). The recapitulation is orthodox, moving briefly to the subdominant (F minor) in the second group before reaching the home tonic. Unlike the first movement of Op. 2, No.2, this sonata-form movement has a small coda (m. 295-310) that begins with a brief restatement of the introduction, a device that Rosen suggests was borrowed from Mozart's viola quintet in D major. 19 The second movement, a slow rondo in A-flat major, provides a contrast to the minor-key drama of the first movement. The form is simple, consisting of the rondo theme three times with two episodes and a coda. As is often the case in this form, the last occurrence of the rondo theme is varied, in this instance changing the steady sixteenth accompaniment in the middle voice to sixteenth-note triplets. The keys to which the movement modulates include the relative minor (F minor) in the first episode (m. 16/17 28) and the parallel minor in the second episode (m. 36/37-50); neither key would be considered unusual by Beethoven's contemporaries. The movement ends with an eightbar coda (m. 66-73).
1\1
Rosen, Companion 143.
16
The third movement rondo theme is based on a direct quote from the beginning of the second thematic group in the first movement:
TIurd movement, m. ~ -2~,
First movement m 59-61.
~'1'~
¥-zrt
sf
'0"
.'-
p
I'''' ,.
;l
... Fig. 4. Op. 13, [ and III.
Though set in the melancholy key of C minor, this movement tends toward a lighter and sometimes even humorous or sprightly tone. This is due to the quantity of material written in the major mode. The first episode (m. 25-50) is in E-f1at major (III), the second episode (m. 78-120) is in A-flat major (VI), and the return of thc first episode (m 134 170) is in C major (I, parallel to the original tonic). The coda (m. 182-210) of this rondo is nearly twice as long as the rondo theme. Unlike the codas in the previous two movements, instead of simply confimling the tonic by repeating dominant and tonic (or just tonic) this section uses the Neapolitan harmony (m. 198) and tonicizes VI (A-flat major) in measures 199-207 in a major-mode rendition of the head of the rondo theme; these instances of major mode so close to the end prevent the work from being wholly serious, despite the fiery C minor ending (m. 206/207-210). Even more than the relatively simple harmony and form of the movements, the use of articulation and phrasing allies the opus 13 sonata with the earlier sonatas. Apart from the dramatic introduction, the prevailing texture in the first movement is light, filled with staccato and two-note slurs. Additionally, in the second theme group, Beethoven used Baroque-style ornamentation on the first notc of each two-note slur (m. 57, 77, 8 1
17
88). [n the third movement rondo theme, the phrasing is decidedly classical, contrasting
slurs with staccato in the melody. The first episode contains a portato-touch chorale
theme (m. 43/44-51). All of these connect the sonata to the early period.
The Middle Period (1802-1812).
The works of the middle period are, in part, a fulfillment of the promises sown in the first sonatas. Many of the elements that Beethoven introduced in the first period are now brought to a greater fullness in the six sonatas of 1802-1810. Significantly, Beethoven wrote a total of twenty sonatas in the precedi ng period. It is possible that the reduced number of sonatas during the middle period is due to Beethoven focusing on other genres, including chamber music and symphonies (six of the nine symphonies were composed in this period). Additionally, the sonatas of the early nineteenth century are, in general, much larger than most of the early works. Performance length is not significantly increased, but in the middle period less material is encased in repeat signs. Also, the overall scope greatly increased after 1802, as will be discussed in analyses of the works. Opt 53 HWaldstein."
This work is what most analysts consider the first sonata in the middle period. The opening is drastically different from the openings of previous sonatas. One interesting detail is that the right hand starts lower than in any of the previous sonatas by a major third,2o beginning on C3 and E3?1 More important, however, is the course of the first 13 measures. Texturally, it is unlike the light, clean sound of the opus 2 sonatas, despite the presence of many scalar motions. The left hand is rhythmically locked with the right hand in steady, quick eighths, giving it a rhythmic drive never seen before, even
20 21
The second lowest slarling point was the opening of Op. 27, No.2, the so-called "Moonlighl" sonata. Reckoning A440 as A4.
18
in Beethoven's more adventurous early works. This left hand bass descends chromatically by half-step,22 moving to the root position dominant seventh chord in measure 9. The first phrase (m. 1-4) is composed of three motives, the third of which is closely related to the second: (a) '\1I."rr~I
