Exploring Emotions and Meanings in

Tchaikovsky Symphony No. 5, movement 1 

The idea of duality has been expressed in music from the beginning of its history. It can be expressed through as micro as a long note and a short note to a global structure of the piece with two contrasting sections. The emotional duality can also be expressed in music, typically through the use of different modes, which Tchaikovsky utilizes as well in his fifth symphony. However, Tchaikovsky explores the complexity of emotional duality beyond the major and the minor mode through deviating from our expectations, particularly through the formal structure. In this paper, I would like to discuss how Tchaikovsky presents the conflict between two contrasting emotional qualities negativity and positivity, and the complexity of the emotional expression and meaning focusing on the first movement of his fifth symphony.

          Before we take a close look at specific sections in the movement for the potential creation of emotion and meaning in our musical experience, I would like to discuss the global structure of the movement and address how it deviates from our expectations and, as a result, how it affects our emotional response. The movement starts with a slow introduction which is typical for romantic symphonies. The primary theme starts in e minor followed by a brief tonicization of G major. Because of the presence of the imperfect authentic cadence in G major, two modalities already imply the conflict in major and minor mode, which is, in my opinion, one of the essential meanings of this movement, which I will discuss further. The half cadence in B dominant seventh at bar 57 is preceded by the transitional passage which is based on the primary theme material in several sequences. The music lands with the half cadence in F sharp major to prepare the secondary theme in b minor. Although it is less common to go to the minor dominant in the minor key than the relative major, it is still within the expected key area. However, there is no clear authentic cadence in b minor in this secondary theme area, and it almost functions as a dominant prolongation. At bar 140, this is where the music of the secondary theme area starts to deviate from our expectations without having a clear cadence in b minor. At bar 152, the music then completely changes its character as if it went into another movement. This new material suggests the pastoral mood, which I will discuss further later in my discussion. The key is in D major, and the first clear confirmation comes at bar 170 with the imperfect authentic cadence in D major followed by another free-minded theme. The first climactic moment comes at bar 198 with the first clear perfect authentic cadence in D major which could be assumed as the beginning of the closing section of the exposition. It is unexpected to end the exposition in D major, which seems to be a distanced key from e minor. The exposition deviates from our exposition in terms of the formal structure and leaves us with a sense of question and ambiguity. The fact that the secondary theme area could be separated into three sections (and potentially four sections if we include the free-minded theme), I would borrow Hepokoski and Darcy’s terminology, a tri-modular block when I refer to the formal structure of the exposition. TM 1 is a prolonged dominant section in b minor, TM 2 is the start of the transition to the next medial caesura at bar 140, and the pastoral theme is TM 3.

          The development section begins in D major as expected, however, the music goes into d minor instantly at bar 218. The rest of the development section follows typical development sections from the standard repertoire in terms of the formal structure, utilizing the thematic materials that are introduced in the exposition. One exception to our expectation comes at the end of the development section. The climactic point of the section calms down to pianissimo in 12 bars right before the recapitulation starts. In the traditional form, there is usually a retransition passage that prepares the tonic arrival at the recapitulation with the dominant pedal or dominant harmony. However, this movement closes the development section with C dominant seventh chord in the 3rd inversion, which is the secondary dominant of the Neapolitan in e minor. This unstable preparation for the recapitulation creates ambiguity in the formal structure and deviates from our expectation of the return to the home key. A primary theme area of the recapitulation is a normative form, however, it makes a half cadence in G sharp major at bar 372 followed by the secondary theme in C sharp minor, which is another distant key from e minor. The pastoral theme comes back in E major, which is fully confirmed at bar 455. At bar 471, a transition passage to the coda begins with another sudden change in the modality into e minor. The coda starts at bar 487, which follows the traditional way with the primary theme material. Overall, this movement follows a traditional sonata form with several deviations from the standard formal structure. I argue that the use of the tri-modular block and sudden shift in the mode is to enhance the conflict of major and minor tonality as part of the expression of the inner struggle of the protagonist. Furthermore, I believe that the unstable arrival to the recapitulation addresses harmonic ambiguity to deviate listeners’ comfort for the cadence.

          From analyzing the bigger picture of the first movement, it seems clear that the overall meaning of the movement is the inner conflict of the protagonist with an unstable state of mind and obsessiveness. I would like to explore specific sections of the piece to support the overall meaning of the movement. The opening theme in the introduction reoccurs multiple times throughout the symphony as many people call the symphony a cyclical symphony. The theme has a similar character to a solemn funeral march. One of the elements that provide the unique weightiness to this march is the fact that two clarinets are playing the melody in unison instead of a solo clarinet. Since this is a low register of the clarinet doubling a single line, it creates a weighty and dark timber. Moreover, Tchaikovsky marks pesante e tenuto sempre, which is another contribution to making a heavy and dark character from accompanying. I also argue that this march-like recurring theme is unstable in terms of the direction of the music. The harmonic structure of the theme consists of a tonic-subdominant relationship instead of a tonic-dominant relationship. There is no clear authentic cadence, and the repeated half cadences bring a sense of unending march with anxiety. Furthermore, the descending sixth figures at bar 5 and the following bars express hopelessness as the figures make a diminuendo each time down to piano. It could also be heard as a long sigh of disappointment. In this introduction, the protagonist’s negativity is shown through the weighty and dark gestures, anxious and unstable harmonic progressions, and descending sixth falling figures.

          The primary theme continues the plagal motion between e minor and a minor in the strings accompaniment which fosters instability of the protagonist’s mind. Since the music does not reach any authentic cadences in the primary theme area, there is a sense of being lost, yet we see a brief moment of positivity in G major as Tchaikovsky implies that these first flute and clarinet lines in unison are different from the e minor theme by marking grazioso e leggiero. At bar 57, music makes a half cadence in e minor, instead of a cadence in G major, and goes back to an unstable and dark character which indicates domination of the negativity at this point. As the transition passage starts, the clarinets and the bassoons add more agitation to the protagonist’s struggle with running 16th notes. The brief positive interruption occurs at bar 68 when G major comes back with a perfect authentic cadence. Tchaikovsky keeps four 4-bar phrases in a sequence to emphasize the joyful G major until it collapses in the arrival with b minor 1st inversion chord which brings us back to e minor sonority. The transition passage is more extensive and dramatic than typical transitional sections. The inner struggle increases the intensity as if the protagonist repeats the negative impact again and again. The rhythmic figure that consists of a dotted 8th note, a 16th note, and an 8th note may reflect the obsessive gesture as it dramatizes the negative conflict of the protagonist in this transition section. The dynamic level goes up to triple forte at bar 100, and the intense obsession of the struggle reaches the medial caesura in F sharp major at bar 115 to prepare the secondary theme. 

          The secondary theme area consists of a tri-modular block, and TM 1 starts in b minor, abandoning G major which previously appeared at several moments to give small lights with positivity. The conflict is still dominated by the negative energy with a sudden dynamic shift to mezzo forte and anxiety as the strings make a contrary motion. This material contains a diminished chord in the middle of the phrase which creates a foggy character. As previously discussed, there is no cadence in b minor which inherits instability from the primary theme area. At bar 128, there is a brief moment of positivity in the D major area to confront the negativity of minor modes, but again without clear tonal confirmation. This four-bar seems to express the passionate vocal lines in the first violin and cello desiring positivity. The repeated F sharp and a shift to a slower tempo (Poco meno animato) create the broad longing quality, and fortissimo suggests passionate longing instead of hope or prayer. However, the minor mode once again overtakes with a foggy and unstable theme with contrary motion. If this is a typical secondary theme area from sonata form, it would make a cadence in b minor and move onto the closing section. However, the first horn starts the transitional gesture at bar 140 without any harmonic confirmation. This section seems to mark TM 2 in Hepokoski and Darcy’s sonata theory, which is a transition passage that seeks another medial caesura. In other words, TM 2 anticipates another secondary theme area that meets more stable cadences with clear tonal confirmation. In terms of the emotional response of TM 2, there is a sense of anticipation and mystery due to the decrease in dynamics and fewer instrumentations. The intense struggle has paused for a second, and the music is ready to take off somewhere different. Yet, since this section unexpectedly arrives in the traditional formal sense, all the emotions that were accumulated through the intense struggle in the transition are suddenly lost. As horns and strings exchange the line, there is a feeling of exhaustion from the intense inner conflict and fragility in the protagonist's essence as if it is disappearing. 

          At bar 152, the music suddenly changes the scene with A major arpeggio without any preparation played by lively strings pizzicato in fortissimo. It is followed by a D major arrival and a peasant dance-like figure played by oboes, clarinets, bassoons, and horns. A D pedal tone is prominent to create a peasant-like quality. Tchaikovsky’s marking “Un pochettino piu animato” moves the tempo forward which conveys a lively dance feeling as the first clarinet plays the jumps in the 6th. This peasant dance is answered by a transformation of TM 1 in contrary motion twice as fast as the b minor theme. This four-bar phrase with peasant dance repeats itself four times, which I call TM 3.0. I believe that this sudden change in TM 3.0 contains the biggest ambiguity of this movement. It is difficult to make any narrative connections between TM 2 and TM 3.0 since these two sections are completely different characters, and there is no expected harmonic transition. Although one could claim that the caesura-fill with A major arpeggio could be the bridge to anticipate the peasant dance in D major, there is no official half cadence leading into the A major chord with strings pizzicato. Therefore, one could also assume that TM 3.0 is not in the current narrative line in our emotional response, and it is the expression of some kind of positive experience in the past. However, I would argue that this section does not have a nostalgic element to express the past because the music is clearly present with fortissimo and forte. My argument to justify this abrupt transition in a sense of the musical meaning is that it presents “superficial positivity” as part of the presentation of an inner conflict, which is the main idea of this movement. The fact it made an abrupt and unnatural transition to TM 3.0 implies the protagonist’s deliberate gesture to gain positivity. However, several thematic transformations from the negative section of this movement imply that there is still a dark side hidden in the depth of the protagonist's struggle. For example, the 6th jump in the peasant dance could be the transformation of the descending 6th from the opening march theme that expresses hopelessness and disappointment. As I mentioned, the answer to the peasant dance could be the transformation of the foggy theme from TM 1.  Because of the abrupt nature and the underlying meaning of the theme, it seems difficult to make an argument that it gives an authentic meaning to “peasant dance.”  

          Another prominent ambiguity is presented with the free-minded theme at bar 170, which I call the extension of  TM 3.0 or TM 3.1. We hear the first satisfied imperfect authentic cadence in D major. There is stronger harmonic stability and a sense of thematic group with several cadences as we see the first perfect authentic cadence at bar 186. Therefore, we could almost hear TM 3.1 as a true secondary theme that contrasts with the primary theme which is the most authentic role of the two contrasting themes in the sonata form. As Tchaikovsky wrote “molto contabile ed espr.” the melody has a singing quality with freedom and uplifting feeling as the descending gesture rises in a four-bar phrasing. One could assume that this theme marks the arrival of the first positivity in the dramatic conflict. However, I would argue that TM 3.1 contains the elements of “superficial positivity” to imply that the protagonist is yet in a major emotional struggle. One suggestive element is rhythmic displacement in which the violin melody is in 3/4 meter while lower strings play the accompaniment in 6/8 meters. This rhythmic instability provides the subtle anxiety in the positive and free-minded theme suggesting that the protagonist is still captured by the negative energy. The climax of the exposition arrives at bar 198 with the perfect authentic cadence in D major and the peasant dance theme, which marks the beginning of the closing section. The music presents triumphant quality, however, the obsessive rhythmic figure that was heard in the primary theme area as a manifestation of negative struggle returns underneath the peasant dance. As we close the exposition, the dynamic level decreases as if the emotional energy dies away from a triple forte to a single forte.

          As in my previous discussion, the exposition of this movement is constructed in a tri-modular block. I would like to take a further discussion of the roles of this particular form in musical meanings and emotion. In my opinion, Tchaikovsky explores the complexity of emotional expression by utilizing a tri-modular block. There are multiple emotional responses to having a delayed secondary theme (if we consider TM 3.1 a “true” secondary theme). One is the emphasis on negativity in the emotional narration. It holds the dark and weighty march-like character in the introduction, instability and negative obsession in the first theme area, and anxiety and anticipation in TM 1 and TM 2. If this is a traditional sonata form in a minor mode with a secondary theme in a relative major, the major and minor modes are almost divided equally into half within the exposition. However, having three sections in the secondary theme area gives the opportunity for a darker side of the struggle to dominate in this movement which adds a dramatic element to the inner struggle and the preceding movements to recover or defeat. Another role of a tri-modular block in the emotional term is to present the complexity by combining and transforming the materials between multiple thematic areas. As I previously mentioned, some of the motivic transformations were used in TM 3.0 and the closing section either in the melody or accompaniment. These transformations function as associative meanings in the context of the emotional expression where these transformations carry their meaning as musical metaphors in different sections. Moreover, as TM 2 deviated from our expectations to arrive at the closing section, a tri-modular block was able to create ambiguity. Although there was a small sense of tonicization in b minor in TM 1, the clear authentic cadence was prolonged until it arrives at TM 3.0. The prolongation of a cadence and a confirmation of the key area could mean creating a sense of anxiety and suspense which makes the arrival more meaningful which, in the case of this movement, is a surprise arrival of TM 3.0. In a tri-modular block, one could also argue that the secondary theme area creates a sonata form by itself. I believe this is a weaker argument since there is no official confirmation of the key in TM 1, but it is interesting to note the possibility that the form could be used to create different narratives in various ways.

          As we make a transition into the development section, the horns keep the peasant dance in D major. However, it instantly goes to d minor at bar 218. This is another important incident where the music expresses the inner conflict through two contrasting modes and continuous domination of negativity. The fact this transition was rather seamless indicates the powerfulness of the negativity overtaking the brief moment of joy. The development section contains several motivic transformations and their combinations mainly from the primary theme, TM 1, and TM 3.0. One of the important uses of these transformations for musical meaning begins at bar 226. Two motivic materials from the primary theme and TM 3.0 are combined as if they represent the direct conflict between negativity (PT) and positivity (TM 3.0). The conflict increases intensity, but fails to achieve a clear result of the conflict each time and falls down with the chromatic descending scales. This gesture repeats twice and brings the chaotic inner battle once again to the music. Then the obsessive gesture from the primary theme dominates as if the protagonist repeats to shout as they struggle. By bar 285, the dramatic struggle seems to settle in g minor for a while as the primary theme materials and the peasant dance continue to present the conflict. As I previously discussed, the arrival to the recapitulation is ambiguous as it prepares for the return in e minor with the secondary dominant of the Neapolitan. Particularly, the B flat pedal sounds extremely distant from what we are about to hear. If we did not hear the bassoon melody at the beginning of the recapitulation, it is extremely difficult to identify that this is the recapitulation since it arrives with the second inversion in e minor without any cadences. In fact, the first clear cadence is the imperfect authentic cadence at bar 328 in G major, which did not exist in the exposition. In terms of the emotional response, it presents a sense of hesitation instead of a resolution, which shares a fear of going back to the same struggling rotation again. It adds a complexity of emotion into the recapitulation which somewhat resolves at bar 328 hinting at some positive outcome in G major this time. 

          The emotional quality of the rest of the recapitulation is similar to the exposition since all the materials are repeated almost the same way except for the keys as presented previously. Therefore, the recapitulations and the code follow a standard sonata form. One thing to note in the transition to coda is that there seems to be a greater disappointment at bar 475 than what was presented at the beginning of the development section. When the music finally reaches E major sonority with the full confirmation at bar 455, it marks the most satisfactory triumphant moment that this entire movement was thriving for. However, this excitement was, again seamlessly destroyed by the return of e minor at bar 475. Although the presentation of the thematic materials and harmonic progression is almost the same, it gives deeper frustration than before to conclude this struggle in the first movement. The one surprise at the very end of this movement is the sudden ostinato in the bass line (E, D, C, B). Since this is a new idea, it indicates that the narrative line does not end at the end of the movement and continues to the next movement. Additionally, as this descending 4th in the bass line is frequently used in the following second movement, it creates an associative meaning to the following movements to leave the sense of unification.

          One should not forget that this analysis focused only on the first movement. I believe Tchaikovsky’s intention and musical intention are to present the inner conflict between negativity and positivity over the course of four movements of the symphony. Therefore, the first movement, the beginning of the narrative line, is dominated by negativity and its complexity. One of the significant remarks from this discussion is that the musical form has the power to construct the emotional responses and become the source for the narrative meanings. The complexity of expression of emotional duality in music could be achieved through the deviation of listeners’ expectations, creating the layer of transformations and music metaphors, and the use of superficiality in expression. It is important to realize that there are some elements of my discussion that might not be salient to some listeners, and there might be several levels in which the listeners would experience as I discussed. I believe that is part of the beauty in music, especially when the expression is expressive of complicated human dualism in emotion.

Bibliography

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