[PDF] Erin Johnston Thesis Final that of a sonata-rondo (

Form-Functional Manipulations, Deviations, and Re-Contextualizations in the First Movement of Mahler's Fourth Symphony By Erin Johnston Department of Music Research Schulich School of Music McGill University, Montreal August 2018 A thesis submitted to McGill University in partial fulfillment of the requirements of the degree of Master of Arts in Music Theory © Erin Johnston, 2018

1 Abstract Though wide ly recognized as a key fi gure of t wentiet h-century modernism, G ustav Mahler (1860-1911) frequently references classical compositional techniques in many of his symphonic works. In pa rticular, countless authors have observed the prominent classical elements of Symphony No. 4, which are especially notable in its first movement. While a formal analysis of this opening movement does reveal similarities between Mahler's organization and classical structural norms, it also uncovers many compositional strategies that are more characteristic of late-romanticism. For insta nce, whereas many analyz e this movement as a typical first-movement sonata form, its tonal and formal organization more closely resembles that of a sonata-rondo (though this form is typically reserved for finales and the occasional slow movement). Additionally, Mahler plays with his listeners' expectations by incorporating several formal ambiguities that call into question the passages' true functional roles. This thesis presents a form-functional analysis of the first movement from Mahler's Symphony No. 4 with the goal of revealing the similarities and dissimilarities between its formal organization and that of classical works. The theoretical work of William E. Caplin informs the analytical methodology of this project, which centers primarily on an examination of formal functions, allowing for the considerat ion of musical syntax on vari ous hierarchical levels. Ultimately, this project relies on the comparison of typical form-functional organization in classical instrumental works to the events of Mahler's movement with the aim of uncovering his predecessors' influence on the symphony while also revealing the work's relationship to the music of its time.

2 Résumé Bien que généralement reconnu comme étant une figure clé du modernisme du vingtième siècle, Gustav Mahler (1860-1911) fait souvent usage de technique s composi tionnelles classiques dans ses oeuvres symphoniques. La Symphonie n°4 est particulièrement remarquable à cet égard et d'innom brables aute urs ont observé l a forte présence d'éléments classi ques, notamment dans son pre mier mouvement. Bien qu'une ana lyse form elle du mouvement d'ouverture de cette symphonie révèle de nombreuses similitudes entre l'organisation de Mahler et les norm es structurelles classiques, e lle dévoile également un ensemble de pra tique s compositionnelles plus caract éristiques du styl e rom antique tardif . Ainsi, alors que cert ains spécialistes analysent ce mouvement dans la pe rspective d'une forme sonate typi que, l'organisation tonale et formelle relève plus d'une forme sonate-rondo ( forme typiquement réservée aux finales et occasionnellement aux mouvements lents). Aussi, Mahler joue avec les attentes de ses auditeurs en incorporant dans son mouvement de nom breuses ambigüités formelles semant ainsi le doute sur la véritable nature fonctionnelle de ces passages. Cette thèse propose une analyse des fonctions formelles du premier mouvement de la Symphonie n°4 de Mahler. U ne tell e approche permet de mettre e n lumière à la fois les similitudes et les différences entre l'organisation formelle de ce mouvement et celle des oeuvres classiques. Prenant appui sur les trava ux théoriques de Willi am E. Caplin, la mét hodologie analytique de ce projet se concentre essentiellement sur l'analyse des fonctions formelles, ce qui permet d'étudier la synt axe musicale à di fférents niveaux hiérarchique s. En comparant l'organisation des fonctions formelles de ce mouve ment avec celle typique des oeuvres instrumentales classiques il devient alors possible de mesurer à la fois l'inf luence des

3 prédécesseurs sur cette symphonie mais aussi de révéler la relati on de l'oeuvre avec son répertoire contemporain.

4 Table of Contents Abstract.........................................................................................................1 Résumé..........................................................................................................2 Table of Contents..............................................................................................4 Contributions....................................................................................................5 Acknowledgments.............................................................................................6 List of Examples and Figures................................................................................7 Chapter One: Introduction and Literature Review........................................................8 Chapter Two: Classical Form and Mahler..............................................................16 I. Caplin's Classical Form: A Brief Summary...................................................16 II. Required Adjustments to Classical Form in its Application to Mahler's Music.........20 Chapter Three: Exposition................................................................................28 I. Analysis of the Thematic Introduction and the Main Theme................................29 II. Analysis of the Transition and the Subordinate Theme Complex........................45 III. "Failed" Expositional Repeat and Overall Form............................................55 Chapter Four: Development................................................................................64 I. Classical Developmental Techniques as Outlined in Classical Form......................65 II. Analysis of the Development...................................................................70 Chapter Five: Recapitulation and Coda, and Analysis of Overall Form .............................93 I. Analysis of the Recapitulation...................................................................93 II. Analysis of the Coda............................................................................108 III. Consideration of the Movement's Overall Form, and Conclusion........................117 Bibliography.................................................................................................121

5 Contributions All Mahler 4/I short-score examples are transcribed by Seth Monahan, and are employed here with his permission. Transcription of Mahler, Symphony No. 4/I © 2008 Seth Monahan

7 List of Examples and Figures Ex. 2.1: mm. 54-73, evaded critical cadential moment at end of subordinate theme complex 24 Ex. 3.1: mm. 1-4, retrospective reinterpretation of opening tonality 31 Ex. 3.2: mm. 3-7, first main theme 33 Ex. 3.3: mm. 7-18, second main theme, or main theme's B section 37 Ex. 3.4: mm. 21-34, end of main theme group and beginning of transition 41 Ex. 3.5: mm. 32-39, non-modulating transition 47 Ex. 3.6: mm. 37-62, subordinate theme complex 49 Ex. 3.7: mm. 58-74, ambiguous material following subordinate theme group 53 Ex. 3.8: mm. 71-94, return to introduction and main theme material 56 Ex. 4.1: mm. 102-108, opening of the development section 70 Fig. 4.1: Tonal organization of Mahler's development 71 Ex. 4.2: mm. 208-223, C-major standing on dominant toward the end of the development 73 Ex. 4.3: mm. 109-124, E minor thematic unit, re-contextualized main theme material 76 Ex. 4.4: mm. 125-169, compound-compound sentential structure with fragmentation 79 Ex. 4.5: mm. 165-188, compound periodic structure in Mahler's development 86 Ex. 4.6: mm. 187-200, return of main theme opening, re-contextualized 88 Ex. 4.7: mm. 199-211, altered repeat of mm. 187-199, leading into standing on dominant 91 Ex. 5.1: mm. 224-240, blurred formal boundary between development and recapitulation 94 Ex. 5.2: mm. 238-252, return of main theme's B section, to recapitulation's transition 101 Ex. 5.3: mm. 250-266, non-modulating transition with additions, to subordinate theme 103 Ex. 5.4: mm. 278-298: subordinate theme evaded cadence, retransition with new melody 106 Ex. 5.5: mm. 295-349, the coda 109 Ex. 5.6: mm. 91-101, closing section followed by breath mark before onset of development 119

8 Chapter One: Introduction and Literature Review Widely recognized for the incredible complexity and considerabl e breadth of his symphonic works, Gustav Mahler (1860-1911) ranks among the most distinguished composers and conductors of the late nineteenth and early twentieth centuries. Though known as a key figure of twentieth-century modernism, Mahler has explicitly stated that many of his works rely on classical conventions, particularly within their formal organization. The composer describes his Third Symphony, for instance, as having "the same scaffolding, the same basic groundplan that you'll find in the works of Mozart and, on a grander scale, of Beethoven."1 The influence of classical formal practices is particularly evident in Symphony No. 4. This thesis presents a form-functional analysis of the first movement from the Fourth Symphony with the goal of revealing the similarities and dissimilarities between Mahler's formal organization and that of classical composers. The analytical methodology employed in these analyses is informed by the work of Will iam Caplin. Caplin is best known for his treatise Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven (1998), which details typical form-functional organization in the musical syntax of cla ssical forms as empl oyed by these three composers. The analyses below rely on the principle of comparison; by juxtaposing expected classical formal structures with the events of Mahler's symphonic movement, their similarities and differences become apparent. As Caplin explains in an article on romantic closure, "it is not a question of using the classical norms to show what is wrong with Romantic music, but rather to highlight what is different about it."2 The application of the principles from Caplin's formal theory to this first movement reveals its 1 Natalie Bauer-Lechner, Recollections of Gustav Mahler, ed. Peter Franklin, trans. Dika Newlin (London: Faber Music, 1980), 66. 2 William E. Caplin, "Beyond the Classical Cadence: Thematic Closure in Early Romantic Music," Music Theory Spectrum 40, no. 1 (2018): 25.

9 classically conventional formal elements, while also uncovering its late-romantic compositional features. Though much bi ographical work has been done in Mahler research, the the oretical discussion of Mahler's compositions among Anglo-American music theorists has only recently risen to its current popularity. The present trend of Mahler studies has benefitted greatly from the substantial writings of German scholars, many of which have since been translated into English. Constantin Floros's Gustav Mahler: The Symphonies (1985), in particular, has provided many researchers with significant form al, hermeneutic a nd biographical information that act as a starting point for new work in the field. Reviewer Serge Gut commends Floros for presenting the first global analysis of Mahler's symphonies while also taking into consideration the interplay between compositional, semantic and stylistic facets of Mahler's symphonic works.3 Floros's book has supplied its readers with a general overview of each of Mahler's symphonies, dividing the movements into formal sections - through the consideration of varying musical parameters - as well a s incorporating into his discussions he rmeneutic analyses of t he works, whethe r suggested by an explicit narrative or program, or implied by the music itself (or even by related biographical details). Floros's work has been greatly influential in how we discuss Mahler's music toda y. Given his impact on the field, he is necessarily cited in articles, books, program notes, etc. concerning Mahler's symphonies. In Seth Monahan's Mahler's Symphonic Sonatas (2015) - one of the m ost recent publ ications cente ring on the analysis of movements from Mahler's symphonies - the author refers to Floros's work both to highlight his analyses, as well as, at times, to refute them a nd provide alternat ive readings. Nevertheless , Floros's research and 3 Serge Gut, review of Gustav Mahler III: Die Symphonien, by Constantin Floros, Revue de Musicologie 74, no. 2 (1988): 244.

10 analyses clearly encourage scholars such as Monahan to delve deeper into Mahler's symphonic works. Floros's book remains an influential reference in many respects, but his discussions of form lack the specificity and categorical organization that are characteristic of modern theories of form. In his book, Floros base s his divisi ons of Mahler's moveme nts on many diverse parameters, including key, time s ignature, traditional f ormal divisions (eg. transit ion, theme complex, etc.), tempo markings, or characteristic melodic, thematic and topical material (eg. clarinet fanfare, Cuckoo call), to name a few. His ever-changing method of analysis approaches Mahler's different symphonie s and movements in unique ways t ailored to their individual symphonic worlds. While this case-by-case methodology can be beneficial to some degree, the variety of the language used to discuss the different sections of these movements does not readily allow for the emergence of formal trends across Floros's analyses, nor for the comparison of the works' formal divisions to standard forms employed by other composers. At that time, however, the terminology employed by writers discussing musical form had not yet been well-defined in the way that contemporary t heories of form have been in recent years. The revival of the Formenlehre tradition, credited largely to William Caplin, James Hepokoski and Warren Darcy, allows for a more systematic approach to the discussion of form across a variety of repertoires. While the ultimate goal of these "New Formenlehre" theorists' research was largely the same - to revive the discuss ion of music al form by organizing how and in wha t terms it is discussed - two distinctive theories emerged based on differing theoretical foundations. These two theories both place an emphasis on the study of sonata form (though they examine other forms as well), each presenting a set of norms grounded in the observation of various musical parameters within a given repertoire. On the one hand, Hepokoski and Darcy's Elements of

11 Sonata Theory: Norms, Types and Deformations in the Late-Eighteenth Century Sonata (2006) "[seeks] to understand the bac kdrop of norma tive procedures within the di fferent zones or action-spaces of the late-eighteenth-century sonata."4 Their methodology offers a hermeneutic approach to the repertoire, with a focus on rotational analyses and the consideration of motivic material. In Classical Form on the other hand, Caplin bases his theoretical approach on "the principles of form introduced by Arnol d Schoenbe rg," and on f urther form-functional developments by Schoenberg's student, Erwin Ratz. His theory places emphasis on harmony, rather than melodic-motivic material, as a determinant of formal function. As abovementioned, Monahan's Mahler's Symphonic Sonatas provides one of the most influential recent publications on the analysis of Mahler's sonata forms. In a review of Monahan's book, Steven Vande Moortele expresses that "there can be little doubt that [...it] is the most im portant book-length analytica l study of Mahler's music in English."5 This book presents a thorough analysis of Mahler's sonatas, focusing mainly on the first movements of the First, Fourth and Sixth Symphonies , as well as the fourth moveme nt of the Sixth. As Hepokoski's student, Monahan incorporates into his analyses many components from Elements of Sonata Theory, including its focus on melodic-motivic material and hermeneutics. The formal analysis of Mahler's works has been considered more commonly through the lens of Hepokoski and Darcy's theory than through that of Caplin's form-functional theory. The narrative features of Mahler's works, as well as his play with motive and quotation tend to call for such a hermeneutic analytical approach. Additionally, the strict repertoire for which Caplin's 4 James Hepokoski and Warren Darcy, Elements of Sonata Theory: Norms, Types, and Deformations in the late-eighteenth-century sonata (New York: Oxford University Press, 2006), 9. 5 Steven Vande Moortele, review of Mahler's Symphonic Sonatas, by Seth Monahan, Music Theory Spectrum 40, no. 1 (2018): 170.

12 theory was developed can deter theorists from applying its principles to music that does not fall under the category of its subtitle - the instrumental works of Haydn, Mozart and Beethoven. Still, the notion of applying Caplin's theory of formal functions to repertoire other than that for which it was originally conceived has become a trend among several theorists. Caplin states in the introductory chapter to his treatise that, "although tonal music from [...] later periods [...] also exhibits formal functionality in a variety of ways, form in these periods is conside rably less c onventional, thus frustrating the e stablishment of gene ral principles."6 Still, many theorists have loosely applied Caplin's theory in their analyses of music by classically influenced romantic composers. The topics of discussion often revolve around romantic alterations to classical theme types, cadence types, traditional formal divisions, formal hierarchies, etc. Theorists such as Brian Black, Matthew BaileyShea, Steven Vande Moortele, and Julian Horton (among others) have shown the effect iveness of applying concepts from Caplin's theory of formal functions to nineteenth-century compositions in order to demonstrate how romantic composers maintained a level of formal tradition while simultaneously deviating from particular classical norms. Brian Black's artic le, "Schubert's 'Deflected-Cadence' Transitions and the Cl assical Style," compares an innovative formal practice introduced by Schubert to classical traditions. Black discusses classical formal techniques (such as form-functional fusion) in dialogue with Schubert's new practice of compositing transitions: the deflected-cadence transition. According to Black, a deflected c adence emerges when two cade ntial progress ions arise in direct succession, the first of which plays out in the home key and may or may not achieve cadential closure, while the second modulates to the subordinate key and arrives on a perfect authentic 6 William E. Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart, and Beethoven (New York: Oxford University Press, 1998), 3.

13 cadence (PAC). Bla ck also considers the stylist ic implications of this new formal practice, arguing, "what is occurring in Schubert's deflected-cadence strategy represents a subtle shift in style. And this shift can be seen not only in the unusual character of his modulations but also in the ramifications that his new modulatory technique holds for the form as a whole."7 Black's examination of Schubert's music through the le ns of Caplin's theory reveals significant deviations from the classical mold that develop into innovative formal practices. The extension of Caplin's work to nineteenth-century vocal repertoire has also increased in popularity. In "Wagner's Loosely Knit Sentences and the Drama of Musical Form," Matthew BaileyShea examines the role of the sentence in Wagner's operas. He begins by comparing Alfred Lorenz's Barform (AAB) analyse s to Schoenberg's sentence form in the hope s of clarifying their differences. He then works to build upon recent extensions of the Schoenberg Formenlehre tradition - particularly Caplin's Classical Form - by em phasizing the rhetorical and dramatic aspects of conventional sentence structure within Wagner's operas. Referring to Caplin's discussion of sentential structures, and tight-knit versus loose theme types, BaileyShea demonstrates that Caplin's classical formal concepts continue to play a significant role in the analysis of late-romantic works such as those by Wagner.8 In his "Sentences, Sentence Chains, and Sentence Replication: Intra- and Interthematic Formal Functions in Liszt's Weimar Symphonic Poems," Steven Vande Moortele also focuses on the role of sentential structures, exploring their use at various hierarchical levels in Liszt's music. Vande Moortele's analytical approach is largely influenced by the work of Schoenberg, 7 Brian Black, "Schubert's 'Deflected-Cadence' Transitions and the Classical Style," in Formal Functions in Perspective: Essays on Musical Form from Haydn to Adorno, ed. by Steven Vande Moortele, et al. (Rochester: University of Rochester Press, 2015), 172. 8 Matthew BaileyShea, "Wagner's Loosely Knit Sentences and the Drama of Musical Form," Intégral 16/17 (2002/2003): 1-34.

14 Dahlhaus, Caplin and BaileyS hea. Throughout his anal ysis, Va nde Moortele alters Caplin's theoretical model in order to better serve the nineteenth-century repertoire that he examines with the goal of "[developing] analytical tools that are applicable to other music of the mid- to late-nineteenth century."9 Ultimately, Vande Moortele demonstrates how Liszt layers and nests these classical thematic structures, developing new and complex compositional techniques. As elements of Caplin's theory unquestionably apply to romantic repertoire, his work prompts theorists to search for a similar functional and syntactical theory of nineteenth-century music. In Jul ian Horton's "Formal Type and Formal Funct ion in the Postclass ical Piano Concerto," for insta nce, the author quest ions the "his torical reach [of Caplin's theory]: is a comparable theory of nineteenth-century syntax possible, and if so, to what extent does it maintain Viennese-classical conventions?"10 Throughout the article, Horton considers the formal organization of "postclassical" (i.e., early romantic) works and attempts to outline a basic musical syntax for the repertoire in question. Ultimately, Horton concludes that Caplin's theory has no romantic counterpart, and that "more commonly, postclassical sonatas are approached with the underlying conviction that they stand in relation to a reified classical scheme, which thereby furnishes (by presence or absence) the theoretical terms of reference. Such an approach is useful f or revealing how early ni neteenth -century forms depart from ('deform') an extrapolated repertoire of classic al norms."11 Horton's work clearly demonstrates a desire to expand Caplin's syntactic study of music to later repertoires. 9 Steven Vande Moortele, "Sentences, Sentence Chains, and Sentence Replication: Intra- and Interthematic Functions in Liszt's Weimar Symphonic Poems," Intégral 25 (2011): 123. 10 Julian Horton, "Formal Type and Formal Function in the Postclassical Piano Concerto," in Formal Functions in Perspective: Essays on Musical Form from Haydn to Adorno, ed. by Steven Vande Moortele, et al. (Rochester: University of Rochester Press, 2015), 77. 11 Ibid., 118.

15 The work presented in this thesis owes much to the authors and their publications cited above (among many others). Caplin's work in particular provides the foundation upon which I base this project's analytical model - the next chapter outlines in greater detail his theoretical work, as well as my adjustments given the repertoire in question. The applications of Caplin's work to roma ntic repe rtoire just discussed have influenced my modifi cations, and greatly encourage my research and analysis.

16 Chapter Two: Classical Form and Mahler Many element s from Caplin's theory of formal funct ions apply to Mahler's formal organization, but before divi ng into how Mahler borrows from and m anipulates c lassi cal conventions, I first explore the main theoretical principles of Caplin's theory. By considering the many elements of the theory and its application to classical instrumental music, we can more clearly observe the similarities and differences between classical formal structures and those employed by Mahler. Part I below summ ari zes the main t heoretical principles of Caplin's Classical Form and form-functional analysis. Part II then discusses the required adjustments to the theory in consideration of Mahler's musical language in the first movement of his Fourth Symphony. Part I. Caplin's Classical Form: A Brief Summary Caplin's Classical Form works toward the revival of the Formenlehre tradition, setting out to "[formulate] coherent principles and [propose] clear terminology to serve as theoretical tools for analyzing form at all hierarchical levels in a single movement."12 His theory borrows many of its concepts and terms from t he work of Schoenberg and his s tudents, dra wing inspiration in particular from the work of Erwin Ratz and his notion of formal functions. In the glossary of Classical Form, Caplin defines formal functions as "the specific role played by a particular musical passage in the formal organization of a work. It generally expresses a temporal sense of beginning, middle, end, before-the-beginning, or after-the-end. More specifically, it can 12 Caplin, Classical Form, 3.

17 express a wide varie ty of form al characterist ics and relationships ."13 In "W hat Are Formal Functions?," Caplin furthers his discussion of the concept, explaining: Central to our experience of time in general is our ability to perceive that something is beginning, that we are in the middle of something, and that something has ended. To these general temporal functions, we can a dd the framing function of s omething occurring before-the-beginning or after-the-end. Musical form directly engages our temporal experience of a work inasmuch as its constituent time-spans have the capacity to express their own location within musical time."14 Caplin argues here that, as listeners, we perceive certain musical units as conveying a given temporal function (based on multiple musical parameters), which affects how we understand the unit, as well as what type of unit we expect to hear next. For instance, when a two-measure basic idea is repeated (forming a four-measure presentation phrase), the repetition "generates demand for a cont inuation phra se, one that will directly follow, and draw c onsequences from, the presentation."15 Moreover, when a four-measure phrase leads to a weak cadence (antecedent), a strong cadence is expected to arise at the end of the subsequent four-measure phrase (likely a consequent). The expectations these different types of units set up allow for listeners to discern their differing inherent temporal functions. Many features of these diverse formal units play into a listener's understanding of their functions, whether beginning, middle, end, before-the-beginning, or after-the-end. Of particular importance in Caplin's theory is harmony, or more specifically, harmonic progressions. The different harmonies that make up tonal music each have their own inherent function, establishing the role they play in the music's syntax. In the repertoire upon which Caplin's theory is based, there are three ha rmonic functi ons (tonic, predominant, and dominant), and three types of 13 Ibid., 254-255. 14 William E. Caplin, "What Are Formal Functions?: Three Methodological Reflections," in Musical Form, Forms and Formenlehre, ed. Pieter Bergé (Leuven: Leuven University Press, 2009), 23. 15 Caplin, Classical Form, 10.

18 harmonic progression (prolongati onal, sequential, and ca dential). These latter three play a significant role in the listener's understanding of a given unit's temporal function. For instance, a musical unit with an underlying cadential progression typically fulfills the function of ending something. A sequential progression, however, gives the sense of being in the middle, and a tonic prolongational progression typically suggests a beginning. While the harmonies unde rlying musica l units play a meaningful role i n our understanding of their functions, many other parameters come into play, as well. For instance, Schoenberg emphasizes the significance of melodic-motivic material in his discussion of musical form, as according to his theory, melodies and themes grow out of a work's opening motive - its germinal seed.16 Caplin's theory has be en critiqued f or its lack of attenti on toward melodic material, but according to his theory, the association made between melodic-motivic material and form-functional units are not def initive, but rather characteristic of these temporal functions.17 Melodic-motivic material theref ore cannot be the determining factor of a unit's temporal function. For insta nce, although a basic idea typi cally "projects the charact er of a melodic 'opening up,' [...which is] created most simply by a distinctly ascending gesture,"18 such a melodic opening up is not a requirement in order for a unit to be heard as an initiating basic idea. Caplin does discuss the characteristic melodic material of different formal functions, yet he clearly states in his introductory chapter that, "the theory minimizes motivic material as a criterion of formal function," and instead, "emphasizes the role of local harmonic progression as a determinant of form."19 16 Arnold Schoenberg, Fundamentals of Musical Composition, ed. Gerald Strang and Leonard Stein (Boston: Faber and Faber Ltd, 1967), 8. 17 Caplin, Classical Form, 37. 18 Ibid. 19 Ibid., 4.

19 The fundamental role played by harm onic progressions in Caplin's theory a lso emphasizes the placement of cadential progressions, highlighting cadences as significant formal markers. In classical sonata form, certain formal units require specific cadences in order to fulfill their functional rol e. For instance, the exposition typically requi res a minimum of three cadences: one at the end of the main theme (home key imperfect authentic cadence, perfect authentic cadence or half cadence), one at the end of the transition (home key or subordinate key half cadence), and one at the end of each subordinate theme (subordinate key perfect authentic cadence). Certain expectations are therefore set up by these strict cadential rules, which allow composers to play with the listener and to build tension through cadential deviations. Caplin discusses three types of ca dential deviation: the deceptive cadence (the root-position dominant resolves to a harmony other than tonic at the point of an expected tonic goal, often built on ˆ6),20 the abandoned ca dence (the dominant abandons its role as a cadential dominant, typically by cha nging inversions),21 and the e vaded cadence (the expected toni c arrival does not group back with the cadential progression, but instead begins a new phrase with a renewe d desire for cadential closure).22 These cadential devi ations, along with phrase deviations and unstable harmonic progressions, also play a role in the loosening of a given phrase's or theme-type's formal organization. Such loosening devices are defined as musical procedures that render a pass age less conventional relative to other passa ges within the movement. In sonata form, main themes are relatively tightly knit, while transitions are loose, and subordinate themes yet looser in their structure. The exposition's cadential deviations are 20 Ibid., 101. 21 Ibid., 107. 22 Ibid., 101.

20 most often found in subordinate themes, while the development is typically the loosest formal unit of the sonata form as a whole. Though this discussion does not present an exhaustive summary of Caplin's theoretical principles, it outlines the methodology's fundamental elements and empha sizes features that must be considered in its application to the first movement of Mahler's Fourth Symphony. As Mahler's music does empl oy elements of tonali ty, as well as features of c lassical formal structures, many of the above concepts apply to his repertoire. Still, adjustments are required in order to consider the differences between the High Classical style and Mahler's revolutionary romantic musical languag e. The discussi on below sets out to discuss these modifica tions in detail. Part II. Required Adjustments to Classical Form in its Application to Mahler's Music As made clear by the subtitle of Caplin's book, Classial Form, his theory of formal functions was designed to apply to classical instrumental works composed by Haydn, Mozart, and Beethoven. Even in its application to this repertoire, however, the rigid formal categories and theoretical principles outlined in Caplin's theory are not intended to apply strictly. In fact, Caplin explicitly states that, "the theory establishes strict formal categories but applies them flexibly in analyses."23 Despite the theory's adaptability, howe ver, certain adjust ments are required in its application to other music, dependent upon the musical language of the repertoire in question. For instance, whereas in classical music harmonic practices are fairly consistent, typically following paradigms and patterns in order to convey a given harmonic or temporal 23 Ibid., 4.

21 function, romantic and late-romantic harmony is much less stable. In this repertoire, tonal syntax begins to weaken and break down, minimizing the role of harmony as a formal marker. While many aspects of classical tonal syntax do remain salient in romantic sonata forms, certain expected formal markers of classical repertoire - such as cadences - do not so readily arise, and when they do emerge, their functional role as structural events can be ambiguous. In his book Brahms' Piano Concerto No. 2, Op. 83: Analytical and Contextual Studies, Julian Horton discusse s classical influences on roma ntic music, as well as romantic alterations to classical formal organization. Regarding sonatas, Horton explains, "romantic sonata forms differ from classical sonata forms, because the syntax they have to accommodate has changed."24 As a consequence of the loosening of harmony and tonal syntax, cadences do not always carry with them the same formal implications that they do in classical sonatas. Further still, formal sections that typically require cadential closure no longer strictly demand genuine cadences in order to end. Horton discusses this shift through observing "Chopin's syntax, [...which] requires us to separate the sense of thematic ending from the projection of cadential bass motion, and this concomitantly disrupts the synonymy of cadence and end function."25 In "Beyond the Classical Cadence," Caplin discusses the related issue of thematic endings that "[fail] to project any intrinsic sense of closure, yet [...are understood as] 'finished' when the onset of a subsequent unit initiates a new set of formal processes."26 Such issues of closure and cadence saturate the first movement of Mahler's Fourth Symphony, as will be further discussed in the forthcoming analyses. 24 Julian Horton, Brahms' Piano Concerto No. 2, Op. 83: Analytical and Contextual Studies (Bristol, CT: Uitgeverij Peeters, 2017), 42. 25 Ibid., 50. 26 Caplin, "Beyond the Classical Cadence," 16.

22 As mentioned before, a classical sonata sets up certain expectations based on its cadential arrivals, which act as s ignificant forma l and temporal ma rkers. For inst ance, the first half cadence in the subordinate key likely suggests the end of a transition, which sets up expectations for the c oming subordinate theme.27 Similarly, the arrival of a half cadence we ll into the development strongly suggests the impending arrival of the recapitulation. In Mahler's style, however, the expected cadences of a sonata form are not always clearly articulated, leaving unanswered the question of whether or not a theme or unit has achieved closure. In Closure and Mahler's Music: The Role of Secondary Parameters, Robert G. Hopkins investigates the role of cadence and other types of closure in Mahler's works, expressing that, given the weakening of tonality and tonal syntax, closure in Mahler's music tends to rely more heavily on secondary parameters - i.e., "those other than tonal melody, tonal harmony, and rhythm,"28 such as dynamics, articulation, etc. - and much less on traditional cadences. While this lack of cadential arrivals characterizes many of Mahler's symphonies, Hopkins points out that certain symphonies do employ "classical" cadences: Mahler's early symphonies (1 through 4) and his Eighth.29 According to Hopkins, the many cadences of the first movement of Mahler's Fourth Symphony emphasize its "classical" quality. In fact he argues, "except for Symphony No. 1, the Fourth Symphony may have the most diatonic melodies and harmonies of all the symphonies, and, not surpri singly, tra ditional tonal cadences commonly create closure."30 Monahan also comments on the number of cadence s that arise in the moveme nt's exposition, asserting, 27 In sonatas with non-modulating transitions, however, the first half cadence in the subordinate key may arrive within the subordinate theme rather than at the end of the transition. 28 Robert G. Hopkins, Closure and Mahler's Music: The Role of Secondary Parameters (Philadelphia: University of Pennsylvania Press, 1990), 1. 29 Ibid., 160. 30 Ibid., 159.

23 "cadences come often and ef fortlessly."31 While these statements are t rue to an e xtent, the y dramatically deemphasize the peculiari ty of Mahler's cadences in the s ymphony's opening movement. Many cadential progressions do arise throughout the movement, but several of them arrive at strikingly odd moments of the movement's form. Likewise, moments that typically call for a cadence never reach their required cadential closure. Though the cadential moments that arise in the first movement of Symphony No. 4 will be discus sed in more detail in the a nalyses of Chapters Three through Five below, a brief consideration of one significant "cadential" moment in Mahle r's exposition shall illustrate certain issues that emerge throughout the movement. Cadences unquestionably arise throughout the movement's exposition, but its most significant cadential arrival (according to the criteria of both Classical Form and Elements of Sonata Theory) fails to achieve its goal: the PAC that closes the subordinate theme complex (or the Essenti al Expositional Closure, ac cording to Hepokoski and Darcy). In Mahler's exposition, this critical cadential arrival is evaded in m. 58 (Ex. 2.1). Though evaded cadences commonly appear in subordinate themes, they typically call for another attempt at cadential closure; rather than attempt the cadential progression again, however, Mahler instead introduces new thematic material that soon loses its cadential drive. After sudden, obtrusive interjections of main theme material in mm. 62 and 66, the passage's underlying harmonic progression shifts to prolong the tonic starting in m. 67, and the theme slowly fades out. Despite the passage's gradual decline of cadential momentum, the abating dynamics of this passage might still suggest closure according to Hopkins's work. As Caplin explains in "Beyond the Classical Cadence," "composers in the Romantic period explore some 31 Seth Monahan, Mahler's Symphonic Sonatas (New York: Oxford University Press, 2015), 154.

24 Ex. 2.1: mm. 54-73, evaded critical cadential moment at end of subordinate theme complex D:

25 new compositional procedures that modify or distort in interesting ways the classical means of creating closure."32 Still, the negated promis e of cadenti al closure in this particular passage strongly suggests the failure of expected - and required - formal closure. The example just mentioned demonstrates an is sue that arises in observing closure through the analysis of secondary parameters: the practice fails to clearly recognize deviations from expected closure. The cadential analysis of classical works reveals whether the anticipated closure has succeede d through cadential arrival, or fa iled through evasion, deception or abandonment. When analyzing aba ting dynamics or musical collapses, howe ver, it is questionable whether these events suggest the arrival of desired closure, or rather the failure of expected closure. Hopkins does not discuss the possibility of deviations from secondary closure in his book - in fact, even in clear instances of cadential deviation, Hopkins seems unaware of the classical practice, instead focusing on how Mahler weakens cadential arrivals via secondary parameters: At times, especially in the later symphonies, abating secondary parameters reduce the tensive effect of a dominant harmony, and the tonic that follows is marked by an abrupt change in orchestration or perhaps dynamics (or both). As a result, the tonic sounds very much like the beginning of a phrase and rather little like the conclusion of the preceding phrase. The V(7)-I progres sion is greatly wea kened because the dominant harmony seems separated, in a sense, from the tonic.33 The situati on outlined above fits t he description of an e vaded cadenc e - a cadent ial deviation that occurs when the expected tonic arrival groups forward with the ensuing material rather than with the preceding dominant. While orchestration and dynamics may play a role in the recognition of this passage as an evaded cadence, the ultimate weakening of the cadential progression occurs in the harmonic and melodic grouping, both of which are primary parameters. 32 Caplin, "Beyond the Classical Cadence," 4. 33 Hopkins, Closure and Mahler's Music, 66.

26 As previously discussed, Caplin's theory of formal functions emphasizes the significance of cadent ial deviations, partic ularly within the discussion of tight-knit vs. loose themat ic organization.34 Composers frequently employ loosening devices, which, in addition to cadential deviations, also include phrase deviations such as expansi on, extension, compression, and interpolation. These deviations a re used to postpone expect ed cadential closure, to create asymmetrical thematic units, and to play with the listener's expectation of a given musical form at various hierarchical levels. In sonata form, such devices are often expected in subordinate themes and development sections, though they can arise at other points of the form as well. Analyzing closure in Mahler's symphonies strictly through Hopkins's approach weakens our ability to consider how Mahler might deviate from expected closure. Still, Hopkins's work on closure in Mahler demonstrates that cadences are not always allotted the same weight in Mahler's works as in those of earlier composers. Therefore, while the placement, inclusion and exclusion of cadences at particular formal moments of Mahler's movement require consideration, missing cadential arri vals are not necessaril y problematic. In such instances, secondary parameters must be considered as possible markers of formal closure. In addition to the cadential and phrase deviations listed above, Mahler also projects a freer musical character in typica lly loose formal sections by pla ying with the relations hip between formal functions and melodic-motivic material. Though Caplin's theory "minimizes motivic content as a criterion of formal function,"35 Mahler's pairing of motivic material with specific temporal functions at times plays a significant role in the analyses below, particularly regarding the practice of what I call functional re-contextualization. This musical procedure 34 Caplin borrows these concepts from Schoenberg, as he discusses in: Caplin, "What Are Formal Functions?," 37. 35 Caplin, Classical Form, 4.

27 emerges when melodic ma terial origina lly associated with a particular temporal function - beginning, middle, or end - later in the movement projects a different function, whereby the material's role is re-contextualized within the theme. Given the inherent instability of Mahler's musical language, he relies on such innovative loosening devices to suggest yet further deviation from classical norms in formal sections that typically require a relatively more unstable musical language - i.e., in the development section. Accordingly, the notion of functional re -contextualization emerges as a significant technique in the development analysis presented in Chapter Four below. The above discussion encourages the consideration of romantic compositional techniques within a Caplinian form-functional analysis. These suggested "alterations" to Caplin's theory aim to facilitate the analysis of Mahler's innovative musical language while also considering the influence classical composers have had on his compositional practice. The analyses presented in Chapters Three through Five below incorporate these adjustments to Caplin's theory in the hopes of revealing how Mahler borrows from classical structures while also artfully deviating from classical expectations in the first movement of his Fourth Symphony.

28 Chapter Three: Exposition Scholars have long identified Mahler's Fourth Symphony as the most classical of his works, due in particular to its surface resemblance to expected classical formal structures. The apparent simplicit y of the work's themes also influences this label - these themes are often described as "strongly reminiscent of Haydn, Mozart, Beethoven, and Schubert".36 The form of the symphony's first movement begins like a typical classical sonata, with an exposition clearly divided into main theme group, transition, and subordinate theme complex. The return of the main theme at the end of the exposition hints perhaps at a written-out repeat of the entire opening section, but ultimately fails upon the entrance of the expositional closing section. This "failed repeat" of the exposition - which prompts the premature return of the home key - calls into question the overall formal organization of the movement, which has otherwise been understood as a clear sonata form by so many. This formal issue will be further discussed below. Countless authors have observed that Mahler references classical sonata form in the first movement of his Fourth Symphony. Constantin Floros highlights that this work, "when viewed from a distance, [...] strikes one as bei ng M ahler's simplest symphony [...and] gives t he impression of coming closest to the classic norm."37 Mahler himself stated that the work was organized "in spite of its freedom, with the greatest, almost pedantic regularity."38 Despite the movement's apparent surface resemblance to classical sonata form, however, a form-functional analysis reveals many significant deviations from classical norms. Moreover, many elements of Mahler's musical language in this movement are characteristic of romanticism, though these aspects are artfully hidden behind classical references. 36 Constantin Floros, Gustav Mahler: The Symphonies, ed. Reinhard G. Pauly, trans. Vernon and Jutta Wicker (Pompton Plains, NJ: Amadeus Press, 1993), 117. 37 Ibid., 16. 38 Ibid., 117.

29 This chapter presents an analysis of the exposition that aims to demonstrate how Mahler borrows from classical formal structures, while also revealing its concealed formal and cadential abnormalities. Part I of the chapter examines the thematic introduction and main theme; Part II focuses on the transition and subordinate theme complex. Throughout these t wo parts, the comparison of typical cla ssical structures to those presented by Mahler relies prim arily on theoretical elements discussed in the previous chapter - Caplin's theory of formal functions, with certain adjustments appropriate to the repertoire in question. Part III then discusses the "failed" expositional repeat, and its implications on the overall form of the movement. My analysis in this chapter demonstrates the simil arities and dissimilarities between Mahler's exposition and the typical classical sonata exposition as outlined in Classical Form. The resulting analytical observations will be discussed in dialogue with previously published analyses of the movement - including those by Vande Moortele, Monahan, Floros, Adorno, and others. Significantly, the goal of this and all subsequent chapters is not to prove other theorists wrong or to define one correct analysis; rather, I aim to highlight the formal and form-functional ambiguities that saturate this remarkable movement. Part I. Analysis of the Thematic Introduction and the Main Theme Despite the apparent simplicity of Mahle r's exposition, many moments - particularly within its first few measures - require the retrospective reinterpretation of original analytical observations. The notion of retrospective reinterpretation plays a role in Janet Schmalfeldt's concept of "becoming" (⇒), which she defines as: "the special ca se whereby the form al function initially sugge sted by a musical idea, phrase or section invites retrospec tive

30 reinterpretation within the larger f ormal context ."39 Though publishe d before Schmalfe ldt's book, Caplin's theory borrows the notion from his colleague, and also applies the "becoming" symbol to instances of cadence and harmony that require retrospective reinterpretation.40 This symbol will also emerge in the analyses below. The exposition begins with the ringing of bells, presenting material that clearly functions as a them atic i ntroduction. Though such before-the-beginning functions are typical of the classical style, Mahler treats the tonality at the opening of his symphony rather unconventionally. As seen in Ex. 3.1, the emphasized B-F♯ perfect fifth in the thematic introduction, along with its G♮ (♭ˆ6 ) appoggiatura, at first strongly implies a home key of B minor, though the entrance of C♮ halfway through m. 3 reveals the passage's B-phrygian modality. The arrival of the main theme in m. 4, however, informs the listener of the movement's true home key, G major. This tonality is highlighted in the stepwise ascent that opens the main theme at the end of m. 3, which melodically emphasizes G major's dominant-tonic relationship (D-G) by ascending through the scale from ˆ5 to ˆ1 (though the B-F♯ harmony continues to sound until the downbeat of m. 4). A real-time listening therefore triggers a perceptual shift in m. 4 upon the entrance of the main theme, and calls for the retrospective reinterpretation of the original harmony - B minor - as the home key's mediant rather than its tonic. Mahler clearly plays with the listeners' expectations by forcing his audience to adjust t heir original tonal understandi ng of the passage through his atypical treatment of the movement's opening key areas. As Adorno points out, these "fool's 39 Janet Schmalfeldt, In the Process of Becoming: Analytic and Philosophical Perspectives on Form in Early Nineteenth-Century Music (New York: Oxford University Press, 2011), 9. 40 Caplin, Classical Form, 265.

31 Ex. 3.1: mm. 1-4, retrospective reinterpretation of opening tonality bells," of the introduction say that, "none of what you now hear is true,"41 likely referring, at least in part, to this issue of the opening's tonality. While the notion of retrospective reinterpre tation is often dis cussed in refere nce to classical works, it typically concerns the listeners' formal or cadential observations rather than their tonal understanding of a musical passage. For instance, one might first understand a tonic-prolongational unit that follows a main theme's PAC as a post-cadential closing section, only to later understand the materia l as the beginni ng of the expos ition's transition. The unit can therefore be understood as a false closing section becoming (⇒) transition over the course of the listener's hearing. Similarly, a theme that modulates to the dominant and arrives on an authentic cadence can often be followed by an immediate shift back to the original key. With the return to the home key, t he sense of modulati on is negated, and the authentic ca dence on dom inant harmony is retrospectively understood as a half-cadential arrival (what Caplin call s a 41 Theodor W. Adorno, Mahler: A Musical Physiognomy, trans. Edmund Jephcott (Chicago: The University of Chicago Press, 1996), 56.

32 "reinterpreted half cadence"). Though the practice of playing with the listener's formal and cadential expectations is characteristic of classical works, Mahler's play with tonality at the opening of his Fourth Symphony has limited classical precedents (one such example emerges in Haydn's Op. 33 No. 1 wherein the piece at first appears to open in D major, and the true home key, B minor, only be comes clea r in m. 3).42 Mahler's thematic introduct ion is formally "classical," but its misleading tonality deviates from typical classical practices. As Adorno points out, the two tonalities of the movement's opening are further separated by the disparate s ound worlds - and music al eras - they inhabit: "the concertante solo wind instruments of the opening measures would be unthinkable in the Viennese classicism that the main theme evokes."43 The contrasting styles of Mahler's thematic introduction and main theme opening play a significant role in the listener's sudden perceptual shift upon the entrance of the "classical" main theme, but they also help to juxtapose Mahler's own compositional style with the classical traditions he references. Just as the themati c introduction displays Mahler's marriage of classical and non-classical techniques, the main theme presents a striking dissonance betw een conformity and nonconformity to classical-structural norms. The theme opens with a four-measure phrase (see Ex. 3.2), as is typical of a classical theme's structure. Often this opening phrase has antecedent or presentation function, whi ch then calls for subseque nt continuation of the them e, eventually leading to a cadence. Mahler's theme, however, leads straight to a PAC after just four measures. Even more exceptional are the harmonies underlying this opening four-measure phrase: though initiating functions typically feature tonic-prolongational progressions, this phrase expresses the 42 Charles Rosen, The Classical Style: Haydn, Mozart, Beethoven (New York: The Viking Press, 1971), 68-69. 43 Adorno, Mahler, 57.

33 harmonies I-ii56-V(467)-I - as Steven V ande Moortele observes: "a clas sic instance of an expanded cadential progression or ECP."44 An ECP arises when a cadential progression that typically plays out in two me asures is expanded to cover a n entire phrase of fou r or m ore measures.45 One signific ant difference between a typical E CP and Mahler's harmonic progression, however, lies in the inversion of the opening tonic harmony; whereas a standard ECP opens with a first-inversion tonic (which acts as an auditory signal for the coming cadence), Mahler's phrase begins on a root-position tonic. The phrase's cadential function is therefore not immediately apparent. Ex. 3.2: mm. 3-7, first main theme 44 Steven Vande Moortele, review of Mahler's Symphonic Sonatas, 170. 45 Caplin, Classical Form, 254.

34 Though the ECP is a popular c adential technique a mong classical composers, its placement within Mahler's opening theme is rather unconventional and calls into question the phrase's true function. Vande Moortele states that this theme simply "starts with an ending and lacks a true beginning,"46 but this remark oversimplifies the issues that surround this opening phrase. A brief considerati on of the pe rception of formal functions - and their role in retrospective reinterpretation - helps to reveal the complexity of this opening phrase. The notion of retrospective reinterpretation requires a relatively conservative listening approach. The term conservative listener (as opposed to a radical listener) originally developed from the discussion of metrical irregularities in Beethoven,47 but the concept can also apply to the understanding of form and formal functions in real time. Just as Newton's first law states that an object preserves its speed and direction until an outside force acts upon it with enough energy to change its course, the conservative listener's expec tations will remain intact until sufficient evidence suggests a logical shift in their perception. As an opening phrase typically projects initiating function in the listene r's experience of classical forms, it is therefore assumed to present beginning function until enough parameters contest this hearing. Thus upon the entrance of the main theme, the listener expects initiation, and understands the theme as initiating until some signal (such as the arrival of the cadential 46 in m. 6) shifts their perception. The question, how ever, remains: does the PAC in m. 7 offer enough proof that the listener's expectations have been thwarted, and that this phrase ultimately acts as an ending without beginning? Though the answer to this question is subjective on many levels, the issue of how one expe riences this opening theme in reference to classical m ain themes requires the 46 Vande Moortele, review of Mahler's Symphonic Sonatas, 170. 47 Andrew Imbrie, "'Extra' Measures and Metrical Ambiguity in Beethoven," in Beethoven Studies, ed. Alan Tyson (New York: Norton, 1973), 45-66.

35 consideration of various parameters at multiple perceptual stages. Unfortunately, however, the discussion of such perceptual and cognitive issues does not fit the scope of the present project. The above argument does not aim to prove that Vande Moortele's analysis is wrong or misguided; in fact, I agree that this phrase ultimately demonstrates more features of ending than beginning function. Rather, I aim to reveal that the function of this theme is more ambiguous than Vande Moortele's analysis articulates. Further consideration of other parameters exposes elements that play a role in our functional understanding of this opening four-measure phrase. One musical element to consider in this analytical situation (but that Caplin deemphasizes in his analyses) is melodic-motivic material. As in the previous chapter, Caplin explicitly states that his theory "minimizes motivic content as a criterion of formal function."48 Still, this musical feature can play a role in our perception of form, as certain motivic gestures are characteristic of particular temporal functions. A melodic opening up, for instance, typically suggests initiating function, while a closing down typically projects ending function. As shown in Ex. 3.2 above, Mahler's main theme begins with the ascent from ˆ5 to ˆ1 in G major, simultaneously opening up the tonal space (which suggests beginning function), and presenting a cadential figure (implying concluding function). This gesture does not in itself carry cadential weight, however, given its role as a pick-up over a B-minor (mediant) harmony. Additionally, though the upward gesture implies initiation to some degree, the immediate leap down t o ˆ3 from ˆ1 followed by the ornamented scalar ascent up to ˆ6 anticipates the upcoming cadence, and calls for the subsequent descent through ˆ5-ˆ4-ˆ3-ˆ2-ˆ1.49 This descending gesture clearly functions to end the theme. 48 Caplin, Classical Form, 4. 49 In this melodic descent, ˆ3 could be understood to function as a lower neighbour of ˆ4; in such a reading, ˆ3 would thus not participate as fully in the descent as the other scale degrees.

36 Adorno's understanding of this main theme material also sheds light on Mahler's possible functional intentions for these opening four measures. In his analysis, Adorno points out that "the main theme, which to the uninformed sounds like a quotation from Mozart or Haydn [...] is in fact from the consequent to the lyrical theme in the Allegro moderato of Schubert's E-flat major sonata for piano, op. 122"50 (emphasis added). Mahler's decision to quote the consequent (that is, the ending material) from Schubert's subordinate theme suggests his desire for this material to paradoxically begin his symphony with an ending. Still, the abnormality of this PAC after just four measure of the main theme calls into question the function of this "cadential arrival." Does this cadence act as a true ending, or is it perhaps an example of initi ating function taking on c adential characteristics, but ul timately prolonging tonic harmony in order to begin the main theme? Though there is no singular answer to this question, we can consider it through an analysis of the ensuing musical material. In Ex. 3.3, m. 8 re-introduces the dotted stepwise figure from m. 6, this time ascending through the entire scale and ending on ˆ3, thus acting melodically to open up the tonal space - a characteristic of initiating function. The underlying harmony, however, places emphasis on the dominant (D major), as is characteristic of a contrasting middle - medial function - in small ternary form. As a form-functional analysis emphasizes the significance of harmony over melody, the dominant emphasis of mm. 8-12 strongly supports a functional understanding of this passage as medial. An issue arises here, however: on which hierarchical level resides this medial function? Is it on the same l evel as the previous m aterial, therefore a cting as a continuation t o the initiating opening four measures, or does it present the contrasting middle (B section) of a small ternary form, entering after the closing function of the preceding four-measure A section? 50 Adorno, Mahler, 56.

37 Ex. 3.3: mm. 7-18, second main theme, or main theme's B section The underlying domi nant, though a possible harmoniza tion for a continuation, more strongly aligns with a B-section analysis. The first four measures of the main theme therefore

38 present a genuine ending function, particularly supported by its conventionally cadential melodic line. Still, the ambiguity and complexity of this opening passage as demonstrated in the present analysis reveals Mahler's manipulation of classical conventions. Such ambiguities continue to arise throughout the rest of this movement. After the medial function of mm. 8-12, mm. 13 and 14 of Ex. 3.3 project a clear cadential goal on the downbeat of m. 15. The cadence, however, is evaded, sparking the desire for another cadential attempt from m. 15 to 18. The expected arrival on the downbeat of m. 18 succeeds harmonically (with the clear V-I over the barline between mm. 17 and 18); melodically, however, the cadence elides with a return to t he opening m ain-theme material, as seen in the first violins' ˆ5-ˆ6-ˆ7-ˆ1. Notably, this gesture, whi ch was evaluated above as a cadential figure that did not express cadential function given its underlying harmony, now presents itself in a cadential harmonic context (though it ultimately acts to reintroduce the opening material). A cadential 46 underlies m. 16, thus harmonically calling for the coming cadence, and the formal placement of the cadence (at the end of an 8-measure theme that has been lengthened to 11 measures through the use of extension) lines up with classical cadential expectations. Still, its melody is quite uncharacteristic of a classical cadential function. A typical classical cadence calls for the liquidation of melodic material, along with a general closing down of musical space. Both the liquidation technique and the closing down of the melody do not emerge at the end of this theme; instead, Mahler fquotesdbs_dbs41.pdfusesText_41