Beruflich Dokumente
Kultur Dokumente
The ACE Complex: The Origin and Function of Chromatic Major Third Collections in
Nineteenth-Century Music
Author(s): MATTHEW BRIBITZER-STULL
Source: Music Theory Spectrum, Vol. 28, No. 2 (Fall 2006), pp. 167-190
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167
The A
CE com-
plex most naturally demonstrates the emergence of
major-third collections expressive and structural functions
from classic-era compositional and tuning practices; second,
how tonal music theory copes with some problems posed by
chromatic major-third collections; and third, how one might
protably approach examples of A
CE complex; my dis-
cussions with Eric McKee and Charles Youmans, the authors of the
other two papers, , were fundamental to shaping my thoughts on this
topic. Additionally, I wish to thank the many scholars who shared with
me examples of A
VI
(PL), for instance, relies not only upon the use of mixture,
but also upon the falling root motion to evoke the dream-
world state so often associated with this progression.
6
) These
eight root progressions are summarized in Example 2. Here
Roman numerals and Neo-Riemannian operations are wed-
ded in an attempt to place the parsimonious voice-leading
transformations within a functionally tonal context. Four of
these harmonic progressions, labeled with possible harmonic
168 music theory spectrum 28 (2006)
4 The uncanny nature of disjunct (hexatonic polar) progressions is
treated at length in Cohn 2004.
5 For a fully formal exposition of the L and P operations see (among oth-
ers) Hyer 1995. Despite their strengths, Kopps M transformations are
not used in this context since they, in effect, conate two voice-leading
transformations.
6 Just as individual key centers may have rich, extra-musical associations,
so too may harmonic progressions between members of the A
CE
collection. The sense of progression from one key to another or of tonal
motion between keys was crucial to Joseph Schalks understanding of
musical association. See Wason 1997, 131. Hatten 1994, 44 goes so far
as to imply that associations based on relationships between keys are of
greater analytic value than absolute key characteristics, a position pro-
pounded earlier by Donald Francis Tovey ( 1944, 61).
(a) diatonic (C to e)
(b) chromatic (C to E)
(c) disjunct (c to E)
Adapted from Kopp 2002, 1011, Figs. 1.31.5
example 1. Diatonic, chromatic, and disjunct major-third
progressions.
C
L
e
C
LP
E
c
PLP (or LPL)
E
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interpretations, occur with relative frequency in common-
practice music. The remaining four progressions are rela-
tively rare, perhaps due in part to the lack of clear harmonic
function. Does
vi
3
have a submediant function, due to its
root? A dominant function due to its (respelled) leading
tone? Both? Neither?
7
Perhaps more than any other development in composi-
tional technique, the increased application of chromatic third
relations distinguished the harmonic practice of the nine-
teenth century from that of the eighteenth. Even a cursory
survey of the literature strongly suggests that nineteenth-
century composers favored progressions featuring major tri-
ads whose roots were a major third apart.
8
The reasons for
this may include the following phenomena: rst, major triads
were preferred over minor simply due to the larger repertoire
cast in major keys; second, chromatic-third relationships
were preferred over diatonic relationships because they
evoked a distinct sonic color, and they were preferred over
disjunct relationships because they retained a common tone;
and three, cycles of major-third-related triads were preferred
over cycles of minor-third-related triads because each triad
in the former shares one common tone with the others, un-
like the complete minor-third cycle, which includes tritone
root relationships (like c and f
, or e
vi
3
chord from Wagners Tarnhelm music.
Swindens article relies heavily on Harrison 1994 (especially 4372).
Both studies present a cogent scale-degree-based theory of harmonic
function applicable to much nineteenth-century (and later) music.
1. C E 2. C A
I III
VI
5
III V
VII
5
3
V
LP PL
3. C e 4. C a
I iii rare
III v
L PLP
5. c E 6. c A
rare i VI
vi IV
iv
II
PLP L
7. c e 8. c a
rare rare
PL LP
example 2. Some tonal contexts for root motions by major third.
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emergence of A
CE complex. I
rst consider a suggestive idiosyncrasy of the eighteenth
centurynamely, its relative lack of works cast in the so-
called enharmonic keys (B/C
, F
/G
, and C
/D
). The
key choices of Haydn, Mozart, and Beethoven are represen-
tative of the time; complete works in keys with ve or more
ats or sharps in the key signature are rare in both Haydn
and Beethoven, and missing altogether in the music of
Mozart.
12
(See Example 3.) The few exceptions that prove
the rule fall into three categories: works whose overall tonic
key includes ve or more accidentals; interior movements;
and extended sections within a single movement. These are
illustrated in Examples 3(a), (b), and (c) respectively.
13
Though slightly more common than their parallel major
keys, minor-mode works in c
, f
over G
attributed
Haydn Trio Sonata Hob. XV: 31 e
Jacobs Dream!
Haydn Divertimento Hob. XVI: 2c B
Haydn Symphony Hob. 46 B
5 out of more than 1,500 compositions (including attributed works and folksong arrangements)
Mozart
0 out of more than 600 compositions
Beethoven Sonata op. 78 F
Beethoven String Quartet op. 130, Andante con moto ma non troppo D
(Picardy third)
Haydn String Quartet op. 64 #2, ending B > (Picardy third)
Beethoven Fantasia op. 77 g > B
Beethoven Sonata op. 106, Adagio F
parallel
Beethoven String Quartet op. 131, Allegro C
(Picardy third)
Both Haydn and Beethoven wrote many minuet/trio pairs in which the trio is in the minuets parallel key and has ve or more accidentals in the
key signature.
(c) extended sections within movements (sample listing)
example 3. Works by Haydn, Mozart, and Beethoven cast in enharmonic keys.
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instruments was not universally accepted until 1917.
18
Theorists and other musicians up through the nineteenth
century espoused the virtues of equal temperament even
though keyboard instruments of that century were almost
universally tuned according to the principles of well-
temperament, a tuning philosophy that made useable all the
major and minor triads without sacricing the characters of
the keysa set of extra-musical associations that arose, in
part, from the meantone temperaments previously in use.
19
By the eighteenth century meantone tuning had been aban-
doned, largely due to its intonational problems. It was these
very problems, however, that were responsible for producing
the different qualities of meantone thirds that had, in turn,
contributed to the establishment of the characters of the
keys.
20
Of the three contiguous major thirds within a given oc-
tave, only two (e.g., CE and EG
but not A
(G
)C)
were intonationally suitable in meantone systems, thus leav-
ing four major thirds as noticeably out-of-tune.
21
While all
twelve major thirds were used in eighteenth-century music,
those that were most out-of-tune were not usually part of
the stable tonic sonority. If the CE major third (as part
of the common C major tonic) was to be among the most in
tune of meantone thirds, then the smallest major thirds (i.e.,
most in tune) almost always included FA, CE, and/or
GB. The thirds belonging to major triads opposite these on
the circle of fths tended to be the largest and, consequently,
the most out-of-tune.
22
(See Example 4.) Hence, the sharp-
side boundary interval of usable major thirds tended to be
EG
/(G
)C.
23
The three major
thirds that lay outside these boundaries (BD
, F
, and
D
and
E (speaking in terms of C-centricity), these two keys often
marked the outer limits of acceptable intonation on unequally-
tempered instrumentsa boundary that has persisted into
modern-day notation, as E and A
/C
, G
/F
, and C
,
3
,
6
, and
)
intonational miscreants that were much less common in the well-
ordered world of the relative major mode. The result was that minor-
mode works in the eighteenth century were restricted to even fewer
keys than their major-mode counterparts: b, f
, c
, g
/a
, d
/e
, and b
is linked to slum-
ber, darkness, and death while E major is associated with
transcendence, spirituality, and the sublime.
28
Thus, we
the origin and function of chromatic major third collections in nineteenth-century music 173
25 For discussions of associative tonality see Bailey 1977, 4861, and
1985, 11346; McCreless 1982, 8895, and 1983, 6062; and Stein
1985, 4344, and 14187.
26 Schalk understood each key to have essential differences from the oth-
ers; that is, he believed that music should not be treated as simply a
transposable pattern (a misconception he laid at the feet of those who
espoused equal temperament). See Wason 1997, 13233.
27 Detailed descriptions of these key associations appear in tables com-
piled by numerous eighteenth-century theorists. Since some of these
tables also end upon reaching the keys with four accidentals (e.g., those
of Vogler and Knecht in Steblin 1981, 133), it is tempting to hypothe-
size on the chicken-and-egg relationship between composition and
theory on this issue.
28 E may have developed these associations since it is the dominant of vi
in C major. The motion from I to vi as a spiritual symbol is discussed in
McKee 2001. One might also conjecture that the upward arpeggiation
of IIII
as
positive and negative tonal-dramatic poles about a central C.
The developing usage of E as the erotic key in the nine-
teenth century enriched this opposition between E and A
. The ensuing A
and E
persisted as expressive tonal locales; increasingly, composers
invoked their expressivity without reference to specic extra-
musical associations.
31
The same held true of the juxtaposi-
tion of A
CE complex. When
eighteenth-century composers featured two (or all three) of
the members of the A
V
and I
VIiv
(ii
o6
) respectively.
33
Likewise, diatonic oscilla-
tion patterns expanding tonic with iii and/or vi came to in-
174 music theory spectrum 28 (2006)
these positive and negative associations. Finally, one must not overlook
sharp vs. at symbolism. Schalk noted that sharps press upwards, to-
wards light, while ats strive toward the depths, into darkness. See
Wason 1997, 130. Apparently, Riemann concurred: see Wason and
Marvin 1992, 93, as well as the synopsis in Hatten 1994, 43.
29 Wagner uses E as the erotic key in Tannhuser. See also Gilliam 1991,
68 for a discussion of Strauss, E major, and the erotic.
30 Steptoe 1988, 23242 suggests that at keys in Cos represent falseness;
keys near C, neutrality; and sharp keys, sincerity. The whole opera is
thus organized around a central, neutral C major. Burnham 1994, 98, n.
35, citing E-major music in this opera, states: In its exotic twilight
realm at the far edge of the tonal world of Mozartian opera, E major
may well stand for the phoenix that is this opera.
31 For more on the degree of specicity of emotion in expressive music,
see Kivy 1980, 4649.
32 See Somer 1995, 21927.
33 In Schenkers theory, ascending arpeggiations from tonic are also possi-
ble on the rst order middleground, while descending arpeggiations
operate on more surface levels. See Schenker 1979, Figs. 7b, 14/1ab,
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clude III
and
VI
5
.
34
Such examples support the claim
often made to undergraduates that modal mixture is essen-
tially a coloristic device that inserts chromatic alterations
into one or more voices of the tonal structure without requir-
ing a shift in understanding of fundamental harmonic or
contrapuntal principles.
the origin and function of chromatic major third collections in nineteenth-century music 175
operation described in Proctor 1978, 181200, and describes these
tonal itineraries in terms of their bass motion. Bass lines that articulate
a series of the same interval (e.g., major thirds) may be directional (e.g.,
moving from C to A
( )
( )
=
5
3
6
3
A
:
E:
I
VI
I
6
ii
7
V
7
I
(a) modulation by chromatic 56 shift, mm. 199203
Sharp Keys
mm. 1 66 149 208 280 291 310 372 483 539 576
developmental
C E
E A D E
(IV) G C
(F---d/F)
Flat Keys
(b) overall tonal plan
example 5. Act II nale of Mozarts Cos fan tutte.
Measures are numbered from the
beginning of the nale.
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Beethovens In questo tomba oscura illustrates how this
chromatic alteration functions. Example 6(a) shows that the
A
VI, F
CE complex. Rather
than arising out of a direct chromatic relationship to A
(as
its III
and E
V or I
VI
5
V) or embellish V (VIII
V or V
VI
5
V).
Numerous examples are cited in pages 2459 and 7384.
5
6
4
5
3 6
4
5
3
8 7
A
:
A
1
E
14
N
C
19 22
4
31
3
32
2
33
I
VI V/vi
III
IV
V I
!
[ ]
A
:
5
or
N
6
I
vi
[IV
6
]
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chromatic passing or neighboring motion. Even when all
three are chord tones within an augmented dominant triad,
the CEG
of III
CE collection could
occur.
39
Naturally, A
), an
arpeggiation both in m. 49 and again in m. 58 (functioning
locally as V/vi), and later by its lower third, F
(spelled as E),
beginning in m. 81. (See Example 7.) This music comprises
a concatenation of two separate oscillating progressions on
different levels of structureA
CA
and A
EA
.
40
C
major, a local expansion of A
ii
VI
IV predominant
chain).
40 Direct chains of thirds appear in the literature as well. See Schuberts
Lied, Flle der Liebe and the analysis in Krebs 1980, 110 (Fig. II.37,
v. 2, 49). Example 7 presents only the opening of the A
EA
pro-
gression. Interested readers may wish to consult Krebs for a graph of
mm. 80 to the end. See Krebs 1980, Fig. II.9 (v. 2, 34), which links
both chromatic Stufen to V.
41 The other minor key capable of containing these tonal relationship, c
,
does not provide many examples of the A
, c, E, a, f, and c
) together comprise
Weitzmanns Region I, a grouping noted in Cohn 2000, 93, and further
explored throughout his article.
37 See Anson-Cartwright 1996, 60, Ex. 3.
38 This excerpt was rst described as a chain of chromatic thirds by Ernst
Kurt. See Kurth 1923, 22627 (translated in Rothfarb 1991, 13334).
More recently, Brian Hyer demonstrated the manner in which neo-
Riemannian L and P transformations control both the harmonic and
melodic structure of the Magic Sleep music. See Hyer 1995, 11116.
39 Another strategy was to include the three sonorities in a chain of pre-
dominants that ultimately lead to the dominant. See Krebs 1980, 60
(Fig. I.46, v.2, 26) who illustrates this technique in Beethovens piano
concerto in E
II
5
chain embellishing the motion from VI to V. See also, Beethovens
piano concerto in c minor, iii, mm. 138220 (a VI
IV
II succession
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the scherzo eventually leads to the structural dominant in m.
80. These two key areas, C and E, are connected by a toni-
cization of A
is preceded
by its own dominant and is followed by harmonies that pre-
pare the arrival of the e-minor dominant (made major in bar
80 to set up the return of the opening material in a minor),
these intervening sonorities do not prevent us from hearing a
key succession of CA
connects C and E
by a descending major-third arpeggiation. Interestingly,
surface-level references to the combination of A
, C, and E
are also audible in the opening a-minor measures. Here E
functions as a local dominant (passim) and A
appears dur-
ing the modulation to C major (m. 17).
42
analytical illustrations of the a
ce complex
As chromatic-third usage evolved, nineteenth-century
theory naturally developed alongside composition. Whether
reactive or innovative, much of this work focused on A
CE collec-
tion.
44
And Carl Friedrich Weitzmann both distinguished
himself from his contemporaries and inuenced Franz Liszt
by his thorough treatment of the A
CE augmented triad.
45
178 music theory spectrum 28 (2006)
42 Similar A
CE examples occur
throughout Riemanns writings on third relations and tonality. See, for
instance, Riemann 1882, 189, 1890, 38, and 190203, 76.
44 See Riemann 1922, 1304.
45 The continuing force of C-centricity led Weitzmann to choose the col-
lection as his augmented triad prototype, deriving it from the default
!
A
:
A
1 49 53 57
C
58 63 64 65
E
81
I
III
ii V I
VI
5
example 7. Analysis of the opening of Chopins Polonaise,
op. 53.
!
a:
5
1
4
C
3
43 58 66 67
E
2
80
1
97
i III V i
example 8. Analysis of the scherzo from Schuberts sonata, op.
42, iii.
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Riemann and Weitzmann were accompanied by a host of
others who used A
as an A
(III) Stufe
moves to a C Stufe (V) in f minor.
51
Example 9 presents a
slightly more extended middleground analysis, beginning at
the end of the exposition and continuing through to the end
of the development. The Schenkerian prolongation of an A
Stufe supporting 3
CE collection is
given preferential placement at the north, the direction most commonly
indicated on maps. It can be inferred from his remarks that Cohn made
this choice consciously, due to the conventional primacy of C. Op. cit.,
38, n. 34.
key of C major. See Weitzmann 1853 and the commentary in Todd
1996, 15859.
46 These include Dehn 1840, 157; Kurth 1913, 12428; Lobe 1861, 80;
Rimsky-Korsakov 1895, 98, 102103; Schwartz 1982, 70, n. 5, and
3867; Weber 1846, 503; and Ziehn 1887, 8 and 119.
47 Taruskin 1985, 13536, reproduces Rimsky-Korsakovs false progres-
sions by thirds from his harmony text, two of which feature major and
minor triads built on A
6
4
f:
5
1
A
35
P L
a
51
P
E
67
LP
e
79
L
c
83
A
87 93 97
2
132
5
i III V
example 9. Graphic analysis of Beethovens Sonata, op. 57 (Appassionata) with neo-Riemannian analysis.
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This is the case in the middle section of Brahmss
Intermezzo in f minor, op. 118, no. 4, in which a descending
chain of major thirds prolongs the dominant. (See Example
10.) At rst glance, it may seem immaterial whether the mo-
tion from A
to a
!
f:
5
1
C
PL
A
52
PLP
e
75
L
C
83
i V
example 10. Analysis of mm. 5283 of Brahmss Intermezzo,
op. 118, no. 4.
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182 music theory spectrum 28 (2006)
\\
$
%
!
all!
auf!
all!
auf!
Cello
c:
E
3
LP
Str.
(PT)
A
L
1
K.-dr
c
III
V i
espr.
(a) Ghost-ship cadence, Hd/42/3/1
Section Recit. A B C Coda
Measures 29/1/1 32/1/1 35/5/5 38/1/1 41/3/5
Key c a
c CEc
Synopsis Dutchman Deathless Beseeches Longs for Crew welcomes
makes land wandering an angel the Day of death
Judgment
(b) formal overview
example 11. Dutchmans Act I recitative and aria.
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the origin and function of chromatic major third collections in nineteenth-century music 183
62 Schachter 1987, 30408, discusses the distinction (not made in
Schenkers Free Composition) between structural keys and more fore-
ground keys, all of which form part of the listeners moment-by-
moment experience.
63 As Cohn suggests, neo-Riemannian analysis can be used in conjunction
with Schenkerian analysis to understand both group structure (the
A
, and c.
59
In
this second reading, the linear, root-motion cycle of ascend-
ing major thirds takes precedence over the hierarchical,
Schenkerian reading. Since neo-Riemannian transforma-
tions are capable of incorporating the G dominant into the
harmonic event stream, why omit it from the analysis? An
investigation of the preceding music provides the answer. As
Example 11(b) shows, the Dutchmans aria proper divides
into three sections, cast in c, a
(with shifts to A
major),
and c respectively. The coda to the Dutchmans aria picks up
the C major Picardy Third at the end of the third section
and moves toward E for the ghostly crews conrmation of
the Dutchmans longing for death. E then passes through
A
, C, and E connections.
62
Placing neo-Riemannian analytic symbols below a
Schenkerian analysis shows where A
, C, and E sonorities
occur and suggests an abstract voice-leading connection be-
tween them.
63
But the implications go far beyond merely la-
beling an event stream. They point to a group structurea
connection between A
CE com-
plex in tonal contexts may range from the structural fore-
ground to intra-movement connections, even within the
same work. The G
)A
EC major-
third collection. (See Example 12.
65
) Two aspects of this
passage are noteworthy. First, the descending augmented
triad motive is itself stated three times on the musical sur-
face, beginning on E, then C, and nally G
, with the
composing-out of the rst third, EC, transposed exactly to
compose out CG
of g
in m. 77
does not. The deceptive bass motion to E coincides with the
return of the opening material in a bait-and-switch tactic
that reveals the passage to be a prolongation of the E Stufe
by its lower third, C.
67
While G
III
), the
motion from tonic minor to the raised major mediant ap-
pears with surprising frequency between the movements of
multi-movement works cast in c minor, and, as such, de-
serves consideration as a further ramication of the A
CE
complex.
69
Two things are immediately striking about this inter-
movement tonal relationship. The rst is the tonal contrast
the key of E represents a luminous and ethereal refuge
from the surrounding c minor.
70
But this tonal contrast
seems to be predicated on the associativity of E, rather than
absolute tonal distance, as E is not the most tonally distant
major key from c minor; it lies ve steps away on the circle of
fths, while A major lies six steps awaydirectly opposite c
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the origin and function of chromatic major third collections in nineteenth-century music 185
72 Smith holds that E is not only an expressive reprieve from the sur-
rounding tragedy of c minor, but also bears motivic cross-references
with the rst movement. The Andantes E major can be heard as an out-
growth of the pizzicato Es from the Allegro (Smith 2005, 101).
Likewise, the foreignness of the C
!
( )
5
5
e
Augmented triad
motive on: E
L
6
C
c:
P
c
L
C
6
G
:
P
g
E:
L
E
G
V
6
4
i
5
V
6
4
VI
I
example 12. The A
CE complex in Brahms Quartet, op. 60, Andante: Graphic analysis of the retransition to the opening material,
mm. 7078.
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favored the use of the A
CE
complex appears in almost every conceivable context, tran-
scending the boundaries of genre, form, and tonal hierarchy.
More importantly, an awareness of its origins, tonal func-
tions, and expressivity enriches our analytic practice. Recog-
nition of these sonorities group structure uncovers intersec-
tions and contradictions between tonal/hierarchical and
phenomenological/referential hearings of music, impacting
our understanding of musical form and musical meaning.
That we can appreciate these intersections and contradic-
tions in an artistic style period that embraced duality and
ambiguity seems only tting. And, despite the nineteenth-
centurys owering of stylistic diversity fueled by individual
expression, the A
ce complex pieces
Bach, C.P.E., Piano Sonata in f, H. 173, i, mm. 2662
Beethoven, Piano Concerto no. 3 in c, op. 37, iii, mm.
182265 ff.
Beethoven, Piano Sonata in f, op. 57 (Appassionata), i,
development
Beethoven, In questa tomba oscura, WOO 133
Beethoven, Piano Concerto no. 5 in E
, op. 73 (Emperor),
i, mm. 13889 ff.
Beethoven, Fidelio
Beethoven, String Quartet in e, op. 59, no. 2, i, mm. 20921
Beethoven, String Quartet in E
, op. 127, ii
Brahms, Piano Quartet in c, op. 60, mm. 7078
Brahms, Symphony no. 1 in c, op. 68
Brahms, Concerto for Violin and Cello in a, op. 102, i, mm.
23857 ff.
Brahms, Intermezzo, op. 118, no. 4
Brahms, Clarinet Sonata, op. 120, no. 1, ii, mm. 4149
Chausson, Piano Trio, op. 3, ii, 13948
Chopin, Rondo, op. 1, mm. 54100
Chopin, Nouvelle Etude in A
, mm. 125
Chopin, Polonaise in A
, op. 53
Chopin, Mazurka in A
, i, development
Haydn, Quartet, op. 76, no. 3 in C (Emperor), i
Liszt, Annes des Plerinage, Premire anne: Suisse
Liszt, Orpheus, C. 682, mm. 72130
Liszt, Blume und Duft, C. 698
Liszt, Eine Faust-Symphonie, C. 697b
Liszt, Die Trauer-Gondel I, C. 1279
Mahler, Symphony no. 2 in c (Resurrection), i, exposition
Moussorgsky, Pictures at an Exhibition, Limoges, mm. 1618
Mozart, Cos fan tutte, Act II, Finale
Mozart, Symphony No 39 in E
, D. 929, i, recapitulation
Schubert, Piano Sonata in a, D. 845 (op. 42), i, mm. 180
Schubert, Allegro in a for Four Hands, D. 947 (op. 144,
Lebensstrme), exposition
Schubert, Wanderer Fantasy, op. 15
Schubert, Octet D. 803 (op. 166), vi, mm. 17278
Schubert, Symphony no. 4 in c, D. 417 (Tragic), ii, mm.
83109
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Schubert, Symphony no. 6 in C, D. 589 (Little), iv, mm.
292316
Schubert, Symphony no. 9 in C, D. 944 (Great), i
Schubert, Antigone und Oedip, D. 542
Schubert, Der zurnenden Diana, D. 707
Schubert, Flle der Liebe, D. 854
Strauss, Richard, Horn Concerto no. 1 in E
, op.11, ii
Strauss, Richard, Also Sprach Zarathustra, op. 30
Stravinsky, Piano Sonata
Verdi, Il Trovatore
Wagner, Die Feen, O ihr des busens Hochgefhle
Wagner, Der iegende Hollnder, Die Frist ist um
Wagner, Die Walkre, Magic Sleep music
Wagner, Die Meistersinger von Nrnberg, Act III, Wahn
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Wagner, Siegfried, Act III, Siegfried and Brnnhilde love duet
Wagner, Siegfried Idyll
Wagner, Parsifal, Prelude to Act I; transition music in Act
III; and nal scene, among others
Wolf, Nimmersatte Liebe, no. 9 from Gedichte von Eduard
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