1. Heinrich Schenker, Harmony, ed. Oswald Jonas, trans. Elizabeth Mann Borgese (Chicago: University of Chicago Press, 1954), xxv.
2. "Energetics," in The Cambridge History of Western Music Theory, ed. Thomas Christensen (Cambridge: Cambridge University Press, 2002), 927-55.
3. "Energetics," 927-8.
4. "Energetics," 929.
5. Oswald Jonas, Introduction to the Theory of Heinrich Schenker, trans. and ed. John Rothgeb (New York: Longman, 1982), 54-6.
6. See, for example, Schenker's comment about the first movement of Beethoven's Op. 81a: "Here g-flat2 and g2 are engaged in a struggle with one another . . . the synthesis of the entire first movement circles around this conflict." In Free Composition, trans. and ed. by Ernst Oster (New York: Longman, 1979) p. 100.
7. A similar critique is made Patrick McCreless in "Ernst Kurth and the Analysis of Chromatic Music of the Late Nineteenth Century," Music Theory Spectrum 5 (1983) pp. 56-75.
8. This is in keeping with the concept of functional agents described by Daniel Harrison, Harmonic Function in Chromatic Music (Chicago: University of Chicago Press, 1994), esp. pp. 49-55, though Harrison does not call special attention to the alteration of the fourth scale degree.
9. In his analysis of this theme as it occurs in the final movement of the Third Symphony, Schenker refers to the corresponding #^4 and says that it, "embodies the urge of a2 to reach b-flat2." Schenker reads the latter b-flat2 as the goal of a local Anstieg, though the global Kopfton he takes as ^3 (as I do). In "Beethoven's Third Symphony," trans. Derrick Puffett and Alfred Clayton, in The Masterwork in Music III (Cambridge: Cambridge University Press, 1997) p. 54.
10. The effect of an apparent cadence into F is heightened by the octave leap on C as the 6/4 resolves.
11. The semiotic bases of meaning in such situations is explored in Robert Hatten, Musical Meaning in Beethoven (Bloomington, Indiana: Indiana University Press, 1994); Hatten explicitly cites the reversal of the expected resolution of sharp ^4 to natural ^4 as susceptible to hermeneutic interpretation as a from of denial or negation; see pp. 56-63 and especially the analysis of Beethoven's Op. 7/ii.
12. This characterization bears a close relationship to Hatten's category of abnegation, "a 'willed' resignation" that is "actively involved in its reversal of yearning." (59) Though the spiritual associations that Hatten ascribes to abnegation are very apt for my Examples 3 and 4, other ways in which sublimation is distinct from this category will become elaborated presently.
13. The B flat in m. 68 has no trace of an A sharp function.
14. Note that that the twisting figure leading to the cadence is concealed in the opening's D-C sharp-D-C natural-B flat.
15. It is this moment that seems to me to be most like Hatten's category of abnegation, albeit in this context it involves not a reversal of #^4's tendency to resolve but rather its resolution.
16. This is arguably the position of Eduard Hanslick; see On the Musically Beautiful, trans. Geoffrey Payzant (Indianapolis: Hackett Publishing Company, 1980).
End of footnotes