Symphony No. 4, I. Analysis. Gustav Mahler s Fourth Symphony is in dialogue with the Type 3 sonata, though with some

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1 Karolyn Byers Mr. Darcy The Music of Mahler 15 May 2013 Symphony No. 4, I. Analysis Gustav Mahler s Fourth Symphony is in dialogue with the Type 3 sonata, though with some deformations. The exposition can be divided into two subrotations, the first subrotation begins the movement with a short lived introductory space. This P 0 space begins with woodwinds that sound like sleigh bells. The harmony initially suggested is b minor because the sleigh bells play an open fifth on B and F#. However, the violin theme that enters with the pickups to measure 4 (P 1 ) establishes the tonic G Major. The P material comprises two different P themes, P 1 and P 2. When P 1 cadences with a I:PAC in measure 7, P 2 enters in the lower strings. P 1 begins with stepwise motion and is generally more lyric than P 2, which begins with a leaping arpeggiation of G Major and contrasts the lyricism of P 1 through dotted rhythms. PACs in measure 18 and 21 continue to emphasize the G Major tonic. The P themes keep alternating, generally appearing in the strings, but occasionally appearing in the upper woodwinds. The TR module is brief, only six measures in length. Beginning at measure 32, TR modulates to D Major, and creates energy through short phrases and repetition. The running sixteenth notes in the strings also help create energy, and the clarinet s leaping figure gets fragmented through rhythmic diminution in the woodwinds (m. 35), which further helps the energy build. This energy drives forward to the rather clear MC in measure 37. The MC is generated through three hammer strokes, and a

2 V:PAC followed by a GP. Structurally, the S space is a small rounded binary form. The lyric S theme appears in the cello in D Major (this begins the A section of the rounded binary). After a V:PAC in measure 41, the S theme is picked up by the oboe, and cadences again on a V:PAC in measure 46. The B section of the rounded binary begins in measure 47. Here, a contrasting idea enters in the cello and the theme appears to be a variant of S. At measure 52, S appears in its original state, marking the return of A. However, this S space appears to be problematic because where we expect to hear the EEC, Mahler writes a PAC in the key of A Major (V/V: PAC). The EEC has failed; at this point, Mahler introduces a new theme for a closing zone. The closing space begins with a reduced texture, and eventually modulates to what sounds like b minor (m. 72). The introduction sleigh bells return at measure 72, which suggests a repeated exposition; this also indicates the beginning of the second subrotation. However, this soon proves to be a false repeat of the exposition, as it falls apart. While Mahler uses the P theme after the introductory material, there is no occurrence of TR, MC, or S. Instead, after the introductory material, Mahler writes P 1 in the violin (in stretto with the oboe, m. 77) and continues to use P material (both P 1 and P 2 ) in attempt to lead up to an EEC. However, this time the resulting cadence is a I:PAC (m. 91), which is the key we would expect to hear in the recapitulation. Both times through the exposition material, the EEC has failed to arrive in the proper key. A second closing zone follows in measure 92 (C 2 ), and the lack of a proper EEC results in a failed sonata exposition, which after a lyric closing module, the theme sort of dies as the texture thins and the instruments decrescendo to ppp. The development, and the second rotation, begin at measure 102; overall, the development can

3 be divided into two large subrotations (m. 102 and m. 155). At the beginning of the first subrotation, the first idea presented is the sleigh bells from the beginning. This makes it easily recognizable as the beginning of another rotation, and the theme appears to suggest b minor as the key; however, we soon discover that b minor is actually preparing us for e minor. The second measure reveals an overlap of themes: the sleigh bells continue in the clarinet while the violins play P 2. Themes are both expanded (such as the solo violin theme of P 2 ) and show up in fragmentation (m. 108, P 2 fragments in the flute). In measure 109, e minor is established as the new key. In measure 110, P 2 evolves into a new theme (NT) and appears in the horn. This transformation of P 2 comes from the second half of the theme, and is evident if you refer back to the exposition around measures and follow the violin, particularly in measures 28, While the NT is playing in the horn, the accompanying celli and bass play the original P 2. At measure 115, the violins play a variant of P 1 in C Major, while the clarinets and bassoon play fragments of the NT. The themes continue to be fragmented until measure 121, when there is a large collapsing motion with descending melodic lines (this part almost sounds like a small, controlled storm because of the general downward motion and the fast string tremolos). At this measure, the harmony is C Major seventh chord, but with a major 7th, so the B clashes against the C. The music loses energy as the texture thins. At measure 125, the Paradise theme emerges. This theme appears in the flute and uses elements from S to produce a new theme. To see a visual comparison, the first part of S is pictured below (in the cello), followed by the Paradise theme.

4 The elements from S are evident through the initial restating of E, and the following dotted rhythm is a slight variant on the second measure of S. The Paradise theme is first played in the key of A Major, which is being outlined by the basses, who are playing an ostinato on A and E. The Paradise theme remains in the flute throughout this section, and the accompaniment is primarily C 2 based material in the clarinet and bassoon. At measure 145, a variant of the Paradise theme appears in the clarinet, but the theme gets interrupted, fragmented, and sequenced, indicating a collapse or breakdown of the theme. By measure 148, the theme now more closely resembles a variant of P 2, and muted trumpets interrupt with diminished triads (and this trumpet gesture happens again in measure 153). The second subrotation of the development begins at measure 155 with the overlapping themes. The sleigh bells appear in the flute, while the oboes play P 2. The key has changed to eb minor, and its relationship to the previous Paradise section (A Major) is significant because of the tritone interval. P 2 then appears in the bassoon, and this section continues to present ideas that overlap one another, similar to the first rotation. One difference, however, is the muted trumpet chords from the previous section are

5 still interrupting some ideas. A new idea emerges in the flute in measure 167, and the tonality shifts to f minor. The flute theme (FT) is harmonized in thirds, and is picked up by the horns in measure 173. The sleigh bells enter again, though this time pizzicato in the second violin, making them harder to hear. The FT returns in the flutes in measure 177 and P 1 and P 2 keep reappearing in fragments. P 1 returns in the violin in measure 188. Mahler begins to combine the P themes with the Paradise theme. At measure 192, a variant of the P theme is played in the strings and upper woodwinds until measure 200. The woodwinds suggest the Paradise theme through three quarter notes, but the Paradise theme itself does not fully emerge until measure 212. This suggests that the P theme and the Paradise theme might eventually merge together (and as we will later see in the recapitulation, this does, in fact, happen). At measure 208, the tonality modulates to an active dominant of C Major, and the trumpet plays the Paradise theme at measure 212. At measure 216, the TR theme enters in the upper woodwinds and trumpet, which suggests a connection between TR and the Paradise theme. The music continues to gain energy until the crash at measure 221, where the descending melodic lines and clashing chord result in a larger collapse than the first that occurred at measure 121. The chord at measure 221 is a Db Major chord (bii in C Major), but with a G in the bass which clashes against the Ab, and clashes even more when the trumpet lands on a B. The texture thins after this, and a trumpet melody enters at measure 225 that initially sounds very much like the opening to the fifth symphony. At measure 234, P 1 enters and the texture continues to thin as the contrabassoon moves from 4 #4 in the key of G Major (m. 238), which prepares us for the return to the tonic key (the celli actually continue this and eventually resolve to D in measure 239). The third rotation and recapitulatory space begin at measure 239. This rotation omits P 0 (the

6 sleigh bells) and begins immediately with P 1 stated in the violins. However, in the second measure the violins play the Paradise theme the two have finally merged. The trumpet plays the Paradise theme in stretto with the violins, and the horns accompany with a variant of P 2 that is harmonized in parallel thirds. The image below depicts a visual example of the Paradise theme merging with P themes. // The violas take over the theme in measure 242 (and it has returned to P 1 ), until measure 245, the violins enter with P 2, which then becomes fragmented. At measure 253, the trumpet enters with the Paradise theme and drive forward to the transition zone, at measure 257. The TR theme (which has now also merged with the Paradise theme) is being played by nearly all the instruments (except low strings and bassoons, who have a fast moving melodic line to gain energy and push forward to the MC at measure 262. The MC is a I:HC, and the S theme follows in G Major. The recapitulation of the S theme is a larger orchestration than its first appearance. In the exposition, the S theme had minimal accompaniment, but in the recapitulation the texture is fuller, particularly at measure 267 with the second statement of S. This idea holds true for the rest of S, as

7 well; the first statement has smaller accompaniment, but the second statement of themes has a richer texture with more grandeur. There is no ESC, but Mahler goes right on to C 1 material at measure 283. The C 1 material is stated very similar to its appearance in the exposition (and only one measure longer). The sleigh bells enter at measure 298, which marks the beginning of the second subrotation (the false repeat). The introductory material is expanded at some length, with embellishing figures. In measure 311, the strings enter with P2, which is then moved to the horn, playing the variant (NT from development that was based off P2). A P 2 variant then enters in the violin (m. 315), while the original P 2 is played by the oboe, clarinet and bassoon. The triplet part of P 2 becomes increasingly important as it helps build energy to lead, hopefully, to the ESC. In measure 317, the triplet figure occurs in violin and flute and resolves to C in measure 318. These two measures are sequenced down a fifth, and then continue to be fragmented and sequenced until finally the ESC in measure 323. The closing material is C 2, and the coda occurs at measure 340. The coda is P based and helps to confirm the G Major tonic after a long journey. The first movement uses many themes that are also present in the fourth movement; in some cases, Mahler uses blocks of material that preview the fourth movement. The sleigh bells, P 2 and the Paradise theme are all used multiple times in the fourth movement. The sleigh bell motive acts as a kind of refrain in the fourth movement, occurring at measures 40, 75, and again at 115. They even appear at the same pitch level (the open fifth of B and F#), although usually at a much faster tempo than in the first movement. Fragments of P 2 are also frequently used in the last movement. P 2 appears as early as measure 12 in the clarinet, and moves to the flute (m. 14). In measure 80, the violins play P 2 in stretto, while the Paradise theme is played above. The Paradise theme opens the fourth movement as a clarinet

8 solo, and also appears in the voice and oboe in measure 80; although they are slightly varied, all of these occurrences are very closely related to the Paradise theme. The harmonic significance of the sleigh bell open fifth is revealed in the last movement. In the first movement s development, we eventually learned that this open fifth did not refer to b minor as it suggested, but as the dominant of e minor. Similarly, in the fourth movement, the open fifth is acting as a dominant of E, but E Major this time. According to the movement s title The Heavenly Life, E Major could be the heavenly key, and the Paradise theme plays a significant role in both the first and last movements because of the various keys it traveled through. In a bright key such as E Major, the Paradise theme could have more programmatic meaning. This idea is similar to the significance of Eb Major in Mahler s Second Symphony with the Victory Chorale and Resurrection theme; in general, the key has programmatic significance when a certain theme has finally been played in the intended key. This is especially true in cases of Mahler, when he sometimes introduces a theme an hour before it gets played in the most significant key to understanding the programmatic elements. Overall, the deformation aspects of this sonata include the treatment of the EEC, the false repeat of the exposition, and the Paradise theme which acts as a kind of Breakthrough deformation in this movement. Although the Paradise theme does not completely override the P theme in the recapitulation, it becomes significantly involved in the P themes. In an eighteenth century sonata, a developmental theme being used to such extent in the recapitulation would not be normative. In the exposition, Mahler tries twice to set up an EEC, but fails both times. The repeat of the exposition eliminates much material, and is not a true repetition. The music has a difficult time leaving the tonic key, and the I:PAC (m. 91) confirms the tonality has failed the expositional trajectory of moving to the EEC. Because of

9 this, the ESC in the recapitulation is not as effective as it could have been since it has already appeared in the same way (and same key) previously.