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Beethoven's Synthesis of Sonata Style and Variation Form in theOpening Movements of the 'Hammerklavier' and Op. 110, No. 31 Piano

Sonatas

Beethoven is well-known as a composer who stretched or expanded the parameters of the

classical style, and the Piano Sonata is a genre that in some ways allowed him far more artistic

freedom than larger-scale works. As a result, Beethoven's Piano Sonatas were compositions

through which he was able to excerpt some of his most experimental ideas. These ideas are

typically well-documented, such as his affinity for modulating to the mediant key for the second

subject of a sonata form rather than the conventional dominant key. However, rather than

expanding the effects of sonata style within the form as understood at the time, in his late piano

sonatas Beethoven plays with the form itself in a synthesis of it and variation form.

This essay aims to explore and explain Beethoven's synthesis of sonata style and variation form

using both Piano Sonata Number 29, Opus 106, and Piano Sonata Number 31, Opus 110. To begin,

the forms will be presented as two antithetical processes (Dahlhaus, 1989, p.13). Each form will be

discussed in turn with a focus on both the defining characteristics and those features that render it

incompatible with the other form on a conceptual level. Following this, the discussion will then

shift to Beethoven's use of the two forms in his Piano Sonata Number 29, the 'Hammerklavier', and

also 'Piano Sonata Number 31'. The primary focus will be on a detailed analysis of form in the

Hammerklavier, which will later be contrasted with the use of variation form in Opus 110 in a

discussion that will lead into the conclusion.

In the 21st century the concept of 'sonata form' is common knowledge for those who have ever

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studied music even at an introductory level (Rosen, 2002, p.9). Despite its acceptance into today's

musical society, though, during the Classical era it would not have held such specific a definition as

it does today (Newman, 1983, p.26). As Rosen explains, this modern definition and perception of

'sonata form' differs greatly from that of the time, principally in that there is such a definition, and

this has important implications on the way that the style is thought about (1980, p.2).

For this reason, the difference between sonata 'form' and sonata 'style' (Rosen, 1971, p.43) should

be asserted before moving further. The latter, whilst perhaps more vague, is also a more accurate

term to describe stylistic convention of the classical era in musical movements that would today be

said to be in sonata 'form'. In addition to this, a movement that is not in sonata 'form' can still have

elements of sonata 'style'. Whereas sonata 'form' refers to a solidified group of structural

ingredients in a movement (a first and second subject, the latter of which should be in the

dominant key, for example), sonata 'style' does more to indicate aural effects such as a 'sense of

return' rather than secondarily referencing structural convention in the eighteenth-century via

modern conventional belief. Despite there being issues with the term 'sonata form', though, it

remains heuristic in referring to those more 'mechanical' structural elements of a movement and

so both will be used throughout this essay.

The sonata style is one of motion. Although “the basis of all Western musical form starting with

Gregorian chant is the cadence”, what changed in the eighteenth century was the rise of “a new

emphatic polarity between the tonic and dominant, previously much weaker” (Rosen, 1971, p.25).

This polarity is at the heart of sonata style, and allows the application of tonal tension and

resolution. Due to the yearning for this eventual resolution, sonata style has an inherent 'pull'

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forwards; it has a 'drive', an 'energy'. It can also be likened to a journey; you move away from

destination 'A' toward destination 'B', and eventually return; this sense of return is one of the

fundamental moments in the sonata style.

On the contrary, theme and variation form is static. Since each variation is, tonally, fundamentally

identical, it lacks the forwards motion of sonata style. Instead, the focus is on melody and, of

course, thematic development. It begins in a place, and it explores that place. Whereas sonata

style seems to look forwards, variation form seems to look inwards. Given the extent to which

these two formal processes (Dahlhaus, 1989, p.13) are conceptually antithetical to each other, it

seems unlikely that they could ever be successfully combined.

It is important when performing an analysis using a score that what really matters is how the piece

is heard, and this is particularly important in this instance. Although no movement can be heard as

two simultaneous forms (rather, only as one hybrid), the most convenient and logical place to

begin seems to be a focus on use of the two forms individually. First, an overview of the sonata

form in the movement will be given, and following this a discussion on any elements of variation

form within the movement.

A brief look at the first movement of Beethoven's Hammerklavier shows the presence of a

'traditional sonata form' in terms of layout, and Tovey's bar-by-bar analysis gives good insight into

this (1931, p.215). We begin, of course, with the very characteristic opening theme (that Tovey

calls “A”), followed by a second melodic theme (bb.4-8) and it's counter-subject (bb.8-16) – theme

“D” (Tovey, 1931, p.215). Following this, there is some tension through a harmonic ascension and

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descension (over a tonic pedal), and then a return to the dominant at bar 31 in a passage leading

to the transition. At this stage it will be assumed that Tovey is correct in saying that the material

starting at bar 17 is a new theme - “E” (p.215).

Figure 1 – opening bars.

A re-statement of the opening bars marks the start of the transition section, although this time the

second half of the theme moves to the mediant D major. As would be expected, the transition is

spent preparing a modulation; in this instance there is a lengthy continuation of D major in

preparation to a subsequent move to G for the second subject. Although this section is large for a

transition, Tovey notes that it is rather a necessity for a work of this scale (1931, p.216). There are

also two “figures” that appear in the transition from bars 38-44 and 47-62, the first of which is

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derived from theme A. Tovey goes into more detail with regards to where material stems from in a

number of instances, both including and following this figure; more exploration of this will occur

leading into discussion on Beethoven's use of variation form.

Figure 2 – transition section.

Starting at bar 63 is the second subject, in which another new theme (that will be called 'H') is

heard (bb.63-66) until it arrives at the now-dominant (D major) and it's counter-subject begins;

this continues through until bar 75. At bar 69 of this theme E minor is briefly reached, and the

remainder of the theme features a descent through the circle of 5ths until another new theme,

theme 'J', begins at bar 75 along with a return to G. By the end of bar 90 there has been a shift to

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the sub-dominant, C, and starting at bar 91 is a figure leading to a cadential passage in D in

preparation for a move back to G.

Figure 3 – second subject 1.

The next section (b100) features two themes, one of which appears to be new (theme 'K'), and one

(b112) that resembles that of bar 17 that leads into the repeat (or development). Tovey simply

places these bars within the “second group” (1931, p.216), but due to it's start being punctuated

with a cadence onto the home key (the dominant of B-flat) and yet another new theme this could

be called a 'codetta' here.

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Figure 4 – second subject 2 (codetta).

In summary of the exposition, all of the ingredients that would be expected in a sonata style are

present, broadly speaking. There are two contrasting subject groups in different keys that are

separated by a transitional section, both of which go on their own harmonic 'journey' via the

deviation (or implied deviation) from their tonal centres.

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Figure 5: Summary of Exposition – Sonata Form

1st subject – Theme A, Theme D, Theme E – Key: B-flat

Transition

2nd subject – Theme H, Theme J, Theme K ('codetta') – Key: G (VI)

(Figure to close harmonic/thematic loop for repeat)

What could potentially be called peculiar is the somewhat 'rigid' nature of the thematic entries.

Each theme is very characterful, and although there is sometimes connecting material, such as

bars 45-46, there more often is not. As a result, the thematic entries and changes in material are

remarkably striking. This in itself does not contradict the sonata style, but it certainly is a feature of

the movement's character and could allude to a variation-based form.

Figure 6 – bb45-46 – connecting figure in context.

If this movement is listened to without a focus on tonality or where the harmony is going, it can

take a very different shape. If, rather, it is listened to more broadly, with a focus on the general

characteristics of the thematic material, then elements of variation form can be seen more clearly.

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Listening in this way, the movement begins with two very contrasting thematic statements.

The first, theme A, features a very large texture comprised of full chords covering almost the full

range of the piano (taking into account the pedal). It also has a characteristic punctual rhythm and

is marked 'fortissimo'. The second (theme D) enters on the last beat of bar 4, and is separated from

theme A by a rest with a fermata. It is marked 'piano', is gentle in nature, and the melody is

organised on top of two other voices that are in crotchets; the lowest voice descends over the

counter-subject (b8) with injections of chromaticism.

Figure 7 – examples of themes A (left) and D (right)

Bearing these characteristics in mind, theme E, which Tovey introduces as a new theme, can be

very much likened to theme A. Like theme A, it features: a texture comprised of full chords, a use

of the full range of the piano, a tonic pedal, a generally forte dynamic and a 'punctual' and

rhythmic character. As well as these general observations, there are more detailed links that can be

made between the two themes. In the first bar of each group of 2 in theme E, the characteristic

feature in the left hand is two groups of three quavers. In theme A, a three-quaver group (aurally)

starting at beat 4 of bar 1 could be said to be the 'centre' of the 'figure', and is also the only

rhythmic group of it's kind in each 'figure' making up the theme. In the second bar of the 2-bar

groups in theme E what is emphasised is the off-beat character, created by the chords in the left

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hand in combination with the downbeat crotchets in the right hand. Returning to theme A, the

first half of each 'figure' is, rhythmically, characterised by the off-beat. The theme begins with the

pedal on the off-beat, and although the next chord comes at the next downbeat, this serves only

as a point of reference for the next off-beat chord in which the upper register is heard for the first

time, therefore giving it more emphasis. The way that central characteristics of theme D are

'extracted' and each expanded into two bars could suggest an exploration of those elements of

theme A that is at the heart of variation form.

Figure 8 – linking theme 'E' (right) to theme 'A' (left).

At bar 24 of theme D there is a change to just using the 2nd bar of the two-bar group in D, and from

here the texture thins to just octaves in a descending passage that also comes down dynamically

and ends at bar 34. Although the character of the music does change here, it is prevented from

being called another variation due to its evolutionary nature; it does not establish itself as a

theme. Instead, this is a necessary figure that serves practical purpose for the sonata form: moving

to the dominant in preparation for the transition section.

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Figure 9 – passage into transition.

Whereas in sonata form the return of theme A in bar 35 works as a rather obvious marker for a

new section, in variation form it serves more of a dual-purpose as a re-statement, a reminder, of

the original theme. This is just as well, as following this there is another passage that could be

called a variation of theme A. As Tovey notes, the pattern in the left hand of this passage consists

of the quaver and dotted quaver rhythm from the start of theme A (1931, p.216). It also retains the

off-beat character since the chords in the right hand fall on beats 2 and 4 of the bar, and like theme

A it lacks a defined melody but is instead characterised by it's dense chords. Although this variation

initially contrasts with theme A dynamically, it could be argued that it is more strongly linked in the

other ways mentioned, and it does build in a crescendo during it's last 4 (out of 6) bars.

Figure 10 – Theme A Variation 3

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Bars 45 and 46 can be linked to theme A by 'crotchet-quaver-quaver' rhythm at theme A's centre

(Tovey, 1931, p.216), but these can only be connecting bars to a new potential variation at bar 47.

Whereas all of the variations up until this point have been of theme A, this passage strongly

resembles theme D in character. Like theme D, this passage shifts focus to the upper melodic voice,

but to an even greater extent. The left hand plays a harmony to the right, and even when it has it's

own part it is very sparse. There are no dense chords as in the theme A variations, and it also has a

very clear phrase structure as well as being marked 'piano', all contributing to its 'gentle' character.

As a variation of theme D this would undoubtedly have grown from it's melodic aspect since it is

seemingly a representation of 'pure' melody.

Figure 11 – Theme D Variation 2

Other implications also ensue at this point; if two contrasting themes are being varied in parallel

then that means that the first movement of Beethoven's Hammerklavier sonata not only contains

a variation form, but could pertain to a double variation form. It is also notable that the transition

section seems to mirror the first subject with regards to thematic variation. In the first subject, the

listener receives a statement of theme A, the gentle theme D, and a longer variation of theme A; in

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the transition there is a statement of theme A, a variation of theme A, and this time a longer

variation of theme D.

The second subject, in sonata form, contains the three new themes, 'H', 'J' and 'K', and these can

again be linked to the theme D strain of variations. Theme H (bb63-74) has a very similar texture to

theme D with a number of independent voices and a melody in the highest voice. It also has the

characteristic two quavers on the last beat of most bars. Although theme J sounds very unique, it's

most defining characteristics are the descending quaver 'runs' with lots of harmonic colouration,

and accents on beats 3 and 4 on the quaver notes. The descending runs can be derived from

lowest voice in theme D, which descends in each subject of the theme and also features

chromaticism as theme D does. The accents on beats 3 and 4 can be seen to emphasise the two

quavers that end each bar and start each step in the melodic sequence of theme D. Theme K

follows the connecting passage from bar 91 and is marked “piano” and “cantabile dolce ed

espressivo”, and features a high melodic part in the right hand with strong phrasing. In addition to

this, the left hand both has a pattern resembling the quality of the melodic variation of theme D

(b47) and, starting at bar 106, also contains a very similar shape in the four-quaver group. Leading

out of the exposition is a very slightly altered version of the passage closing the 1st subject (b24).

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Figure 12 – second subject variations.

In summary of the exposition with regards to variation form, there are clear elements of variation

present amongst the primary thematic passages, although the structure is shaped more by sonata

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Theme H Var.

Theme J Var.

Theme A

Trans. Passage

Var.

Theme K Var.

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style. The variations vary greatly in length and are most strongly associated with each other via

rather general aesthetic qualities such as the very rich texture of theme A or the 'delicate' quality

of theme D, but nevertheless these links can be made.

Summary of Exposition – Variation Form

Statement of Variation A1 ('VA1') – bb1-4Statement of Variation D1 ('VD1') – bb4-16

Variation A2 – bb17-30

Re-statement of VA1 – bb35-38Variation A3 – bb38-44Variation D2 – bb47-62

Variation D3 – bb63-74Variation D4 – bb75-90

Variation D5 – bb100-111(Extract of VA2 as closing passage)

Due to the nature of the exposition in sonata style, this is where the majority of material, and

therefore the most variations, are presented. From here on the development and recapitulation

sections will be covered with regards to sonata style and variation form in parallel.

The development is composed mainly of the fugato that begins at bar 137, but it does also have an

introduction (b124) that is a variation of theme A and most closely related to variation 'A2' of

theme A. Although the theme used in the fugato is derived from the opening theme A (Tovey,

1931, p.217), and the fugue itself is a strict form of variation, it sits outside of the variation form in

the rest of the movement.

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Figure 13 – Introduction to fugato (variation of theme A).

The fugue continues until bar 177, where a further variation theme A is heard (Tovey, 1931, p.218).

This variation contains two 2-bar groups, and as Tovey describes, is derived rhythmically from

theme A. The first two-bar group is marked 'fortissimo', and the latter group is 'piano' in a similar

way to “Variation A2” (b17). At bar 201 theme 'K' (or 'variation D5') (b100) returns, followed by 4

bars resembling variation 'D2' (b47). These passages provide a brief sense of return to material

from the exposition but are proved to be a deception when another fugal passage rudely starts

fortissimo at bar 212. This does lead into the recapitulation at bar 227, though.

Figure 14 – post-fugato theme A variation.

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For the majority of the time the recapitulation follows the exposition rigidly in terms of thematic

material (although it does also contain slight alterations throughout), but there is a mysterious

potential variation in the place of what would have been the counter-subject of theme D. This new

counter-subject now rises in a sequence and after bar 242 consists chiefly of quavers, giving it a

significantly different 'flavour' to previously. Apart from this minor alteration, though, the

recapitulation generally fulfils its expectations.

Figure 15 – variation of theme D counter-subject.

The passage starting at bar 350, unlike its counterpart in the exposition, is expanded and leads into

a coda section comprised primarily of variations or references to previous variations.

(See figure 16 on next page)

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Figure 16 – Coda themes/variations.

The first movement of Beethoven's Hammerklavier sonata contains an intriguing blend of

elements from both sonata and variation forms, but for myself it seems to be 'sculpted' principally

in the shape of the former. The variations make up a large part of the movement, but seem to be

primarily a method for both thematic development and unification. Within sonata form there is a

requirement for both the development of material, and unifying motivic pillars through the work in

order to contain the energy of the form; in this movement these unifying links have not just been

made using motivic chain links, but also make use of broader links through exploration of thematic

character via the growth of new themes. Ultimately, in this movement theme and variation form

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serves as a unifying device throughout the sonata form.

In contrast, the face of the first movement of piano sonata number 31 shows a much more

thoroughly ingrained variation form. After an introduction (bb1-4) a 7-bar long theme is heard that

also serves as the first subject group. The transition section is then formed by the second variation

(bb12-18) that also prepares a modulation to and cadences onto the dominant key (E-flat) in

another variation.

Figure 17 – Intro → transition.

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The second subject then comprises of two substantial variations as well as some connecting

material, and a codetta leading into the development (without a repeat of the exposition) contains

three compressed 2-bar variations.

Figure 18 – second subject variations.

The development section features material from many of the previous variations and is grouped in

bars of two. What is the recapitulation in sonata form features a slightly varied repeat of the

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exposition, but no new variations, and the majority of the coda is taken up by a very similar

variation to that of the transition section.

Figure 19 – development section.

In this movement Beethoven seems to use very different tactics in order to synthesise the two

forms in comparison with the Hammerklavier. Unlike the Hammerklavier, the variations within this

movement fit 'neatly' in line with corresponding sections of sonata form; they play a more pivotal

role in defining sectional boundaries within the movement. They also have a more consistent and

'symmetrical' length, implying that they were not created to be in accord with a form that takes

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precedence, but were at a minimum seen as equally important as the sonata style counterpart.

In any hybrid movement there must be a compromise with relation to each form used. It is

impossible that all elements of both sonata style and variation form can be brought out since they

conceptually oppose each other. In the first movement of the Hammerklavier, a primary

characterising feature with sonata style at its heart is the amount of energy it has. In addition to

the expected use of tonal relationships to exploit the effects of tonal tension and resolution, the

double variation element is used as a tool to create thematic contrast for further friction within the

movement, whilst also providing another level of unification via the many themes heard.

In contrast with the Hammerklavier, the opening movement of Piano Sonata No. 31, Opus 110 has

more focus on thematic development rather than the extreme contrast of polarised thematic

sections, and much more closely resembles a standard variation form. As with a standard theme

and variation form, the exploration of different elements of the theme can be more clearly heard,

and the variation occurs in a more 'linear' fashion than in the Hammerklavier. However, after

moving away from the original theme through the exposition, and 'peaking' at the development

section, the return that is essential to the sonata style is experienced at the recapitulation (thereby

interrupting the linear development). In this movement, thematic variation seems to work in

parallel with the tonal shape of the sonata form. Despite how the two formal shapes are consistent

with each other in this movement, though, the sonata style's desire for contrast is largely restricted

to tonality by variation form, and variation form sacrifices focus on the themes at necessary areas

of modulation for the sonata style; there still must be a compromise.

Word count: 3901

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