Schubert Symphony No.5: Is it really a Mozart copy?
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Transcript of Schubert Symphony No.5: Is it really a Mozart copy?
Schubert Symphony No.5: Is it really a Mozart copy?
by
Liao Kelvin
A thesis submitted in partial fulfilment of the
requirements for the Degree of Bachelor of Arts (Honours)
in Music Studies at The Hong Kong Baptist University
May 2015
i
Declaration
I declare that this thesis is my own work, except where due acknowledgement is
made, and that it has not been previously included in a thesis, dissertation or report
submitted to this University or to any other institution for a degree, diploma or other
qualifications.
__________________________________
Liao Kelvin
Hong Kong Baptist University
May 2015
ii
Acknowledgements
I would like to express my deepest gratitude to my supervisor, Dr. Austin Yip, by
inspiring me with questions and ideas, giving me notable advices and editing my thesis.
Under his guidance, I am fully confident to complete this thesis.
I am indebted to Miss Phoebe Leung Yin-ki, for providing basic understandings on
Schubert’s Fifth Symphony, and Dr. Michael Joseph Ryan for teaching me research
methods.
I would like to thank my parents and friends by giving me unlimited spiritual
support.
Liao Kelvin
May, 2015
iii
Abstract
It has been said that Schubert’s Fifth Symphony was a copy of Mozart’s Fortieth
Symphony. However, in George Edwards’s article, A Palimpsest of Mozart in
Schubert’s Symphony No.5, he concludes that Schubert did not mean to copy Mozart,
but he was just “(doing) something clever” with Mozart. The word “Palimpsest” seems
more to be an irony, rather than its literal meaning.
This thesis investigates on the relationship between the two symphonies by
comparing them in an analytical approach. The general purpose of this research is to
further examine Edwards’s final statement through comparing and analyzing the other
movements of both works. These movements will be compared in various aspects,
including melody, harmony, sections, forms, phrases, orchestrations, dynamics, texture
and typical characteristics. Scott Folgesong’s analysis will also be taken as reference.
Through this analysis, I hope to find out Schubert’s way of composition for his Fifth
Symphony, so as to prove whether Edwards’s assumptions are right. After this research,
I hope to prevent the scholars from misunderstanding these two compositions.
iv
Table of Contents
Declaration i
Acknowledgements ii
Abstract iii
Table of Contents iv
List of Tables v
List of Figures v
Chapter 1: Introduction
1.1. Rationale Behind 1
1.2. Statement of the Problem 1
1.3. Objectives 2
1.4. Methodology 2
Chapter 2: Literature Review
2.1. Schubert’s Biography 3
2.2. Schubert’s Symphony No.5 in B-flat Major D485 Background 7
2.3. George Edwards’s Analysis of the First Movement 9
Chapter 3: Analysis of the Second, Third and Fourth Movements
3.1. 2nd
Movement 15
3.2. 3rd
Movement 26
3.3. 4th
Movement 42
Chapter 4: Results and Discussion 90
Chapter 5: Conclusion 98
Bibliography 101
v
List of Tables
Table 3.1: Mozart’s Symphony No.40 second movement segmentation chart 15
Table 3.2: Schubert’s Symphony No.5 second movement segmentation chart 15
Table 3.3: Mozart’s Symphony No.40 third movement segmentation chart 26
Table 3.4: Schubert’s Symphony No.5 third movement segmentation chart 26
Table 3.5: Mozart’s Symphony No.40 fourth movement segmentation chart 42
Table 3.6: Schubert’s Symphony No.5 fourth movement segmentation chart 42
List of Figures
Figure 2.1: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.20 9
Figure 2.2: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.21 10
Figure 2.3: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.23 11
Figure 2.4: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.31 11
Figure 2.5: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.31 12
Figure 2.6: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.28 13
Figure 2.7: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5
P.29 14
Figure 3.1: Mozart Symphony No.40 2nd
movement mm.1-8 16
Figure 3.2: Mozart Symphony No.40 2nd
movement mm.7-16 17
Figure 3.3: Mozart Symphony No.40 2nd
movement mm.17-19 17
vi
Figure 3.4: Schubert Symphony No.5 2nd
movement mm.1-4 18
Figure 3.5:Schubert Symphony No.5 2nd
movement mm.5-8 18
Figure 3.6: Schubert Symphony No.5 2nd
movement mm.7-13 19
Figure 3.7: Schubert Symphony No.5 2nd
movement mm.14-20 19
Figure 3.8: Mozart Symphony No.40 2nd
movement mm.53-60 20
Figure 3.9: Bass line chart from Mozart Symphony No.402nd
movement mm.55-62 21
Figure 3.10: Mozart Symphony No.40 2nd
movement mm.67-68 21
Figure 3.11: Mozart Symphony No.40 2nd
movement mm.94-96 22
Figure 3.12: Schubert Symphony No.5 2nd
movement mm.24-28 23
Figure 3.13: Schubert Symphony No.5 2nd
movement mm.34-38 23
Figure 3.14: Schubert Symphony No.5 2nd
movement mm.84-89 24
Figure 3.15: Schubert Symphony No.5 2nd
movement mm.125-141 25
Figure 3.16: Mozart Symphony No.40 3rd
movement mm.36-42 27
Figure 3.17: Schubert Symphony No.5 3rd
movement mm.1-8 27
Figure 3.18: Schubert Symphony No.5 3rd
movement mm.27-34 28
Figure 3.19: Schubert Symphony No.5 3rd
movement mm.51-56 28
Figure 3.20: Mozart Symphony No.40 3rd
movement mm.1-6 29
Figure 3.21: Mozart Symphony No.40 3rd
movement mm.15-21 30
Figure 3.22: Mozart Symphony No.40 3rd
movement mm.15-21 30
Figure 3.23: Schubert Symphony No.5 3rd
movement mm.35-46 32
Figure 3.24: Schubert Symphony No.5 3rd
movement mm.69-79 32
Figure 3.25: Schubert Symphony No.5 3rd
movement mm.19-22 33
Figure 3.26: Mozart Symphony No.40 3rd
movement mm.11-14 34
Figure 3.27: Schubert Symphony No.5 3rd
movement mm.61-66 35
Figure 3.28: Mozart Symphony No.40 3rd
movement mm.43-53 36
Figure 3.29: Mozart Symphony No.40 3rd
movement mm.54-64 37
vii
Figure 3.30: Mozart Symphony No.40 3rd
movement mm.65-74 37
Figure 3.31: Mozart Symphony No.40 3rd
movement mm.75-84 38
Figure 3.32: Schubert Symphony No.5 3rd
movement mm.89-97 40
Figure 3.33: Schubert Symphony No.5 3rd
movement mm.98-107 40
Figure 3.34: Schubert Symphony No.5 3rd
movement mm.108-117 41
Figure 3.35: Schubert Symphony No.5 3rd
movement mm.118-128 41
Figure 3.36: Mozart Symphony No.40 4th
movement mm.1-7 44
Figure 3.37: Mozart Symphony No.40 4th
movement mm.8-15 44
Figure 3.38: Mozart Symphony No.40 4th
movement mm.16-24 45
Figure 3.39: Mozart Symphony No.40 4th
movement mm.25-32 45
Figure 3.40: Schubert Symphony No.5 4th
movement mm.1-9 47
Figure 3.41: Schubert Symphony No.5 4th
movement mm.10-21 48
Figure 3.42: Schubert Symphony No.5 4th
movement mm.22-32 48
Figure 3.43: Schubert Symphony No.5 4th
movement mm.33-43 49
Figure 3.44: Mozart Symphony No.40 4th
movement mm.33-38 51
Figure 3.45: Mozart Symphony No.40 4th
movement mm.39-45 51
Figure 3.46: Mozart Symphony No.40 4th
movement mm.46-51 52
Figure 3.47: Mozart Symphony No.40 4th
movement mm. 52-57 52
Figure 3.48: Mozart Symphony No.40 4th
movement mm. 58-63 53
Figure 3.49: Mozart Symphony No.40 4th
movement mm. 64-61 53
Figure 3.50: Schubert Symphony No.5 4th
movement mm.44-52 56
Figure 3.51: Schubert Symphony No.5 4th
movement mm.53-64 56
Figure 3.52: Schubert Symphony No.5 4th
movement mm.65-74 57
Figure 3.53: Schubert Symphony No.5 4th
movement mm.75-86 57
Figure 3.54: Mozart Symphony No.40 4th
movement mm. 72-80 59
Figure 3.55: Mozart Symphony No.40 4th
movement mm. 81-89 59
viii
Figure 3.56: Mozart Symphony No.40 4th
movement mm. 90-98 60
Figure 3.57: Mozart Symphony No.40 4th
movement mm.99-105 60
Figure 3.58: Schubert Symphony No.5 4th
movement mm.87-97 61
Figure 3.59: Schubert Symphony No.5 4th
movement mm.98-108 62
Figure 3.60: Mozart Symphony No.40 4th
movement mm.106-111 63
Figure 3.61: Mozart Symphony No.40 4th
movement mm.112-117 64
Figure 3.62: Schubert Symphony No.5 4th
movement mm.109-120 65
Figure 3.63: Mozart Symphony No.40 4th
movement mm.118-124 66
Figure 3.64: Schubert Symphony No.5 4th
movement mm.121-130 67
Figure 3.65: Schubert Symphony No.5 4th
movement mm.131-142 68
Figure 3.66: Schubert Symphony No.5 4th
movement mm.143-154 68
Figure 3.67: Mozart Symphony No.40 4th
movement mm.125-132 69
Figure 3.68: Mozart Symphony No.40 4th
movement mm.133-141 70
Figure 3.69: Mozart Symphony No.40 4th
movement mm.142-149 71
Figure 3.70: Mozart Symphony No.40 4th
movement mm.150-156 71
Figure 3.71: Mozart Symphony No.40 4th
movement mm.157-163 72
Figure 3.72: Mozart Symphony No.40 4th
movement mm.164-190 72
Figure 3.73: Mozart Symphony No.40 4th
movement mm.171-177 73
Figure 3.74: Mozart Symphony No.40 4th
movement mm.178-187 73
Figure 3.75: Schubert Symphony No.5 4th
movement mm.155-164 75
Figure 3.76: Schubert Symphony No.5 4th
movement mm.165-175 75
Figure 3.77: Schubert Symphony No.5 4th
movement mm.188-199 76
Figure 3.78: Schubert Symphony No.5 4th
movement mm.200-210 76
Figure 3.79: Mozart Symphony No.40 4th
movement mm.220-225 78
Figure 3.80: Mozart Symphony No.40 4th
movement mm.226-231 79
ix
Figure 3.81: Mozart Symphony No.40 4th
movement mm.232-237 79
Figure 3.82: Mozart Symphony No.40 4th
movement mm.238-244 80
Figure 3.83: Mozart Symphony No.40 4th
movement mm.245-252 80
Figure 3.84: Schubert Symphony No.5 4th
movement mm.284-299 82
Figure 3.85: Schubert Symphony No.5 4th
movement mm.300-318 82
Figure 3.86: Schubert Symphony No.5 4th
movement mm.319-330 83
Figure 3.87: Mozart Symphony No.40 4th
movement mm.253-260 84
Figure 3.88: Mozart Symphony No.40 4th
movement mm.261-268 85
Figure 3.89: Mozart Symphony No.40 4th
movement mm.269-276 85
Figure 3.90: Mozart Symphony No.40 4th
movement mm.284-289 87
Figure 3.91:Mozart Symphony No.40 4th
movement mm.290-295 87
Figure 3.92: Mozart Symphony No.40 4th
movement mm.296-302 88
Figure 3.93: Mozart Symphony No.40 4th
movement mm.303-308 88
Figure 4.1: Schubert Symphony No.5 1st movement mm.114-122 92
Figure 4.2: Schubert Symphony No.5 1st movement mm.123-131 92
Figure 4.3: Schubert Symphony No.5 1st movement mm.32-42 93
Figure 4.4: Schubert Symphony No.5 1st movement mm.43-52 93
Figure 4.5: Schubert Symphony No.5 1st movement mm.43-52 96
Figure 4.6: Schubert Symphony No.5 3rd
movement mm.11-22 96
Figure 4.7: Schubert Symphony No.5 1st movement mm.63-73 97
1
Chapter 1: Introduction
Rationale behind
Few years ago, when I heard the Menuetto of Schubert’s Fifth Symphony, a small
section recalled my memory to the Menuetto of Mozart’s Fortieth Symphony. They had
similar harmony, orchestration and melodic shape. I started to wonder whether Schubert
was influenced by Mozart. In the summer of 2013, I started to study AMusTCL of the
Trinity College of London. To fulfill the requirement, I needed to do a thorough study
of Schubert’s Fifth Symphony. To enhance my understandings of this composition, I
had read plenty of reference materials so as to do a deeper analysis. I was fascinated by
an analysis of Scott Foglesong, which coincided with my observation. This reignited
my interest to explore about the relationship of these two pieces.
Statement of the problem
My research question of this thesis is to find out whether Schubert’s Fifth
Symphony is a “copy” of Mozart’s Fortieth Symphony. George Edwards’s article, A
Palimpsest of Mozart in Schubert’s Symphony No.5, gave me an inspiration. The word
“palimpsest” means a rewritten paper. The title suggested that Schubert had written
something that is very similar to Mozart’s work. Edwards had a detailed analysis on the
first movement on both pieces. Although it was known that Schubert usually got
2
inspirations on previous models1, does this mean he copied the entire piece? I would
like to compare the other three movements of both pieces to see their relationship.
Objectives
Through this thesis, I would like to provide a more in-depth investigation in
Mozart’s Fortieth Symphony and Schubert’s Fifth Symphony, so as to prove that
Schubert did not copy Mozart, but instead he was just trying to “do something clever”
with Mozart, as suggested by Edwards.2
Methodology
Information of these two compositions, including their historical backgrounds,
composers’ habits, as well as detailed analysis, will be investigated to check whether
Edwards’ statement is right. The other three movements (second, third and fourth
movements) of both works will be analyzed and compared in various aspects, including
melody, harmony, sections, forms, phrases, orchestrations, dynamics, texture and
typical characteristics. The results will be used to proof my hypothesis.
1Edwards, “A Palimpsest of Mozart in Schubert’s Symphony No. 5”, 18.
2Ibid., 38.
3
Chapter 2: Literature Review
2.1: Schubert’s biography
On 31 January 1797, Franz Peter Schubert was born in the Himmelpfortgrund
suburb of Vienna. He was the twelfth child of Franz Theodor Florian Schubert
(1763-1830), a schoolmaster, and Maria Elisabeth Katharina (1756-1812).3 When
Schubert was six years old, his father found his musical abilities and began to teach him
violin. Schubert composed some short pieces for their family quartet, two elder brothers
as violinists, father as cellist and himself as violist. He even pointed out his father’s
wrong intonations and rhythm. Soon, his father sent him to Michael Holzer, the
choirmaster of the Parish church at Liechtental for organ, vocal and harmony lessons.4
In 1808, Schubert was recognized as a student at the Stadtkonvikt.5 Before he
arrived at the school, he might never have heard of an orchestra. He became agitated
and joyful after his first listening of school rehearsal and joined the second violin
section. The student musical director, Josef von Spaun, who became his lifelong friend
and benefactor, discovered his musical talent and invited him to be his orchestral
assistant. He supplied Schubert the manuscript papers for composition. Schubert was
described as a shy boy with passion on music but hard to settle in the new environment.
3McKay, Franz Schubert, 1.
4Turner and Venezia, Franz Schubert, 10–11.
5McKay, Franz Schubert, 14.
4
The assistant job provided him opportunity to communicate with the others and learn
more.6 Through the orchestral rehearsals, Schubert acquainted with music of Mozart,
Beethoven and Haydn, which he especially admired. Among all, Mozart’s Symphony
No.40 in G minor was one of his favorites. In 1811, Schubert started his interest to
poems and began his vocal composition. HagarsKlage was his first German Lied.7
On 28 May 1812, Schubert’s mother died. His father needed to manage the entire
school business and required Schubert to be an assistant teacher instead of a composer
in order to support his work. Spaun convinced him to give up his mind that the talented
son would be wasted as a teacher. Later on, Schubert was appointed to have music
theory and composition private lessons with Court Kapellmeister, Anton Salieri.8 In
1813, Schubert kept on composing for scholarship to continue his studies. They
included the string quartet in B flat and in D major, D68 and D74, plenty of male vocal
trios and early Octet in F for winds.9
After Schubert graduated from Stadtkonvikt, he entered the St. Anna College in
November 1813 for ten months.10
He kept on having private lesson with Salieri. In
1814, Schubert started his teaching career in schools.11
On the other hand, one of his
most famous German Lieder, Gretchen am Spinnrade, and Mass in F D105 was
6Edwards, “A Palimpsest of Mozart in Schubert’s Symphony No. 5,” 30.
7 ibid., 22
8Turner and Venezia, Franz Schubert, 18–19.
9McKay, Franz Schubert, 31.
10 Ibid., 35
11Turner and Venezia, Franz Schubert, 22.
5
revealed to the world.12
In 1815, at the age of 18, he composed the other famous
German Lied, Der Erlkönig13
. Since Schubert was tired to do his low paid school job,
he tried to apply for a music post at a training school for teachers. Even he got
reference letter from Salieri, he failed.14
Spaun introduced Schubert to acquaint Franz
von Schober who was a poet and began a long friendship.15
They often called
themselves as “Schobert”.16
In 1816, Schubert had composed more than 100 works including his Fifth
Symphony D485, Mass in C D452, plenty of church music and chamber music.17
In
some of his writings, he claimed he was composing a cantata for Professor Watteroth, a
law teacher in the university who is also a friend of Spaun, for 100 Viennese florins.
That was his first commission.18
In 1818, Schubert was introduced to Count Johann
Karl Esterházy of Galanta by Johann Karl Unger, a law professor at the Theresian
Academy in Vienna. The job was to provide piano and singing lessons for Esterházy’s
two daughters, and musical entertainments for the family and their guests.19
Schubert’s
circle of friends was gradually rising year after year. They often have private concert of
Schubert music. These events were known as “Schubertiads”. Being a composer,
12
Ibid., 24-25 13
Ibid., 27 14
Ibid., 30 15
Capell, “Schubert’s Poets (Part 8).” 16
Turner and Venezia, Franz Schubert, 33. 17
McKay, Franz Schubert, 56. 18
Turner and Venezia, Franz Schubert, 31. 19
Winter, Brown, and Sams, “Schubert, Franz”
6
Schubert’s life was not as wealthy as his peers. He often had to ask for his friends’
helping hands on financial support and accommodation.20
Schubert’s health decreased drastically during 1823, when he was diagnosed as
having syphilis.21
Although being depressed, he still composed positive works.
Wanderer Fantasy in C major D760 for piano was one of his famous compositions.
After few years of fighting, he died in the age of 31 in 19 November 1828.22
Throughout his life, he has written 9 symphonies, 15 string quartets, over 600 German
lieder, 23 piano sonatas and so on.23
20
Turner and Venezia, Franz Schubert, 34. 21
McKay, Franz Schubert, 164. 22
Turner and Venezia, Franz Schubert, 62. 23
Newbould, Schubert, the Music and the Man, 424–443.
7
2.2: Schubert’s Symphony No.5
in B-flat major D.485 background
In Classical period, there was no standard rule on instrumentation in symphonies.
In most of the works, strings seemed to be an indispensible section, but the usage of the
wind section was still open to composers’ choice. There might be an omission of flute,
oboe or clarinet or trumpet. The use of timpani was also optional. During the early 19th
century, the instrumentation in symphonies became more standardized. They often
contained double woodwinds, pairs of trumpet and horn, timpani and strings. Ludwig
van Beethoven even added 3 trombones and piccolo in the Finale of his Fifth
Symphony.
Schubert’s Fifth Symphony, however, is scored in a very special instrumentation,
with only 1 flute, 2 oboes, 2 bassoons, 2 horns and strings. The chamber like
instrumentation shows the same practice of Mozart. This symphony, composed in
September of 1816, is always said to be a resemblance of Mozart Symphony No.40.
Schubert showed his admiration towards Mozart in one of his diaries, “O Mozart!
Immortal Mozart! What countless images of a brighter and better world hast thou
stamped on our souls!”24
24
Duncan, Schubert, 95.
8
Schubert finished the symphony on 3 October, 1816. It was assumed to be
performed by an amateur orchestral society, and the composer himself played the viola
a month after. He did not publish the work during his lifetime. The first public
performance was under the baton of Michael Leitermayer. The concert was held on 17
October, 1841 at the Josefstädter-theater in Vienna. The first score was published by
Eusebius Mandy-czewski and Johannes Brahms asa part of the Critical Complete
Edition / Kritische durchgesehene Gesamtausgabe in 1885.25
There are totally four movements. The first movement marked Allegro in B-flat
major. The second movement marked Andante con moto in E-flat major. The third
movement marked Allegro molto that the Minuet in G minor and the Trio in G major.
The fourth movement marked Allegro Vivace in B-flat major.26
25
Clarke, Schubert Symphony No.5 in Bb major D 485, VII 26
Young, Schubert, 27.
9
2.3: George Edwards’s Analysis
of the first movement
There are some notable similarities in both expositions of the first movement. In
Mozart’s mm.2-16 and Schubert’s mm. 5-19, both of them contain resemblances of
tempo (Molto Allegro in Mozart, Allegro in Schubert), dynamics (piano, pianissimo),
meter (cut time) and texture (repeated-quavers in the inner voices, strings at the
beginning with the woodwinds join in mm.13)27
[See Figures 2.1 and 2.2].
Figure 2.1: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.20
27
Edwards, “A Palimpsest of Mozart in Schubert’s Symphony No. 5”, 20.
10
Figure 2.2: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.21
Mozart’s mm.16-22 and Schubert’s mm.19-25 show the similar elaborations of the
harmony. They feature the tonicization of dominant by the diminished seventh built
upon its leading-tone. Dialogues also appear between families--The winds against
strings in Mozart while the flute against the first violin in Schubert28
[See Figure 2.3].
28
Ibid., 22.
11
Figure 2.3: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.23
In Mozart’s mm.38-42 and Schubert’s mm.19-23, Schubert uses the same
harmonic progression and bass line simultaneously as Mozart does. This sounds like
Schubert paraphrased Mozart’s work29
[See Figure 2.4].
Figure 2.4: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.31
29
Ibid., 30.
12
In addition to the similarity between the harmonic progression, the melodic figures
in Mozart’s mm.70-72 and Schubert’s mm.3-5 show even a greater sense of
resemblance, both in terms of the melodic contour and the way of how they orchestrate
these passages. Mozart starts with the first violin on the first beat and descends on the
off-beat of the third beat to link to the second half of the secondary theme-group.
Likewise, Schubert starts with the first violin in the second beat to introduce the first
theme30
[See Figure 2.5].
Figure 2.5: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.31
30
Ibid.
13
Schubert paraphrases two contrasting passages from Mozart’s work into his first
theme. This theme shares a similar harmonic progression in mm.5-14 (I-V6-IV6-I64)
with the transition in mm.28-33 (and also the second theme in mm.71-77) in the fourth
movement of Mozart [See Figures 2.6 and 2.7].
Figure 2.6: George Edwards A Palimpsest of Mozart in Schubert’s Symphony No.5 P.28
15
Chapter 3:
Analysis of the second, third and fourth movements
3.1: Second movement
Exposition Development Recapitulation
Bar
Section
1
1st
theme
20
Transition
37
2nd
theme
53
74
1st
theme
90
Transition
108 123
2nd
theme
Key Eb Bb Bb Bb Eb Eb Eb
Table 3.1: Mozart’s Symphony No.40 second movement segmentation chart
Part A1 Part B1 Part A2
Bar
Section
1
Theme
A1
9
Theme
A2
18
Theme
A1’
24
Theme B
67
Theme
A1
75
Theme
A2
84 141
Theme
A1
Key Eb Eb Eb Cb b
g,
Unstable
Eb Eb Eb
Part B2 Part A3
Bar
Section
90
Theme B
118
Theme
A1
128 141
Coda
Key Gb f#
d
Unstable
Eb Eb
Table 3.2: Schubert’s Symphony No.5 second movement segmentation chart
Both second movements begin in E-flat major in 6/8 time with an anacrusis.
However, there are plenty of differences between the two movements such as the form,
phrase, texture, orchestration, harmony and typical characteristics.
16
Mozart’s one is in sonata form. The exposition requires repeating as it does in
the first movement. The development and recapitulation needs to repeat at the end. On
the other hand, Schubert’s one is in ABABA form with a coda. After the first themes,
the two composers apply different methods. In Mozart’s one, the transition begins in
mm.20 and the second theme begins in mm.37 in E-flat major. On the other hand, in
Schubert’s one, Theme B follows Theme A in mm.23.
Compare and Contrast
Theme A of the two works
Both of them contain a repeated Theme A in the first section. In Mozart’s work,
the Theme A refers to its exposition; while in Schubert’s it is the Part A1. The Theme
A1 of Mozart is comprised of two parts, each of four measures long. It is built up in
layers from the low strings to the high strings with the supporting horns [See Figure
3.1]. The theme repeats with the first violin as a counter melody and the woodwinds
embellish in mm.17-18 as an extension [See Figures 3.2 and 3.3].
Figure 3.1: Mozart Symphony No.40 2nd
movement mm.1-8
17
Figure 3.2: Mozart Symphony No.40 2nd
movement mm.7-16
Figure 3.3: Mozart Symphony No.40 2nd
movement mm.17-19
Schubert, however, adopts a different method. The Theme A is in rounded binary
form. The Theme A1 begins with the warm strings in chorale style to extract the
maximum warmth and richness from the instruments.31
The winds double the melody
and provide rich accompaniment in mm.5-8 [See Figures 3.4 and 3.5]. In the Theme A2
section, it includes a counterpoint between the main melody by the first violins, flute
and first oboe against the countermelody by the second violins, violas and second
bassoon [See Figure 3.6]. In the Theme A1’ section, the main melody by the violins is
an octave higher against the flute and oboes in canon [See Figure 3.7].
31
Foglesong, “Schubert Symphony No.5”, 21
18
Figure 3.4: Schubert Symphony No.5 2nd
movement mm.1-4
Figure 3.5: Schubert Symphony No.5 2nd
movement mm.5-8
19
Figure 3.6: Schubert Symphony No.5 2nd
movement mm.7-13
Figure 3.7: Schubert Symphony No.5 2nd
movement mm.14-20
20
Development section from Mozart
Both composers show contrasting characteristics in different sections. In the
development section of Mozart, it contains various secondary dominant and chromatic
harmonies. The melodic figures show the alternation between strings and woodwinds
[See Figure 3.8]. In mm.53-62, Mozart uses a chromatic ascending bass line from note
B-flat to F [See Figure 3.9]. In mm.67, it even shows up with a series of circle of fifth
with many chromatic altered notes, these are often regarded as Mozart’s favorites. The
octave-doubled violins form broken tritones in descending sequence [See Figure 3.10].
Figure 3.8: Mozart Symphony No.40 2nd
movement mm.53-60
21
Figure 3.9: Bass line chart from Mozart Symphony No.40 2nd
movement mm.55-62
Figure 3.10: Mozart Symphony No.40 2nd
movement mm.67-68
Recapitulation from Mozart
In the transition from the recapitulation of Mozart, the second phrase of the first
theme reappears in mm. 94-96 [See Figure 3.11]. In Mozart’s work, sometimes he
would reuse the materials of previous sections, so as to create a sense of unity, and to
some degrees, a surprise to the audience.
22
Figure 3.11: Mozart Symphony No.40 2nd
movement mm.94-96
Theme B from Schubert
The theme B of Schubert contains numerous typical Schubert characteristics. In
mm.24, it begins with the Neapolitan of the previous section, i.e. an F-flat major triad
(IV in C-flat major, bIIb in E-flat major), and moves to the dominant seventh of C-flat
major in mm.26. After the three-bar preparation, it arrives at the tonic of C-flat major in
perfect cadence, which is the flat six of E-flat major. The second violins and violas
provide simple piano-like accompaniment32
[See Figure 3.12]. In mm.34, it modulates
to B minor, which is the enharmonic equivalent of C-flat minor (which does not
existed), as a parallel modulation. In doing so, Schubert can leave off some of the
unnecessary accidentals while compared to a modulation to C-flat minor, which
supposedly needs to include unwanted double-flats in the key signature [See Figure
3.13].
32
Ibid.,23.
23
Figure 3.12: Schubert Symphony No.5 2nd
movement mm.24-28
Figure 3.13: Schubert Symphony No.5 2nd
movement mm.34-38
24
Theme A1 in Part A2 from Schubert
Before the second appearance of Theme B, Theme A1 returns to E-flat minor
instead of major in mm.84-89. Such change in key provides an entire different mood
and emotion [See Figure 3.14]. Schubert was known as providing unexpected surprises
to the audience with different harmonies.
Figure 3.14: Schubert Symphony No.5 2nd
movement mm.84-89
25
Schubert’s extended section
In Mozart’s work, the movement ends in E-flat major after the recapitulation of the
second theme. On the contrary, Schubert extends the movement with a coda in mm.128
after the Theme A1 in Part A3. It begins with an interrupted cadence to the C-flat major
triad. The movement ends with a warm E-flat major triad by the tutti[See Figure 3.15].
Figure 3.15: Schubert Symphony No.5 2nd
movement mm.125-141
26
3.2: Third movement
Menuetto Trio
Bar
Section
1
Theme A1
15
Theme A2
28
Theme A1’
43
Theme B1
61
Theme B2
69 84
Theme B1’
Key g Bb G G G G
Table 3.3: Mozart’s Symphony No.40 third movement segmentation chart
Menuetto Trio
Bar
Section
1
Theme A1
27
Theme A2
57
Theme A1’
89
Theme B1
105
Theme B2
121 128
Theme B1’
Key g Bb G G d C G
Table 3.4: Schubert’s Symphony No.5 third movement segmentation chart
Comparisons of both Minuets
Contrast of dynamics
The two composers have very different approaches in handling dynamics. Mozart
requires the entire Menuetto to be performed in forte with determined and darker
manner, except mm.36-42, which needs to be played in piano with delicate and calm
mood [See Figure 3.16]. On the other hand, Schubert decides to provide more dynamic
contrast. The music changes alternatively between loud and soft passages. For example,
the triadic melody in the beginning marks forte in a strong and aggressive manner in
mm.1-4, followed by a soft passage (mm.5-8) occasional use of some accents [See
Figure 3.17]. It moves to the gentle Theme B later in mm.27 [See Figure 3.18]. The
music becomes louder in mm.51 to prepare the reappearance of Theme A[See Figure
3.19].
27
Figure 3.16: Mozart Symphony No.40 3rd
movement mm.36-42
Figure 3.17: Schubert Symphony No.5 3rd
movement mm.1-8
28
Figure 3.18: Schubert Symphony No.5 3rd
movement mm.27-34
Figure 3.19: Schubert Symphony No.5 3rd
movement mm.51-56
29
Contrast of orchestrations
The orchestrations of the two Minuets are different. The melody in Mozart’s
Section A1 is assigned to the violins and flute. The other instruments provide simple
accompaniment figures [See Figure 3.20]. Section A2 contains downward melodic
sequences in the flute, oboes, violas, cellos and double basses part, which played the
theme from Section A1 against the counter melody in the violins and the bassoons [See
Figure 3.21]. Section A1 recapitulates in a canonic manner by the flute, first oboe, first
bassoon and first violins against the second oboe, second bassoon and second violins
[See Figures 3.21 and 3.22]. Interestingly, Mozart uses the whole orchestra in the
Minuet except in mm.36-39, in which he omits the strings and horns [See Figure 3.16].
Figure 3.20: Mozart Symphony No.40 3rd
movement mm.1-6
30
Figure 3.21: Mozart Symphony No.40 3rd
movement mm.15-21
Figure 3.22: Mozart Symphony No.40 3rd
movement mm.29-35
31
Schubert tends to show the contrast of timbre and mood between families and
instruments with dialogues and dynamic changes. The first theme in mm.1-4 from
Section A1 is played by the entire orchestra in octaves unison. The melody in mm.5-8 is
only played by the first violins, while the rest of the strings play the accompaniment
[See Figure 3.17]. Rather than having everyone playing all the time, in Section A2,
Schubert emphasizes more on individual lines. For example, Section A2 begins with a
dialogue between the first violins and the lower strings, while the second violins and
the violas play a simple accompaniment pattern [See Figure 3.18]. The woodwinds are
introduced later, first with the oboe, and then the first violin part is octave doubled by
the flute. Interestingly, Schubert transfers the sustaining line of the lower strings to the
bassoon by a G pedal, so as to prepare the lower string entrance later in mm.39. The
texture gradually gets thicker with the first violins and horns coming in from mm.43.
The first oboe gives gentle answer to the first violins [See Figure 3.23]. The entire
orchestra plays together loudly in mm.51 [See Figure 3.19]. In Section A1’, the melody
is transferred into the lower strings, while other upper strings and the oboe part serve as
an accompaniment in mm. 71. The entire orchestra suddenly explodes aggressively in
mm.75 [See Figure 3.24].
32
Figure 3.23: Schubert Symphony No.5 3rd
movement mm.35-46
Figure 3.24: Schubert Symphony No.5 3rd
movement mm.69-79
33
Common point: Similar harmonic progression
In Schubert’s work, descending thirds sequence is applied in mm.19-21 [See
Figure 3.25].It contains strong relationships between the tonic and the dominant. It is
similar to Mozart’s one (mm.11-13) [See Figure 3.26].The melodic phrases of both
works are descending chromatically, and the harmonic progressions are formed by
plenty of secondary chords.
Figure 3.25: Schubert Symphony No.5 3rd
movement mm.19-22
34
Figure 3.26: Mozart Symphony No.40 3rd
movement mm.11-14
Common point: Reuse of the phrases from previous section
The common point of two composers in their Minuets is that they reuse the
phrases from previous section in the later section. Mozart reuses the theme from
Section A1 (mm.1-3) with sequences in Section A2 (mm.15-23) [See Figures 3.20 and
3.21]. Schubert reuses the phrase by the violins in the later part of Section A2
(mm.51-52) and assigns the first violins, flute and first oboe with sequences in Section
A1’ (mm.61-66). The flute and first oboe even double the phrase in dialogues [See
Figures 3.19 and 3.27]. This shows that Schubert is not only influenced by Mozart to
reuse the materials in sequences, he takes one more step to alternates the phrase with
different instruments.
35
Figure 3.27: Schubert Symphony No.5 3rd
movement mm.61-66
Scherzo more than a Menuetto from Schubert
Although Schubert states the third movement as a Menuetto, the tempo marked
Allegro molto that suggests a lively and exciting mood. It is rather in the manner of
Scherzo and should be counted in one.
Comparisons of both Trios
Dynamics and textures
The dynamics usage in the Trios of both composers is mostly soft. In Mozart’s trio
he only uses forte occasionally. For instance, mm.52-54 and mm.76-78 are examples of
it [See Figures 3.28, 3.29 and 3.31]. Both of them use homophonic texture.
36
Orchestration
One of the biggest differences between the two compositions is the way of how
they orchestrate their works. Mozart tends to show the contrast of timbre by using the
instruments from different families to play in dialogues. For example, the strings begin
from mm.43-48 and stop, and the woodwinds continue from mm.49-56 [See Figures
3.28 and 3.29]. The low strings alternates with the winds in mm.61-64 [See Figure
3.29]. The horns join the strings in mm.69 [See Figure 3.30]. The only moment that the
full orchestra (except the bassoons) plays together is in mm.83-84 [See Figure 3.31].
Overall, the texture is thin.
Figure 3.28: Mozart Symphony No.40 3rd
movement mm.43-53
37
Figure 3.29: Mozart Symphony No.40 3rd
movement mm.54-64
Figure 3.30: Mozart Symphony No.40 3rd
movement mm.65-74
38
Figure 3.31: Mozart Symphony No.40 3rd
movement mm.75-84
In a traditional trio, composers rarely use the whole orchestra. However, Schubert
does not follow the tradition. In his Trio, he has used all the instruments except the
second oboe. In mm.89-96 of Theme B1, the first violins and the first bassoon play the
theme in octave. The simple dance-like accompaniment patterns in the strings provide
moving motion with arpeggios in the second violins and sustained notes in the low
strings [See Figure 3.32]. The theme repeats with the flute and first oboe in mm.97-104.
The bassoons and horns accompany with sustained harmony [See Figures 3.32 and
3.33]. In mm.105-109 of Theme B2, the first violins and first bassoon state the melody
with the answer from flute and first oboe in dialogues [See Figures 3.33 and 3.34]. This
39
trio contains serene orchestration with unruffled mood of simplicity.33
Overall, the
texture is rather thick.
Harmonic Structure
There are several similarities and differences in harmonic structures. Both of them
have parallel major modulation, i.e. from G minor to G major. However, Mozart begins
Theme B2 in the dominant seventh of G major and continues with secondary dominant
from mm.61-68 [See Figures 3.29 and 3.30]. On the other hand, Schubert starts Theme
B2 in mm.105 in the minor dominant key of G major, i.e. D minor [See Figures 3.33
and 3.34]. This is rather surprising as the tradition mostly begins in dominant seventh in
the next Section B. This shows that Schubert often uses surprising keys to provide
attractive moment and break through the traditional rules. It modulates to C major in
mm.111, and Theme B1 recapitulates in tonic in mm.121 [See Figures 3.34 and 3.35].
33
Ibid.,27.
40
Figure 3.32: Schubert Symphony No.5 3rd
movement mm.89-97
Figure 3.33: Schubert Symphony No.5 3rd
movement mm.98-107
41
Figure 3.34: Schubert Symphony No.5 3rd
movement mm.108-117
Figure 3.35: Schubert Symphony No.5 3rd
movement mm.118-128
42
3.4: Fourth movement
Exposition
Bar
Section
1
1st theme
32
Transition
71
2nd
theme
101
Closing theme
117
Codetta
Key g g Bb Bb Bb
Development Recapitulation
Bar
Section
125
207
1st theme
222
Transition
247
2nd
theme
277
Closing theme
301 308
Codetta
Key Unstable g g g G g
Table 3.5: Mozart’s Symphony No.40 fourth movement segmentation chart
Exposition
Bar
Section
1
1st theme
47
Transition 1
81
2nd
theme
113
Closing theme
127
Codetta
Key Bb bb F bb F
Development Recapitulation
Bar
Section
155
239
1st theme
285
Transition 1
323
2nd
theme
355
Closing theme
369 396
Codetta
Key Unstable Bb bb Bb Eb Bb
Table 3.6: Schubert’s Symphony No.5 fourth movement segmentation chart
Mozart uses sonata form in the fourth movement. The exposition requires
repeating as it does in the first and second movements. The development-recapitulation
needs to repeat at the end as it does in the second movement. Similarly, Schubert’s
fourth movement is in sonata form but with a rondo-like theme.
43
Comparison of Expositions
First theme in two works
The first theme of Mozart is in four-bar phrase and is divided into two sections. It
is in “repeated” binary form. In the first phrase from mm.1-4 of the first section, the
first two bars begin with the soft Mannheim rocket by the first violins with the soft
strings and bassoons accompaniment. The other instruments then join in and the tutti
suddenly turns loudly with sharp dynamics contrast. In the second phrase from mm.5-8,
it shows up like an answer of the first phrase which does the same method as before
[See Figures 3.36 and 3.37]. The first two phrases repeat directly in mm.9-16. The first
phrase from mm.17-20 of second section begins with the loud tutti octaves unison on
note D with the soft strings answer twice. In the second phrase from mm.21-24, it is
taken from the second phrase of the first section directly [See Figure 3.38]. The first
two phrases repeat directly in mm.25-32 [See Figure 3.39]. The whole first theme is
comprised of great dynamics contrast between the strings and the tutti.
44
Figure 3.36: Mozart Symphony No.40 4th
movement mm.1-7
Figure 3.37: Mozart Symphony No.40 4th
movement mm.8-15
45
Figure 3.38: Mozart Symphony No.40 4th
movement mm.16-24
Figure 3.39: Mozart Symphony No.40 4
th movement mm.25-32
46
Schubert’s first theme is rather contrasting in comparison to Mozart’s one. It
contains five sections in rondo form (ABA’BA’). Mm.1-8 from the first section (A)
contains two four-bar phrases. It begins with the soft first violins on the spirited
rondo-like theme with the light strings accompaniment. Interestingly, mm.1 begins with
a B-flat major chord in first inversion instead of root position. This is used to prevent
the material becoming too overly foursquare.34
Such practice is rare in tradition, and it
shows that Schubert takes one more step to show his creativity. It ends in the perfect
cadence in the secondary dominant key [See Figure 3.39]. In mm.9-16, the second
violins and flute join in the melodic role which the flute and the first violins are an
octave higher. The first phrase is a direct repetition of mm.1-4, and the second phrase
ends in the perfect cadence in the tonic key of B-flat major [See Figure
3.40].Surprisingly, the theme from the second section (B) is developed by the tail of the
rondo-like theme. Such composition technique resembles Mozart’s method, for
example, mm.21-24 in the fourth movement is taken directly from its mm.5-8 [See
Figures 3.36-3.38]. This can reveal the connections and relationships between the
themes. In theme A2, it begins with the violins only, and the flute and first oboe join in
mm.21 in a gentle rocking canonic manner with the soft low strings and bassoons
accompaniment [See Figure 3.41]. It gradually gets louder in mm.26 and the tutti turns
34
Ibid.,28.
47
to forte without canonic dialogues. It is notable that the chromatic descending figures in
mm.28 and 30 from the bassoons and violas are as same as mm.8 [See Figures 3.40 and
3.42]. Schubert not only shows the connections and relationships between the themes,
but also applies the same accompaniment figures throughout the movement. Mm.34-46
is the third section (A’), the fragment of the rondo-like theme recapitulates quietly. It
gradually gets louder in mm.37-38 and the tutti turns to forte with the winds sustaining
long notes and tremolo violins. The low strings extend the first two bar of the
rondo-like theme twice [See Figure 3.43]. The second and third sections require
repetition again. This is similar to the Mozartean method, which the first theme repeats
in a “repeated” binary form, i.e. AABB.
Figure 3.40: Schubert Symphony No.5 4th
movement mm.1-9
48
Figure 3.41: Schubert Symphony No.5 4th
movement mm.10-21
Figure 3.42: Schubert Symphony No.5 4th
movement mm.22-32
49
Figure 3.43: Schubert Symphony No.5 4th
movement mm.33-43
Transition in two works
In Mozart’s one, mm.32-70 is the transition. It is divided into seven sections and in
the style of Sturm und Drang35
with strong intensity and emotions. All sections contain
sequential figures with dialogues between instruments and families. Mm.32-36 is the
first section, the violins play in unison with the chordal accompanied figures by the
other instruments. It is a sequential passage [See Figures 3.43 and 3.44].Mm.37-40 is
the second section, it is a repeated two-bar phrase with alternations of higher notes in
the mm.40 [See Figure 3.45]. Mm.41-44 is the third section, the violins plays with
ascending arpeggios with four repeated notes on the second beat, this pattern is
35
Heartz and Brown, “Sturm Und Drang.”
50
repeated four times. The circle of fifths is one of the Mozart’s favorites [See Figure
3.45]. Mm.45-48 is the fourth section, the oboes join with the violins in mm.45 and the
flute comes in an octave higher in mm.46. The sequences are in descending thirds order
[See Figures 3.45 and 3.46]. Mm.49-55 is the fifth section, the violas, cellos and double
basses take the melodic role. The other instruments accompany with chordal figures
[See Figures 3.46 and 3.47]. Such practice is similar to the first section of the transition.
The remarkable feature is that the first section is formed with descending sequence [See
Figures 3.43 and 3.44]. On the other hand, in the fifth section, the melodic instruments
play with the descending sequences while the accompanied instruments play with an
ascending contour. As the contour expands in opposing direction, tension can be
increased easily. This shows that Mozart not only repeats his compositional method but
also does something special on it [See Figures 3.46 and 3.47].Mm.56-64 is the sixth
section, the first and second violins play in octave unisons and alternates in descending
thirds sequential dialogues with the low strings and bassoons in octave unisons. The
other winds accompany with sustain notes [See Figures 3.47 and 3.48]. Mm.65-70 is
the seventh section, the violins play in unison with ascending arpeggios with four
repeated notes on the second beat. Such practice is similar to the third section of the
transition. However, it is alternated with the F major triad and E diminished triad
instead of applying circle of fifths as the third section. The violins play an octave higher
51
in mm.67-68 than mm.65-66. Mm.69-70 is formed by a decisive F major triad which is
ready to modulate to the relative key of G minor, B-flat major, in perfect cadence [See
Figure 3.49].
Figure 3.44: Mozart Symphony No.40 4th
movement mm.33-38
Figure 3.45: Mozart Symphony No.40 4th
movement mm.39-45
52
Figure 3.46: Mozart Symphony No.40 4th
movement mm.46-51
Figure 3.47: Mozart Symphony No.40 4th
movement mm. 52-57
53
Figure 3.48: Mozart Symphony No.40 4th
movement mm. 58-63
Figure 3.49: Mozart Symphony No.40 4th
movement mm. 64-61
54
Schubert’s transition is from mm.47-80, it is divided into three sections and in
fortissimo. The first section is from mm.47-60, it modulates from B-flat major to B-flat
minor immediately after the first theme. Such attacca minor mode creates contrasting
mood and raise the intensity. This also shows the similar mood against the style of
Sturm und Drang from Mozart. Therefore, resemblance between two works is shown.
Mm.47-50 contains the violins, flute and oboes in octave unisons with ascending
arpeggio. The horns and bassoons play with sustained notes and the low strings play
with agitated tremolos [See Figure 3.50]. In mm.51-54, the violins alternate with
ascending scales in dialogues against the cellos and double basses which play
descending scales [See Figures 3.50 and 3.51]. This method is similar to Mozart’s sixth
transition [See Figures 3.47 and 3.48]. Mozart requires the violins and low strings to
play the descending scales alternatively, while Schubert expands the contour in
opposing direction. Mm.55-58 is formed by C half-diminished chord. The violins play
in syncopations with the accents by flute, oboes and horns. The bassoons and low
strings play in two-bar phrase which the second phrase varied with repeated notes.
Mm.59-60 is a perfect cadence in F major with secondary dominant function [See
Figure 3.51].
55
The second section begins in mm.61 and ends in mm.75. It modulates to F minor
immediately as an attacca minor mode, which is the same as before. This section is
basically a sequence from the first section, with some of the parts varied--the cellos and
double basses in mm.66 and 68 play ascending instead of descending scales [See Figure
3.52]. This shows that Schubert is not likely to copy all of the elements in the
sequential passages.
Mm.76-80 is the third section. It contains ostinatos in the bass voice, a repeated
pedal note on C by the horns, and agitated chords in the upper melody. Alternating with
the dominant sevenths and F minor triads, this passage ends with a determined C major
triad, which is ready to modulate F major in perfect cadence [See Figure 3.53].Such
practice is similar to Mozart’s one. Mozart alternates the F major triad and E
diminished triad as tonic and leading tone relation while Schubert adopts in tonic and
dominant relation.
56
Figure 3.50: Schubert Symphony No.5 4th
movement mm.44-52
Figure 3.51: Schubert Symphony No.5 4th
movement mm.53-64
57
Figure 3.52: Schubert Symphony No.5 4th
movement mm.65-74
Figure 3.53: Schubert Symphony No.5 4th
movement mm.75-86
58
Second theme in two works
The second theme of Mozart’s one is in B-flat major and is basically divided into
two sections. The first section is introduced by the calm first violins with the soft
second violins and violas accompaniment [See Figures 3.53 and 3.54]. The phrase
repeats in mm.79, it includes descending half-step chromatics in mm.82 without
interrupting the beauty and smoothness of the lyrical melody. The first oboe and the
first bassoon are used as a bridge to link the first section to the second in mm.85-86.
The first oboe takes the melodic role with several rhythmic variations of the theme. The
first bassoon, celli and double basses accompany calmly. The violins echo with
descending scales after the descending figure in the first oboe in mm.89 [See Figure
3.55].In traditional composing practice, the audience may expect a repetition of the
melody as it does before. However, Mozart adopts another approach. He turns it into a
smooth harmonic progression by the tutti in mm.95-100 [See Figures 3.56 and 3.57].
The texture grows broader than the previous phrases. The chromatic descending idea is
applied in nearly all voices in this section. Such surprise shows the creativity of Mozart.
59
Figure 3.54: Mozart Symphony No.40 4th
movement mm. 72-80
Figure 3.55: Mozart Symphony No.40 4th
movement mm. 81-89
60
Figure 3.56: Mozart Symphony No.40 4th
movement mm. 90-98
Figure 3.57: Mozart Symphony No.40 4th
movement mm.99-105
61
Similar to Mozart, Schubert’s second theme is also introduced by the first violins.
This F major theme is lyrical and with spirit. It includes ascending scales to connect to
the next phrase and rhythmic variations. The second violins provide simple
accompaniment [See Figure 3.53]. In mm.89, the oboes join with countermelodies and
the first bassoon doubles the low strings accompaniment with varied note value. In
mm.97, the flute doubles the melody and the first violins play an octave lower. The first
horn provides simple off-beat accompaniment [See Figures 3.58 and 3.59]. Overall, the
texture of the second theme grows thicker gradually, but the soft dynamics still provide
a peaceful emotion.
Figure 3.58: Schubert Symphony No.5 4th
movement mm.87-97
62
Figure 3.59: Schubert Symphony No.5 4th
movement mm.98-108
Closing theme in two works
The closing theme of Mozart is from mm.101-117. It is divided into two sections
with similar patterns. The first section is from mm.101-109. The unison violins come in
suddenly and loudly after the soft and peaceful second theme. The musical figures and
orchestration are similar to the first section of the transition [See Figure 3.57]. The
2-bar phrase by the tutti repeats twice and moves to the second section with a perfect
cadence [See Figures 3.59 and 3.60]. The second section is from mm.109-117. The
winds dismiss from mm.109-113 and the strings play softly in an octave lower (except
the second violins even plays two octaves lower) than before. The violins replace the
repeated note figures by the smooth turn figures. The first violins play an octave higher
in mm.111 than mm.109, it returns to an octave lower in mm.113. The second violins
63
only join the first violin in mm.111. The winds rejoin in mm.114 and the tutti turns loud
immediately [See Figures 3.60 and 3.61]. This shows that even for the same music
materials, Mozart has applied various orchestration techniques to make it more
interesting, for example, by transposing the thematic idea and adding the winds to
articulate the harmonic rhythm. He also uses the similar musical figures and
orchestration from previous sections to show the connection of the piece.
Figure 3.60: Mozart Symphony No.40 4th
movement mm.106-111
64
Figure 3.61: Mozart Symphony No.40 4th
movement mm.112-117
Schubert’s closing theme is from mm.113-126, it modulates to B-flat minor which
is a mixed subdominant of F major. Attacca minor mode is adopted again. This has
entirely moved to another unexpected harmonic world, because B-flat minor does not
belong to F major [See Figure 3.62]. In tradition, the closing theme usually shares the
same key with the second theme.36
Both of woodwinds and violins take the important
melodic role.
36
Burnette, "Web Study Guides: MUS 312 Form & Analysis : G. The Binary Principle: Sonata-Allegro Form"
65
Figure 3.62: Schubert Symphony No.5 4th
movement mm.109-120
Codetta in two works
The codetta of Mozart’s is from mm.117-124. It contains 3 almost direct repeated
sequences (except the syncopation by the second violins and violas in mm.117). The
low strings alternate their ascending scales with the broken chords by the first violins.
This shows that Mozart not only requires the instruments take turn in dialogues but also
requires alternation with different figures. Second violins and violas play with repeated
quavers and the winds provide simple chordal accompaniment. Mm.123-124 end with
determined perfect cadence in B-flat major [See Figures 3.61 and 3.63].
66
Figure 3.63: Mozart Symphony No.40 4th
movement mm.118-124
The codetta of Schubert is in mm.127-154. It is divided into three sections. The
first section is from mm.127 to 136. In mm.127-130, the soft first violins play with
delightful triplets, accompanied by the soft second violins and violas’ descending
quaver scales. In mm.131-136, the strings play with loud repeated triplets and the winds
play with loud chordal accompaniment [See Figures 3.64 and 3.65]. The second section
is from mm.137 to 146. It uses the same materials as the first section, except that
Schubert adds the soft flute and oboes to support the second violins and violas. The
dynamics of mm.141-146 is raised to fortissimo instead of forte as in the first section
[See Figures 3.65 and 3.66]. The third section is from mm.147 to 154. In mm.147-150,
the tonic triad, F major triad, alternates with the dominant seventh chords. The first and
second violins play the triplet figures in octave unison. This figure is the same as in
67
mm.127, and it last for four bars. The other instruments provide simple quaver
accompaniment. When the music starts to get louder in mm.149-150, the low strings
play with triplets and the winds play with dotted rhythm figures. This is used to
increase the tension for the crescendo. Mm.151-153 is formed by a decisive F major
triad played by the tutti [See Figure 3.66]. Schubert not only writes quasi-sequential
passages, but also varies the rhythmic figures and orchestration in order to show the
differences.
Figure 3.64: Schubert Symphony No.5 4th
movement mm.121-130
68
Figure 3.65: Schubert Symphony No.5 4th
movement mm.131-142
Figure 3.66 Schubert Symphony No.5 4th
movement mm.143-154
69
Comparison of Development sections
In Mozart’s one, the specific features are the chromatics, fugal writings and
orchestrations. In mm.125-132, the strings and woodwinds play the varied Mannheim
rocket theme with all the twelve notes except the pitch-G, i.e. the tonic [See Figure
3.67]. This entire phrase sounds unpredictable because Classical period compositions
rarely use plenty of unresolved chromatics.
Figure 3.67: Mozart Symphony No.40 4th
movement mm.125-132
The key in the entire development section is unstable. It modulates to variety of
keys including foreign keys from G minor, such as F minor (flat-7) in mm.147 and
C-sharp minor (sharp-4) in mm.175 [See Figures 3.69 and 3.73]. Fugal writing is
applied in mm. 147-174. The strings take the main role and the winds accompany with
sustain notes. [See Figures 3.69-3.72] The orchestration in the development is notable.
70
For example, in mm.135-146, the first violins alternate with the woodwinds and the
other strings accompany softly to provide a steady mood [See Figures 3.68 and 3.69].
The woodwinds alternate with the low strings in mm.175-182, the octave violins
accompany with repeated quavers to increase the tension [See Figures 3.73 and 3.74].
This is very useful to show the contrast of tone color of different families. In mm.
161-168, the orchestration is more noteworthy. The strings introduce the fugal subject
from the upper strings to the lower strings (first violins to second violins, then violas to
the low strings) [See Figures 3.71 and 3.72].This can show the layers clearly, as well as
displaying the contrasting tone color within the same family.
Figure 3.68: Mozart Symphony No.40 4th
movement mm.133-141
71
Figure 3.69: Mozart Symphony No.40 4th
movement mm.142-149
Figure 3.70: Mozart Symphony No.40 4th
movement mm.150-156
72
Figure 3.71: Mozart Symphony No.40 4th
movement mm.157-163
Figure 3.72: Mozart Symphony No.40 4th
movement mm.164-190
73
Figure 3.73: Mozart Symphony No.40 4th
movement mm.171-177
Figure 3.74: Mozart Symphony No.40 4th
movement mm.178-187
74
In Schubert’s one, it is mainly developed from the first theme. The four-quaver
rhythmic figure (♪♪♪♪) is the basic pattern. This pattern usually starts with an
anacrusis and ends with a crotchet-quaver rhythmic figure (♪|♪♪♪♪|♩♪).37
It is
formed by ascending stepwise motion, either diatonically (i.e. mm.155, 161, 169) or
chromatically (i.e. mm.186, 190, 194). The entire development section is filled up with
sequences. In the sequential passage in the crotchet-quaver rhythmic figure (♪I♪♪
♪♪I♩♪) from mm.155-172, the first sequence starts from note F in mm.155,
followed by the second sequence from note G in mm.161 and the third sequence from
note E-flat in mm.169 [See Figures 3.75 and 3.76]. In mm.189-197, it shows the
descending third sequence. The first sequence starts from note E-flat in mm.189,
followed by the second sequence from note C in mm.193 and the third sequence from
note A-flat in mm.195 [See Figure 3.77]. This descending thirds sequence idea is often
seen in Mozart’s works. Interestingly, Schubert takes one more step to show the
contrast of tone color in the descending thirds sequence. The low strings alternate the
sequential figures with the first bassoon and the first oboe. In mm.208-210, there is an
augmented sixth chord (Italian sixth) that is extended from the subdominant in first
inversion [See Figure 3.78]. This could also be regarded as an influence by Mozart.38
37
Foglesong, “Schubert Symphony No.5”, 31. 38
Ibid., 32.
75
Figure 3.75: Schubert Symphony No.5 4th
movement mm.155-164
Figure 3.76: Schubert Symphony No.5 4th
movement mm.165-175
76
Figure 3.77: Schubert Symphony No.5 4th
movement mm.188-199
Figure 3.78: Schubert Symphony No.5 4th
movement mm.200-210
77
Comparison of Recapitulations
First theme in two works
In both first themes of the recapitulations, the two composers share the similar
orchestrations and musical elements in their expositions and recapitulations. However,
the structure of the first theme in the recapitulation is different from the exposition. In
Mozart’s one, the exposition repeats in binary form, i.e. AABB. Contrastingly, the
recapitulation does not repeat, i.e. AB.
In Schubert’s one, the exposition repeats in rondo form, i.e.: ABA’BA’. On the
other hand, the recapitulation does not repeat, i.e.: ABA’. This shows that Schubert not
only takes Mozart as reference, he changes the structure of the first theme from rondo
form into rounded binary form.
Transitions in two works
In both transitions of the recapitulation, the composers share the similar
orchestrations and most of the musical elements as in the expositions. However, they
both change the structure. In Mozart’s one, the transition of the exposition includes
seven sections. He omits the second, third and sixth sections in the recapitulation.
Interestingly, he adds two bars in the first section (mm.222-228) of the recapitulation,
omits a bar in the second section (mm.229-234), and composes a new third section
(mm.235-240) [See Figures 3.79-3.82]. In this brand new third section, the first four
78
bars share the similar descending thirds sequential passages as the second section by the
violins in octave unisons. The latter two bars are the extension in descending third
sequence. The other noteworthy feature is that mm.238-240 shares the similar musical
elements and orchestrations as the fourth section (mm.45-48) in the exposition [See
Figures 3.45 and 3.46]. Such similarities can show the relationship between different
sections. In the last section (mm.241-246), the musical elements and orchestrations are
the same as the exposition, except that it has a different modulation--it needs to move to
the second theme in G minor instead of B-flat major smoothly [See Figures 3.82 and
3.83].
Figure 3.79: Mozart Symphony No.40 4th
movement mm.220-225
79
Figure 3.80: Mozart Symphony No.40 4th
movement mm.226-231
Figure 3.81: Mozart Symphony No.40 4th
movement mm.232-237
80
Figure 3.82: Mozart Symphony No.40 4th
movement mm.238-244
Figure 3.83: Mozart Symphony No.40 4th
movement mm.245-252
81
In Schubert’s one, the transition (mm.285-322) is in attacca minor mode from
B-flat major to B-flat minor, and the accompaniment figures are the agitated string
tremolos and sustained notes from the winds. However, all the dialogued scales and
syncopations (which are originally used in the exposition) are omitted. Instead,
Schubert replaces them with a new figuration. For instance, the violins, flute and oboes
alternate the ascending arpeggio in octave unisons with the low strings and bassoons in
mm.285-300. This can show the contrast of tone color by different families [See Figure
3.84]. In mm.301-316, the violins and flute extend the sequence to increase the
intensity of emotion [See Figure 3.85]. In mm.317-322, it continues with the ostinatos
in the bass voice, a repeated pedal note on F by the horns, and agitated chords in the
upper melody again. Alternating with the dominant sevenths and B-flat minor triads,
this passage ends with a determined F major triad, which then serves as the dominant
chord to the new key, i.e. B-flat major [See Figure 3.86].
82
Figure 3.84: Schubert Symphony No.5 4th
movement mm.284-299
Figure 3.85: Schubert Symphony No.5 4th
movement mm.300-318
83
Figure 3.86: Schubert Symphony No.5 4th
movement mm.319-330
Second theme in Mozart
The orchestration is similar to the exposition. However, plenty of melodic figures
are varied. For instance, the melodic figures from mm.251-252 are replaced by an
arched phrase in dotted rhythm instead of an ascending phrase in broken figures [See
Figure 3.83]. The linking figure in mm.254 turns from ascending steps in crotchets to
chromatic ascending scales in quavers. In mm.256-258, melody begins with the
syncopation and follows by a phrase with the note G on the top and chromatic
descending figures at the bottom, while the exposition’s one is an arched chromatic
phrase [See Figure 3.87]. The linking phrase in mm.261-262 is replaced by an
ascending chromatic phrase instead of diatonic phrase [See Figure 3.88]. The second
section of the second theme is from mm.263-276. It has a smooth harmonic progression
84
with chromatics in mm.263-266. The later bars continue with the chromatic melody by
the woodwinds and other instrumental accompaniment [See Figure 3.88]. This
approach is different from before. In the exposition, Mozart begins with the diatonic
melodic phrase, and the chromatic harmonic progression section follows. On the
contrary, Mozart switches two sections in the recapitulation. In the recapitulation, he
begins with the chromatic harmonic progression section, and the diatonic melodic
phrase follows. There is a great usage of chromatic harmony in this section. This can
show the creativity of Mozart. The harmonies also varied, for example, the diatonic
harmony is replaced by the chromatic descending harmony in mm.255-257 [See Figure
3.89].
Figure 3.87: Mozart Symphony No.40 4th
movement mm.253-260
85
Figure 3.88: Mozart Symphony No.40 4th
movement mm.261-268
Figure 3.89: Mozart Symphony No.40 4th
movement mm.269-276
86
Closing theme and codetta in Mozart
Mozart uses similar harmonies and orchestration in the closing theme. Despite of
this, he has made some alterations. For example, he alternates the roles between
instruments. Originally, the second violins play the melodic figures with the first violins
and the violas play the syncopated accompaniment. He exchanges their roles in
mm.286-289. The musical figures are also changed [See Figure 3.90]. In mm.291-292,
the woodwinds’ figures change from minims to crotchets. The first and seconds
alternate the melodic figures in turns instead of staying in unison. There is an extension
of the closing theme in mm.293-300. Mozart also often uses this practice. It contains
agitated ascending scales by the low strings and woodwinds, excited tremolos by the
violins and sustained notes by the horns and woodwinds [See Figures 3.91 and 3.92]. In
the codetta, the characteristics continue as it does in the exposition and the movement
ends in G minor [See Figure 3.93].
87
Figure 3.90: Mozart Symphony No.40 4th
movement mm.284-289
Figure 3.91: Mozart Symphony No.40 4th
movement mm.290-295
88
Figure 3.92: Mozart Symphony No.40 4th
movement mm.296-302
Figure 3.93: Mozart Symphony No.40 4th
movement mm.303-308
89
Second theme, closing theme and codetta in Schubert
In Schubert’s one, the orchestration, melodic figures and harmonies are almost as
same as the exposition. The second theme modulates back to the tonic, B-flat major.
Attacca minor mode is adopted again in the closing theme. It is in E-flat minor, the
mixed subdominant of B-flat major. At last, the codetta ends the movement in B-flat
major. This approach shows that Schubert decides to show the similar relationships
between the exposition and recapitulation.
90
Chapter 4: Results and Discussion
After analyzing and investigating both works, it is interesting to find out that
Schubert’s Fifth Symphony has turned to be highly influenced by Mozart’s Fortieth
Symphony. The typical characteristics of both composers and resemblances of both
compositions are shown. Classical period elements and the evidences of Schubert being
a songwriter could be found in Schubert’s work. Typical characteristics of both
composers, as well as the characteristics of the first movement of Schubert will be
discussed.
Typical characteristics of both composers
In Mozart’s work, it reveals Mozart’s representative harmonic treatments. He is
fond of using the descending thirds sequences and circle of fifth in the sequences. This
shows that he is keen on keeping the music with similar patterns and connections.
Chromaticism in his work can be easily found. The remarkable moment is in the
beginning of the development in the fourth movement. He uses all notes in the
chromatic scale except the tonic G. [See Figure 3.67]. In the second theme of his fourth
movement, he even writes a passage with chromatic harmonic progression only [See
Figures 3.56, 3.57 and 3.88]. His composition technique is fascinating. In the closing
theme of the recapitulation, he usually extends it with new ideas to create differences
against the exposition [See Figures 3.91and 3.92]. Materials and phrases from the
91
previous sections are often reused in new section to create connection within the music
[See Figure 3.21]. His work reveals the classical period characteristics--the Mannheim
rocket and Sturm und Drang in the fourth movement are the typical examples [See
Figures 3.36, 3.43-3.49].
On the other hand, Schubert’s harmonic treatments are known of creating surprise
to the audience. He is keen on using interrupted cadence. He often turns the submediant
chord as a flat six chord in the major tonality (e.g. D-flat major triad in B-flat major
section). In mm.118-133 of the first movement, he uses three interrupted cadence in a
row. It is unlikely to find so many interrupted cadences in a certain passages from other
works [See Figures 4.1 and 4.2].In mm.114-117 of the first movement, a decorated
perfect cadence is applied by the diminished seventh chord on a tonic pedal to the tonic
chord. Such usages of cadences are remarkable [See Figure 4.1]. To succeed the sudden
mood change, attacca minor mode between two linked sections (e.g.: B-flat major to
B-flat major) [See Figure 3.50], parallel modulation with enharmonic equivalent (e.g.:
C-flat major to B minor) [See Figures 3.12 and 3.13] and parallel minor modulation on
the same theme (e.g.: E-flat major to E-flat minor) are used [See Figures 3.4 and 3.14].
In repeated phrase, Schubert sometimes changes the chord into other quality, even only
a single note (e.g.: minor triad to half-diminished triad) [See Figure 4.3]. His favorite
ninth chord can be found easily in his work [See Figure 4.4]. Interestingly, Schubert
92
starts the fourth movement with the tonic in first inversion instead of root position. This
is rather an unconventional harmonic treatment [See Figure 3.40].
Figure 4.1: Schubert Symphony No.5 1st movement mm.114-122
Figure 4.2: Schubert Symphony No.5 1st movement mm.123-131
93
Figure 4.3: Schubert Symphony No.5 1st movement mm.32-42
Figure 4.4: Schubert Symphony No.5 1st movement mm.43-52
94
Resemblances of Mozart’s characteristics in Schubert’s work
In Schubert’s work, it is obvious to find out the resemblances of Mozart’s
characteristics. Schubert is keen on using similar harmonic progression by using
descending thirds sequence [See Figure 3.77], and reusing the phrases from previous
sections [See Figures 3.19 and 3.27]. He steps further by alternating the phrase with
different instruments to create the contrast of tone color [See Figure 3.77]. Schubert
sometimes introduces a new theme based on the previous theme [See Figure 3.41]. He
uses chromatic harmonies to enrich the harmonic color, for example, the augmented
sixth chord, which is an extension of the subdominant chord in first inversion [See
Figure 3.78]. The Mozartean descending bass line can also be seen in the first
movement of Schubert, in which Schubert employs the same bass line but with a new
harmonic progression [See Figures 2.6 and 2.7]. He sometimes alternates in tonic and
dominant relation while Mozart alternates in tonic and leading tone relation. This
reveals the similar relationship of the tonic and other technical chords [See Figures 3.49
and 3.53]. The imitation of Sturm und Drang from Mozart can be found in the
transitions in the fourth movement of Schubert [See Figures 3.50-3.53]. He does not
repeat in the recapitulation in the fourth movement as Mozart does. However, Schubert
even changes the structure of the first theme from rondo form (Exposition) into rounded
binary form (Recapitulation).
95
Classical period elements in Schubert’s work
Apart from the Mozartean resemblances, Classical period elements can be found
in Schubert’s work. In the recapitulation in the first movement, the first theme appears
in the subdominant key, E-flat major instead of the tonic key, B-flat major [See Figure
4.5]. This is not used often in classical works. The typical signature cadential-64 of
Classical works can also be found39
[See Figure 3.4].In the third movement, the G
minor triadic melody in mm.11 shifts to note E-flat, which is the submediant of G
minor (subdominant of B-flat major). This is used to prepare a harmonic progression
towards the B-flat major in the later bars [See Figure 4.6]. The triadic melody and the
relationship of the tonic and submediant show hints of Beethovenian influence.40
39
Ibid., 22. 40
Ibid., 25.
96
Figure 4.5: Schubert Symphony No.5 1st movement mm.43-52
Figure 4.6: Schubert Symphony No.5 3rd
movement mm.11-22
97
Evidences of a song writer in Schubert’s work
It is known that Schubert is the king of German Lied. He had composed over six
hundreds songs. This symphony also reveals his compositional techniques of song
writing. There are three main techniques, 1) equal breath distribution, i.e. balanced
phrase. For instance, the second theme in the first movement is in two four-bar phrases
[See Figure 4.7]; 2) tuneful melody, so that it is easy to hum and remember; and 3)
dramatic mood change, so that the story could be developed. Schubert succeeds to do
so by using harmonic surprise [Please refer to P.91], as well as the big contrast of
orchestration and dynamics [Please refer to P. 26 and 31].
Figure 4.7: Schubert Symphony No.5 1st movement mm.63-73
98
Chapter 5: Conclusion
In music history, it is normal to find similarities in different works, because
composers often take reference to other composer’s work. Composers may even
arrange works that they find inspiring. Orchestral arrangement based on piano
composition is one of the most common ways. Maurice Ravel’s orchestration of Modest
Mussorgsky’s Pictures at an Exhibition is one of the most remarkable examples.
Paraphrase on a particular theme is also usual, for example, Franz Liszt’s Paraphrase
on Handel’s Sarabande from Almira. In quoting existing music, composers may also
change the original style drastically. Tortoises from Saint-Saëns’ The Carnival of the
Animals is an example that modifies Jacques Offenbach’s Orpheus in the Underworld
Overture in a totally contrasting manner. In the original, the mood is very lively in
Can-can dancing style. On the other hand, Saint-Saëns pulls back the tempo to depict
the slow movement of a tortoise. This contrasting style is seems to be humorous and
sarcastic.
The reason for why a composer would take reference from other compositions is
usually because of the admiration of the values of the work. The values can be based on
the styles, moods, characteristics, musical language and central idea. When we
encounter two similar works, instead of criticizing the composer’s lack of creativity (by
99
doing so called plagiarisms41
), we should investigate the reasons behind the similarity.
In June 2006, there was a controversial incident about musical plagiarism. ‘The
Holst Foundation’ and music publishers ‘J. Curwen & Sons’ sued the Hollywood film
music composer, Hans Zimmer. They condemned Zimmer plagiarized the music from
Mars, the Bringer of War from The Planets by Gustav Holst directly into the Battle
from the Gladiator Soundtrack. Zimmer defended himself against the opponents by
claiming that he admired the masterpiece in terms of its musical language.42
Mars, the
Bringer of War from The Planets was used to depict the cruelty and horror of war. The
music is rhythmic and diabolic with intense harsh dissonances.43
In the movie, The
Gladiator, it includes a battle scene between the Roman army and Germanic tribes.
Zimmer was requested to compose a background music for the battle. He found that the
Mars, the Bringer of War from The Planets contained a similar musical language to his
own idea. With this inspiring masterpiece, Zimmer imitated several musical elements
into the Battle from the Gladiator Soundtrack as an admiration to Holst. This example
shows admiring the values of the inspired work are the reason by taking references
from other compositions instead of plagiarizing.
41
“Dictionary” Plagiarism means an actor instance of using or closely imitating the language and thoughts of another author without authorization and the representation of that author's work as one's own, as by not crediting the original author. 42
Beek, “Gladiator Vs Mars - Zimmer Is Sued.” 43
Matthews, “Holst, Gustav.”
100
According to all my results and references, I would rather agree Edwards’s
statement of “Schubert wanted us to think was that he had ‘done something clever’ with
Mozart” than assuming Schubert copied Mozart’s Fortieth Symphony in his Fifth
Symphony. What Schubert did is that he admired Mozart and the value of his Fortieth
Symphony, and then he took Mozart’s compositional techniques as references with
further interpretations and creativities. I wish this thesis can be a reference for all the
scholars and students to prevent misunderstanding that Schubert plagiarized the
masterpiece.
101
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