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This thesis presents a brief history of the sonata form until the time of Beethoven. It also discusses Beethoven's use of the sonata form, and how it applies to his op. 111 piano sonata.

Bien qu’une vaste littérature musicologique porte sur Joseph Haydn (1732-1809), aucune ne comprend une étude exhaustive de l’ensemble de ses sonates pour clavier, incluant les premières oeuvres composées dans la décennie 1750. La présente recherche se propose de combler en partie cette lacune par le biais d’une analyse des 52 premiers mouvements Hoboken (Hob.) XVI. Basée sur des outils empruntés principalement à William E. Caplin, Brian Alegant et Don McLean, cette étude constitue un premier pas vers une typologie du premier mouvement de sonate chez Haydn, permettant par le fait même de refléter l’évolution de la forme sonate, en mutation tout au long de la vie créative du compositeur. Dans un premier temps, une série d’analyse capliniennes permet d’effectuer un survol des différentes formes qui composent le corpus à l’étude afin d’en dégager certains procédés spécifiques, nommément l’exploitation de techniques formelles à des fins de développement thématique, ainsi que l’emploi marqué d’ambiguïtés formelles et fonctionnelles. Dans un second temps, une analyse de la disposition du matériau suggère une conception du premier mouvement en forme sonate basée sur le développement thématique d’un nombre réduit d’idées musicales, dont la répétition est compensée par plusieurs procédés dont les principaux sont la variation structurelle dans la section de réexposition et l’emploi de différentes fonctions formelles à chaque itération. Prises dans leur ensemble, ces analyses démontrent que l’ensemble des premiers mouvements de sonate pour clavier Hob. XVI sont liées par une certaine imprévisibilité créée spécifiquement au moyen de la réutilisation thématique et des fonctions formelles. / Although there is a vast musicological literature on Joseph Haydn (1732-1809), none includes an exhaustive study of all his keyboard sonatas, including the first works composed in the 1750s. The present research aims to fill this gap through an analysis of the 52 first movements of the keyboard sonatas Hoboken (Hob.) XVI. This study constitutes a first step towards a typology of Haydn’s sonata first movement, thereby making it possible to look at the evolution of the sonata form, under development throughout the composer's creative life. Initially, a first series of Caplinian analysis allows an overview of the different forms that make up the corpus under study in order to identify certain specific procedures, namely the use of formal techniques for thematic development purposes as well as the marked use of formal and functional ambiguities. Secondly, an analysis of the arrangement of the material suggests the conception of the sonata form’s first movement to be based on the thematic development of a reduced number of ideas, the repetition of which is compensated for by several processes, the main ones of which are structural variation in the recapitulation section as well as the use of various formal functions for each iteration. Taken as a whole, these analysis show that the 52 first movements Hob. XVI are linked by the expression of a certain unpredictability caused specifically by thematic restatement and the use of various formal functions.

Gustav Mahler's Seventh Symphony seems to belie traditional notions of symphonic unity in that it progresses from E minor in the first movement to C major in the Finale. The repertoire of eighteenth and nineteenth century composers such as Haydn, Beethoven, and Brahms indicates that tonal holism is a significant factor for the symphonic genre. In order to reconcile Mahler's adventurous key scheme, this dissertation explores a multidimensional harmonic model that expands upon other concepts like Robert Bailey's double-tonic complex and transformation theory. A multidimensional musical object is a nexus of several interconnected chords that occupy the same functional space (tonic, dominant, or subdominant) and can be integrated into a Schenkerian reading. Mahler's Seventh is governed by a three-dimensional tonic object that encompasses the major and minor versions of C, E, and A-flat and the augmented triad that is formed between them. The nature of this multidimensional harmony allows unusual formal procedures to unfold, most notably in the first movement's sonata form. To navigate this particular sonata design, I have incorporated my own analytical terminology, the identity narrative, to track the background harmonic events. The location of these events (identity schism, identity crisis, and identity reclamation) is critical to the entire structure of the Seventh.

This study describes a set of salient formal norms for the eighteenth-century Spanish keyboard sonata through an application of Hepokoski and Darcy's sonata theory, William Caplin's form-functional theory, and Robert Gjerdingen's schema theory. It finds that particular thematic types, intra-thematic functions, and rhetorical markers characterize this repertoire. In order to trace the development of these norms throughout the eighteenth century, this work is organized into two parts. The first part (Chapters 2 and 3) examines the mid-century Spanish keyboard sonatas of Sebastián de Albero (1722–1756), Joaquín Ojinaga (1719–1789), and their contemporaries. The second part (Chapters 4 and 5) examines the late-century Spanish keyboard sonatas of Manuel Blasco de Nebra (1750–1783) and his contemporaries.

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Der russische Komponist Nikolaj Karlovič Metner (1880–1951) hat vierzehn Klaviersonaten veröffentlicht, die in ihrer Gesamtheit eine erstaunliche Vielfalt an Formen und dramaturgischen Konzepten aufweisen. Der Werkkorpus beinhaltet sowohl kompakte einsätzige Sonaten, die mitunter in Zyklen von Charakterstücken eingebettet sind, als auch große Strukturen von geradezu symphonischen Dimensionen. Die Sergej Rachmaninov gewidmete Sonate in e-Moll op. 25/2 (1910–12) ist mit ca. 35 Minuten Spielzeit das längste und vielschichtigste Solowerk Metners; ihre spieltechnischen Anforderungen transzendieren den Anspruch der meisten zu dieser Zeit entstandenen Klavierkompositionen. Damit markiert sie einen Höhepunkt in Metners Sonatenschaffen und nimmt auch im Vergleich mit anderen Sonatenkonzepten des frühen 20. Jahrhunderts eine besondere Stellung ein. In einer strukturell ambivalenten, einsätzigen Großform integriert das Werk nicht nur gattungstypische Merkmale (zwei sonatensatzartige Teile, die durch eine ausgedehnte Einleitung und deren Reiterationen miteinander verschränkt werden), sondern auch Elemente der Ritornellform und verschiedene Kanon- und Fugato-Techniken. Die Beigabe eines lyrischen Mottos von Fëdor Tjutčev (»Wovon heulst du, Wind der Nacht?«) und eine suggestive Vortragsbezeichnung (»Das ganze Stück [ist] in einem epischen Geist«) legen außerdem eine hermeneutische Deutungsebene nahe, die auf Einflüsse durch die Philosophie und Literatur des russischen Symbolismus verweist. Alle diese Eigenschaften lassen das Werk als einen Kulminationspunkt in der Gattungsgeschichte der Klaviersonate erscheinen. Dieser Beitrag diskutiert die genannten Aspekte aus analytischer, musikästhetischer und rezeptionshistorischer Perspektive. / The Russian composer Nikolai Karlovich Medtner (1880–1951) wrote fourteen piano sonatas, which, in their entirety, show an astonishing variety of musical forms and dramaturgic conceptions. This body of work features compact single-movement sonatas of different types – some of which are embedded in cycles of piano miniatures—as well as large structures of quasi-symphonic dimension. The E minor Sonata, Op. 25 No. 2 (1910–12) is Medtner’s most complex and extensive work for solo piano, with its interpretive and technical challenges surpassing the demands of most other piano literature from that time. In this way the sonata (which is dedicated to Sergei Rachmaninov) marks a climax in Medtner’s sonata output and also holds a prominent position in comparison to other sonata conceptions of the early twentieth century. In a large and structurally ambiguous single-movement form, the sonata incorporates not only features typical of the genre (such as two separate sonata-allegro sections, linked by an extended introduction and its reiterations), but also elements of ritornello form, as well as canon and fugato techniques. In addition, a poetic motto by Fyodor Tyutchev (»What do you howl about, night wind?«) and an imaginative performance indication (»The whole piece [is] in an epic spirit«) suggest a hermeneutic interpretation, with particular reference to philosophy and literature of the Russian Symbolist movement. These traits and qualities allow the work to be seen as a culmination point in the history of the genre of piano sonata. The present article discusses the abovementioned aspects from the perspectives of music aesthetics, analysis, and history of reception.

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Les sonates pour piano de la « génération romantique » (Rosen) et des compositeurs qui l’ont suivie s’éloignent des conventions qui régissent la forme classique, et ce à plusieurs égards : schéma tonal, découpage, fonctions formelles, voire même l’affect ou l’esthétique générale du mouvement. Lorsqu’il s’agit de sonates de jeunesse, ces écarts ont généralement été interprétés comme des maladresses ou comme un manque de métier. Cette thèse remet en question cette perspective et propose une démarche analytique permettant de rétablir ce répertoire dans sa spécificité en définissant une nouvelle conception esthétique de la sonate romantique. L’approche développée ici n’est pas fondée sur une construction musicale purement théorique : elle repose plutôt sur une conciliation entre, d’une part, les valeurs esthétiques caractéristiques de cette époque, et, d’autre part, l’analyse structurelle et formelle. Cette approche est exposée en deux grandes étapes. Les chapitres 1 et 2 parcourent les écrits philosophiques, littéraires, théoriques et critiques des années 1790-1860 pour y découvrir six valeurs esthétiques qui définissent la sonate au XIXe siècle : la forme abstraite, la cohérence à grande échelle, l’organicisme, la tension entre tradition et innovation, l’expression du sublime et celle de la noblesse. Les chapitres 3 à 5 emploient différentes techniques d’analyse (la Formenlehre de William Caplin, l’analyse réductionnelle de Heinrich Schenker et l’étude de l’organisation rythmique et métrique d’après Lester, Krebs et de Médicis) pour montrer comment ces six valeurs esthétiques permettent de rendre compte de la structure spécifique des oeuvres sélectionnées : la Sonate pour piano en mi majeur, op. 6 (1826), de Mendelssohn ; la Grande Sonate pour piano en fa dièse mineur, op. 11 (1832-1835), de Schumann ; la Grande Sonate pour piano en fa mineur, « Concert sans orchestre », op. 14 (1835-1836, rév. 1853), de Schumann ; et la Sonate pour piano en fa dièse mineur, op. 2, de Brahms (1852). Cette approche, qui permet d’appliquer la théorie de la forme à un répertoire pour lequel elle n’a pas a priori été conçue, met l’accent sur la souplesse du rapport entre le discours esthétique et la pratique compositionnelle. Chaque compositeur, sinon chaque oeuvre, répond aux valeurs esthétiques à divers degrés et selon différentes combinaisons. Au final, cette démarche permet de montrer à quel point les considérations esthétiques jouent un rôle primordial dans la conception même de la forme sonate au XIXe siècle. Elle ouvre de nouvelles perspectives en permettant de mieux cerner les points de contact et les divergences entre la sonate classique et la sonate romantique, et fournit des éléments qui permettront une comparaison plus légitime entre ces deux répertoires. / Piano sonatas written by composers from the ‘Romantic Generation’ (Rosen), as well as those from the following generation, tend to move away from the conventions of classical form in many ways: tonal plan, form, formal functions, and even the general affect or aesthetic of the movement. When the sonatas in question are early works, unconventional details are frequently interpreted as mistakes or the result of a lack of training. This dissertation challenges that perspective and develops an analytical approach that establishes the unique elements of this repertoire by defining a new aesthetic understanding of romantic sonata form. This approach is not based on a purely musical construct. Rather, it combines characteristic aesthetic values of the period with formal and structural analysis. The approach is presented in two stages. The first two chapters of the dissertation survey philosophical, literary, theoretical and critical texts from 1790 to 1860, uncovering six aesthetic values that define the sonata in the 19th century: abstract form, large-scale coherence, organicism, the opposition of tradition and innovation, an expression of the sublime and of nobility. Chapters 3 to 5 use different analytical methods (Caplin’s Formenlehre, Schenkerian linear analysis, and rhythmic analysis based on Lester, Krebs, and de Médicis) to illustrate how these six core aesthetic values illuminate the specific structures of four sonata-form movements: Mendelssohn’s Piano Sonata in E Major, op. 6 (1826), Schumann’s Piano Sonata in F-sharp Minor, op. 11 (1832-1835) and Piano Sonata in F Minor, “Concert sans orchestre”, op. 14 (1835-1836, rev. 1853), and Brahms’ Piano Sonata in F-sharp Minor, op. 2 (1852). This approach, which applies Caplin’s theory of form to a repertoire for which it was not originally developed, underscores the fluidity of the relationship between aesthetic discourse and compositional practice. Each composer, perhaps each individual work, responds to the aesthetic values in different ways and to varying degrees. In the end, this type of analysis shows how significant aesthetic considerations are in conceptualising sonata form in the 19th century. It broadens our perspective on form by better identifying the commonalities and divergences between classical and romantic sonata form, and provides elements that will allow a more accurate comparison of these two repertoires.

Orientador: Yara Borges Cáznok / Resumo: O objeto de pesquisa desta Tese é o 2 o . Concerto para Piano e Orquestra de Béla Bartók (1881-1945), composto em 1931. Após a contextualização da obra, apresentamos uma análise musical. Nossa perspectiva dialoga com duas principais correntes analíticas: a Teoria da Forma Sonata (Hepokoski e Darcy, Caplin e Schmalfeldt) e as Teorias Pós-tonais (Antokoletz e Straus). A análise concentrou-se no 1 o . Movimento que, segundo o compositor, possuiria a Forma Sonata. Partindo desta declaração, procuramos compreender como opera, formalmente, a dinâmica entre ideias temáticas, motivos, coleções referenciais, relações contrapontísticas e texturais, e direcionalidade. O modelo da Forma Sonata foi colocado em discussão, realçando seus limites, sua maleabilidade e seus pontos de tensão, à luz dos procedimentos formais encontrados neste 1 o . Movimento. Os resultados analíticos descritos textualmente apresentam-se sintetizados por meio de gráficos, considerados parte integrante do procedimento metodológico. / Abstract: Béla Bartók’s (1881-1945) Concerto No. 2 for Piano and Orchestra, composed in 1931, is the primary focus of this thesis. Following the contextualization of the work, we present a musical analysis. Our aim is to bring together two analytical currents: the Sonata Theory (Hepokoski and Darcy, Caplin and Schmalfeldt) and Post-tonal Theories (Antokoletz and Straus). The analysis focuses on the First Movement, which according to the composer, is in Sonata Form. Based on his statement, we intend to understand how thematic ideas, motifs, referential collections, counterpoints, directionality, and texture interact against a formal background. We discuss the Sonata Form, highlighting its limitations, malleability, and points of tension, in light of the formal procedures found in the First Movement. The descriptions of analytical results are supported by graphs, which are considered an integral part of the methodology. / Doutor