Azu TD 8613806 Sip1 M

THE FIFTH STRING QUARTET OF BELA BARTOK: AN
ANALYSIS BASED ON THE THEORIES OF ERNO

LENDVAI.
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Authors BATES, KAREN ANNE.
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8613806
Bates, Karen Anne
THE FIFTH STRING QUARTET OF BELA BARTOK: AN ANALYSIS BASED

ON THE THEORIES OF ERNO LENDVAI
The University of Arizona PH.D. 1986
University
iv1icrofilms
International 300N. ZeebRoad, Ann Arbor, MI48106
Copyright 1986
by
Bates, Karen Anne
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University
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International
THE FIFTH STRING QUARTET OF BELA BARTOK:
AN ANALYSIS BASED ON THE
THEORIES OF ERNO LENDVAI
by
Karen Anne Bates
A Dissertation Submitted to the Faculty of the

SCHOOL OF MUSIC
In Partial Fulfillment of the Requirements
For the Degree of
DOCTOR OF PHILOSOPHY
WITH A MAJOR IN MUSIC THEORY
In the Graduate College
THE UNIVERSITV OF ARIZONA
1_ Q 0 C
~ v
~
Copyright 1986 Karen Anne Bates

THE UNIVERSITY OF ARIZONA
GRADUATE COLLEGE
As members of tha Final Examination Committee, we certify that we have read
the dissertation prepared by ______~K~a~r~e~n~A~n~n~e~B~a~te~s~_______________________
entitled ______~T~h~e~F~i~f~th~~S~tr~i~n~9_Q~u~a~r~te~t~0~f~B~~~l~a~B~a~r~t~6~k~:~___________________
An Analysis Based on the Theories of Ern?> I.endyaj
and recommend that it be accepted as fulfilling the dissertation requirement
for the Degree of ______~D~o~c~t~o~r~o~f~p~h~i~l~o~s~o~ph~y~_____________________________

/
,
, f
I
<1/ 'i IJ:·
Date
)
Date
Date
J-/dit
Date
Date
Final approval and acceptance of this dissertation is contingent upon the

candidate's submission of the final copy of the d~ssertation to the Graduate
College.
I hereby certify that I have read this dissertation prepared under my

direction and recommend that it be accepted as fulfilling the dissertation
requirement.
Di~i~D~ Date' I
STATEMENT BY AUTHOR
This dissertation has been submitted in partial fulfillment
of requirements for an advanced degree at The University of Arizona
and is deposited in the University Library to be made available to
borrowers under rules of the Library.
Brief quotations from this dissertation are allowable without
special permission, provided that accurate acknowledgement of source
is made. Requests for permission for extended quotation from or
reproduction of this manuscript in whole or in part may be granted
by the copyright holder.
,;
ACKNOWLEDGEMENTS
I wish to acknowledge, with gratitude, Dr. Edward W. Murphy

for patiently answering questions and always se"':ting an example to
follow in the pursuit of learning. To my parents, Welland J. and
Elsie F. Bates and sister, Dehlia Bates Lozier, I say thank you for
the love and support all these years.
A special thank you to Dana Livingston Collins for reading
the drafts, Veronica Engel for hours of proofreading, Todd Seelye
for his assistance in editing and surviving the birth of a Ph.D.,
and John M. Kissler for his constant assistance and encouragement
over the years.
iii
TABLE OF CONTENTS
LIST OF FIGURES. .vii

ABSTRACT ...•.••...•. .xxi
INTRODUCTION
NEED FOR STUDy .•.•.. . ..... .. 1
PURPOSE OF THE STUDY ... . ... .. 1
METHOD OF ANALySIS •.•.• .1
METHOD OF PRESENTATION. .2
BACKGROUND ... ••••• I ••••••••••••••••••••••••••••••••• 2
CHAPTER ONE
LENDVAI'S THEORETICAL PRINCIPLES
Fibonacci Series .•..•. •••••••••••••••••••••••••••••••••••• 6
Closed System .•...•.. . ... 8
Penta tony ........................ . .. .10
Mi-pentatony .•.•..•.....•..•.• .. .12
Six-four Structure .... ..13
Phrygian •. . . ; .... .. 14
S.Y01metry. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . .15
Harmony .•............... , ........ . . . . . . . . . . . . .. .. 16
Relative Solmization ...•..••.......•...••.••....... ..16
Major-Minor-Subminor ...•..•••.•••.....••...•.. . . . . . . . . . . . 24
Fully Diminished Seventh Chords •...•••.•..•••• . .. 26
Hypermajor and Hyperminor Chords •..••..•••.•.• ..28
Movement Between Chords ....•..••. .. ... 32
Substitute Chords •.•••.•.•.••••.•..•....••••.•.•..•.••... 37
Function ...••••.•..•.•. .... . 41
Axis System .............................................. 44
Functional Derivation ..................•.......•.. 45 c ••••••
Pentatonic Origin ..•••.•. . ..... . 50

Harmonic Origins ..•... ...... . 54
Axis Scales .............................................. 61
1:2 Model ................ . 61
1:5 Model ............ . 64
1:3 Model ........................................... . 66
iv
v
Authent i c Cadences ••..••...••••......•..••...•.•.••.•.••. 68

Dominant Poles as Roots ..•.••••••....•••..•••.•..•..• 72
Tonic Poles as Roots .....•..•••.••.••.••..•••.••....• 73
Alpha Harmonies .•.•.•...••••..•.•.•..•.••.••••....•.•...• 74
Alpha Chord .••...•••••••.•.•••...•..•.........•...•.. 75
Beta Chord •....•.•.....•...•..•.•..••••...•.•.•..•.•• 80
Gamma Chord •••.•....••.•.....•.....••...••....••..... 82
De 1ta Chord ..••.••••..•..•...••..•.....•...•..•.•.••• 86
Eps i 1on Chord •.•...••..••••.••...•.••.•...•.••..••••. 88
Fibonacci Origins of Alpha Harmonies ••...•..••.•.•••••... 90
Equidistant Scales and Harmonies .....•.•••..•.....••••.•. 92
CHAPTER TWO
TH E QUARTET •...•••..••........•...•.•......•.•....•.......... 97
CHAPTER THREE
MOVEMENT ONE ANALySIS ....•....•..•...•...... , .•..........••• 100
CHAPTER FOUR
MOVEMENT TWO ANALySIS ............. ", .........•.........••.• 131
CHAPTER FIVE
MOVEMENT THREE ANALySIS •.•..•..•.....•...........•.•........ 146
CHAPTER SIX
MOVEMENT FOUR ANALySIS .••.••••...•.....•...•......•......•.. 183
CHAPTER SEVEN
MOVEMENT FIVE ANALYSIS ...•.•.••..••.•..•...•..•....••.••..•• 200
CHAPTER EIGHT
SUMMARY AND CONCLUSION
Fibonacci Series and Pentatony ............................ 220
Function ••...•.•...•.•.•...••.••.•..•.......•••••••..... 222
Ax is Sys tern .•..•••••.•...•••.•...•...•.•..•.•....••••.•• 223
Al pha harmonies ..•.•.••..••..••••...•....•.....••.•••.•• 224
Equi<.1istant Scales and Harmonies •..•.•....•..•.••.. , .••. 226
The Quartet .•..•••••.•..•..••..•.•.•...••••••••••.•...•• 227
Movement One, ...•.•..•.•.•.•.•••......•......•••..•.••.. 227
Movement Two •.•.••........••.•.••...•..•...•......••. , •. 228
Movement Three •....•.•. ~ ..•..•••••.••.....•....••.•....• 229
vi
Movement Four ••••.•••••••••••••••••••••••••••••••••••••• 230

Movement Five ••••••••••••••••••••••••••••••••••••••••••• 230
Conclusion •••••••••••••••••••••••••••••••••••••••••••••• 231
LIST OF REFERENCES .................................................. 235

SELECTED BIBLIOGRAPHy ........•...................................... 236
LIST OF FIGURES
CHAPTER ONE
FIGURE 1 Golden Section .•...•.•.•...•.....•••••..••••..•. 7
2 Fibonacci Labels of Half-step Gradations •••.•.•. 8
3 Closed System .•...•.......•.••.•.•..••...••.•... 9
4 Chromatic Scale ....••.....•.....•..•...•..•..•. ll
5 Intervallic Chain of Mi-pentatony ..•••....••.•. 12
6 Solmization Labeling of Mi-pentatony •........•. 13
7 Six-four Structure .••.•••..•................... 13
8 Fo 1ksong ......•..•..•.•••.....••..•......•..... 14
9 Overlay of Phrygian and Pentatony .•.....••..... 15
10 Symmetry ...•............•..•.••....••.........• 15
11 Closed Circle of Fifths ••..•••.•...••........•. 16
12 La -d; -mi Tri ad ..........•......•...•.•.•...•... 17
13 'Ma ' ·Major ••......•.•...•..•.•...•........••... 18
14 Do-rna-so Triad ....•..•.•...••.•••..•••.•.••.••. 19
15 Relative Chords ..•......•...•••..•.•••....•••.• 19
16 Movement 3, Scherzo I: m. 54 ......•........... 19
17 Polar Chords •••.•..••..•...••.•.....••...••••.. 20
18 Movement 3, Scherzo~: mm. 19-20 .............. 20
19 Derivation of IMa l Major •.•••••••..•••••...•..• 21
20 Combination Chord •.••...•..•....•.•••••..•••... 22
vii
viii
CHAPTER ONE (Continued)
FIGURE 21 Alteration of Combination Chord to
Produce Polar Chords ........................... 23
22 Types of Major and Minor Chords ................ 23
23 Derivation of Subminor Chord ............•...... 24
24 Movement 3, Scherzo I: m. 3.....•......•...... 25
25 Movement 3, Scherzo II: mm. 75-76 ............. 25
26 Major-Minor-Subminor ........................... 25
27 Major-minor 7 Becomes Fully Diminished Seventh.26
28 Movement 1: mm. 159-160 ....................... 26
29 Resolutions of a Fully Diminished Seventh ...... 27
30 Movement 3, Scherzo I I: m. 17 ................. 27
31 Replacement Chords ...........•................. 28
32 Third Tower and Partitioning of Fifths ......... 29
33 Movement 4: m. 63 .............................. 29
34 Movement 3, Scherzo I : mm. 54-59 ........ '...... 30
35 Hypermi nor ..................................... 31
36 Movement 3, Scherzo I: m. 19 ..........••...... 31
37 Movement 3, Scherzo II: m. 2............ , ..... 31
38 Movement 3, Scherzo I: m. 55 ....•......•...... 32
39 Mcwement 3, Scherzo II: m. 9.................. 32
40 Movement 3, Scherzo II: m. 16 ................. 33
41 Movement 3, Scherzo II: m. 79 ................. 33
43 Positive Direction ............................. 35
ix
FIGURE 44 Movement 3, Scherzo I: m. 3................... 35
45 Movement 3, Scherzo I: mm. 54-55 .............. 35
46 Negative Direction ............................. 36
47 Movement 1: m. 57 ............................. 36
48 Movement 3, Scherzo II: m. 76 ............•.... 37
49 Movement 3, Scherzo I: m.56 ................... 38
50 Hypermajor Produced by Substitute Chords ....... 38
51 Movement Between Substitute Chords ............. 38
52 Movement 3, Scherzo I: mm. 7-8 ................ 39
53 Chord Placed Between Substitute Chords ......... 39
54 Movement Between Chords ........................ 40
55 Inward Closing of Chords ....................... 41
56 Outward Relationship of Chords ................. 42
57 Common Notes Between Polar Chords .............. 42
58 Chart of Chords Having the Same Function ....... 43
59 Symmetrical Basis of Function .................. 44
60 Primary Triads ................................. 45
61 Secondary Triads ....................•.......... 46
62 Addition of Triads Above Primary Chords ........ 46
63 Completion of Circles of Minor Thirds .......... 47
64 Ax isS ys tern ..............................•..... 48
65 Axis System Based on Bb ........................ 48
66 Individual Axes ....................•........... 49
67 Symmetry of Pentatony Around 'Re ' .............. 50
x
FIGURE 68 Diagram of Symmetry Placed on a Staff .......... 50
69 Joining of Two Pentatonies ..................... 51
70 Movement 2: mm. 35-36 ............•............ 51
71 Linking Pentatonies ..•......................... 51
72 Tonic and Dominant Axes by Joining Pentatonies.52
73 Dominant and Subdominant Axis by
Joining Pentatonies ............................ 52
74 Axis System .................................... 53
75 Intervallic Relationships in a Mi-pentatony .... 53
76 Numeric Relationships Within Woven Pentatonies.54
77 Joining of Parallel and Relative Keys .......... 54
78 Completion of Circle Using Relative
and Parallel Keys .............................. 55
79 Comparison of the Two Methods of Derivation .... 55
80 Three Individual Axes ....................·...... 56
81 Axis System as Derived by Relative
and Parallel Keys .............................. 57
82 Main and Side Branches of the Axis System ...... 58
83 Poles and Counterpoles of the Axis System ...... 59
84 Polar Exchange ..........•..•................... 60
85 Dominant Pole Mm7 Chords ....................... 61
86 1: 2 Mode 1 •••••••••••••••••••••••••••••••••••••• 61
87 Movement 1: mm. 42-43 ......................... 62
88 Movement 1: m. 103 ........•..•................ 62
xi
FIGURE 89 i:2 Model Constructed from Polar Chords ........ 63
90 1:2 Model Constructed from Axis System ......... 63
91 1:5 Model Constructed from Poles ............... 64
92 Movement 5: mm. 351-356 ...•................... 65
93 Movement 5: mm.490-492 ....................... 65
95 1: 3 Mode 1 •••••••••••••••••••••••••••••••••••••• 66
96 Ambiguity of Tonality in 1:3 Model ............. 67
97 Movement 1: m. 35 ............................. 67
98 Movement 1: mm. 130-131 ....................... 67
100 Dominant and Tonic Poles ....................... 68
101 Example of a 'Classical' Cadence ............... 69
103 Example of a Modal Dominant Cadence ............ 70
104 Movement 2: mm.9-10 .......................... 70
105 Example of a Phrygian Dominant Cadence ......... 71
106 Movement 1: mm. 13-14 ......................... 71
107 Example of a 'Romantic' Dominant Cadence •...... 71
108 Mm7 Chords on Dominant Poles ................... 72
109 Examples of Dominant to Tonic Cadences
Using Varying Qualities of Dominant Chord ...... 72
110 Examples of Dominant to Tonic Cadences
Using Varying Qualities of Tonic Chords ....•... 73
xii
FIGURE 111 Inverted Alpha Chord •••.•••••••.••.•••••••...•• 76
112 Examp1es ~f Alpha Chords",,,, ................. 76
113 Two Note Alpha Chord ........................... 78
.114 Six Note Alpha Chord .••••••••••.••.••.•.••.••.. 78
115 Three Layer Alpha Chord ........................ 79
116 Movement 5: mm. 686-691. ...................... 80
117 Examples of Beta Chords ........................ 81
118 Movement.l: m.56 ........................... :.82
119 Movement 1: m. 135 ..•••••••.•••••.•..•..•.•... 82
120 Symmetry of Gamma Chord ........................ 83
121 Succession of Gamma Chords ..................... 84
122 Exampl es of Gamma Chords ....................... 84
123 Movement 3, Scherzo I: m. 32 .................. 85
124 Movement 4: m. 39 •••••••••••••••..••••.••...•. 85
125 Movement 5: mm. 173-181. ............... ~ ...... 86
126 Examples of Delta Chords ....................... 87
127 Movement 1: m. 48 •.••••••••.••••.•••.•.••••••. 88
128 Movement 4: m. 16 •.••••.••.••••••••..•.••••.•• 88
129 Examples of Epsilon Chords ..................... 89
130 Movement 1: mm. 14-15 •••••••••.•••••••.••••••• 90
131 Intervallic Relationships of Alpha Chords ••.••• 91
132 Omega Seale •••.••.•••••••••••.••••••••••••.•••• 92
133 Movement 1: m. 73 •••••••••••••••••••••••..•••• 93

;;
134 Fully Diminished Seventh Chord ••••.•••••.••.••. 93

xiii

FIGURE 135 Sequence of Perfect Fourths .................... 94
136 Movement 3, Scherzo I: mm. 45-48 ............•. 94
137 Movement 1 : m. 81 ............................. 94
138 Movement 4: m. 37 ............................. 95
139 Movement 5: m. 497 ................... '" ...... 95
140 Augmented Triads ............................... 95
CHAPTER TWO (The Quartet) .

FIGURE 141 Formal Structure of the Quartet ......•......... 98
142 Axis System of the Quartet ...................•. 99
143 Tonal Structure of the Quartet ................. 99
CHAPTER THREE (Movement One)

FIGURE 144 Formal Structure of Movement One .............. 100
145 Tonal Center of Movement One .................. 101
146 Measures 1-3 .................................. 101
147 Bb Mi-pentatony ............................... 102
148 Transformation of Pentatonies ..........•...... 102
149 Measures 4-5 ............................•..... 102
150 Measure 8..................................... 103
151 Measures 9-10 ................•...•...•.••....• 103
152 Measures 13-14 ..........................•..... 104
153 Measures 14-20 ..........................•..... 105
n'iagram of Measures 14-16 ..................... 106
xiv
CHAPTER THREE--Movement One (Continued)
FIGURE 155 G Eps i lon Chord ............................... 106
156 Juxtaposition of Pole and Counterpole ......... l06
157 Ab Mi-pentatony .............•................. l07
158 Cb an~ F Counterpoles ......................... l07
159 Mea sure 16 .................................... 108
160 Ab and D Counterpoles ......................... l08
161 Dominant and Subdominant Poles ................ l09
162 Measures J7-20 ................................ 109
163 Measures 21-23 ................................ 110
164 Inverted C# Alpha Chord, Measure 21 ........... 111
165 Closed System Diagram on 'C ' .................. 112
166 Measure325-29 ................................ 113
167 Closed System Based on 'F#' ................... 114
168 Measure 36 .................................... 114
169 Measures 37-39 .......................... : ..... 115
170 Measures 44-47 ................................ 116
171 Measures 44-58 ................................ 117
172 Measures 45-48 ................................ 119
173 Measures 56-58 .•..••.••....••..•••............ 120
174 Phrygian Cadence in Measure 58 ................ 121
175 Measures 59-62 ................................ 121
176 Measures 63-69 ................................ 122
177 Diagram of E and A# Pentatonies ............... 123
178 Chord of the Fourth, Measure 69 ............... 123
xv
CHAPTER THREE--Movement One (Continued)
FIGURE 179 Measures 73-75 ................................ 124
180 Measures 86-90 .•.................•............ 124
181 Measures 104-111 and Axis System .............. 125
182 Measures 126-128 .............................. 126
183 Measures 160-165 .............................. 128
184 Measures 177-181 and Axis System .............. 129
185 Measures 209-218 .............................. 130
CHAPTER FOUR (Movement Two)

FIGURE 186 Formal Structure of Movement Two .............. 131
187 Tona 1 Axi s for Movement Two ................... 132
188 Measures 1-4 .................................. 132
189 Measures 5-9 .................................. 133
190 Poles and Counterpoles of Measures 5-9 ........ 133
191 1:2 Model of Measures 5-9 ..................... 134
192 Measures 9-10 ................................. 134
193 Measures 10-25 ...•.................•.......... 135
194 A Mi-pentatony ........•....................... 136
195 Measures 46-49 •...•..•••••.......•.•.•.•..••.. 136
196 Measures 1-9 ................................... 137
197 Measures 26-30 ........................•...•... 138
198 Measure 27, Motive 'X' .....•.....•............ 139
199 Measures 31-34 ................................ 140
200 Measures 35-41 ................................ 141
xvi
CHAPTER FOUR--Movement Two (Continued)
FIGURE 201 Interl inked Pentatonies ................... ~ ... 142
202 Measures 40-41 .............•.................. 143
203 Diagram of Measures 40-41 ..•.................. 143
204 Measures 43-46 ................................ 144
205 Measures 52-56 ................................ 145
CHAPTER FIVE (Movement Three)

FIGURE 206 Formal Structure of Movement Three ............ 147
207 Tonal Axis for Movement Three ................. 147
208 Measures 1-6 •................................. 148
209 Measures 7-8 ...............•.................. 149
210 Diagram of Movement Between Chords
in Measures 7-8 ............................... 149
211 Measures 5-7 .................................. 150
212 Comparison of G# Mi-pentatony and
EM, c#m and a#-dm7 .........•.................. 150
213 Measures 13 and 16 .........•.................. 151
214 Measure 14 .•...............•.................. 151
215 Diagram of Measure 14 Progression •..•.••.•..•• 152
216 Measure 18 ...........•...................•.... 152
217 Diagram of Measure 18 Progression ..•.......... 153
218 Measure 17 .................•.............•.... 153
219 Measure 19 .................•.................• 154
220 Measures 14-19 .............•.................. 155
xvii
CHAPTER FIVE--Movement Three (Continued)
FIGURE 221 Measure 27-28 ................................. 156
222 Measure 29 ....•.............•.......... "....... 156
223 Diagram of Measure 29 Progression ............. 157
224 Measure 29 (Viola Line} ....•.................. 157
225 Diagram of Measure 29 Viola Line Progression .. 158
226 Continuation of Figure 20 Progression ........ ,158
227 Measure 30 ...............•.................... 159
228 Measures .45-47 ............ '.' .................. 159
229 (A) Section Tonal Center .•••.................. 160
230 Measure 52 .................................... 160
231 Measures 54-59 ................................ 161
232 Measures 64-66 ............•................... 162
233 Tonal Center of the Trio ...................... 163
234 Measure 1 and Solmization Syllables ........... 163
235 Measure 15 .................................... 164
236 Measures 21-22 ................................ 164
237 Measure 24 and Solmization Syllables •......... 165
238 Measures 41-43 ................................ 166
239 Measure 44 ............•.............•......... 167
240 Measure 52 ............•....................... 168
241 Golden Section Diagram •........••.....•..•.... 168
242 Measures 44-65 ................................ 169
243 Pitch Collection of Climax Area ............... 171
xviii
CHAPTER FIVE--Movement Three (Continued)
FIGURE 244 E Mi-pentatony ................................ 171
245 Measure 1.........•........•.................. 172
246 Measure 2............•.....•.......•.......... 173
247 Measures.19-28 ................................ 173
248 Tonic Axis: E-G-A#-C# ........................ 174
249 Measures 19-25, Violin 1...•.................. 175
250 Measures 19-22, Cello ......................... 175
251 Measures .19-22, Violin II and Viola ........... 176
252 Tonic Axis: C#-E-A# .......................... 176
253 Relative and Modally Related Chords of emm7 ... 177
254 Diagram of Polar Exchange ..................... 177
255 Measures 23-28 ................................ 178
256 Diagram of Viola Progression .................. 179
257 Measures 44 and 51 ............................ 180
258 Measure 49 .............................. ; ..... 180
259 Measures 58-66 ................................ 181
260 Measures 91-92 ................................ 182
CHAPTER SIX (Movement Four)

FIGURE 261 Formal Structure of Movement Four ............. 183
262 Tonal Axis of Movement Four ................... 184
263 Movement 2: Measures 1-4 ..................... 185
264 Movement 4: Measures 1-5 ..................... 185
265 Measures 1-18, Cello Line ..................... 186
xix
CHAPTER SIX--Movement Four (Continued)
FIGURE 266 Measure 16, G Delta Chord ..................... 187
267 Measures 23-32 ...............•................ 187
268 A Mi -penta tony Di agram ........................ 188
269 Measures 29 and 35 ............................ 188
270 Diagram of Measures 29 and 35 ................. 189
271 Measure 37 ..................................... 189
272 Measures 39-40 ................................ 189
273 Measure 42, Motive X.......................... 190
274 Measures 44-45 ................................ 190
275 Measures 43-44., .............................. 191
276 Measures 44-45 and Diagram .................... 192
277 Measures 60-63 ................................ 193
278 Measure 63 .................................... 193
279 Measures 67-68 ................................ 194

280 Measures 65 and 67-68 ......................... 195
281 Diagram of Measures 65 and 67-68 .............• 196
282 Measures 89-91 ................................ 197
283 Measures 100-101 .............................. 197
284 Measures 81-101 ......................•........ 198
CHAPTER SEVEN (Movement Five)

FIGURE 285 Formal Structure of Movement Five ..•.......... 200
286 Tonal Center for Movement Five ........•....... 201
287 Measures 172-181 .............................. 202
xx
CHAPTER SEVEN--Movement Five (Continued)
FIGURE 288 Measures 184-188 ...•..........••.............. 203
289 Measures 184-188 Diagram ......•.....•......... 203
290 Measures 196-200 ............•...•............. 204
291 Measures 275-291 .............................. 205
292 Measures 334-345 ...•...•....•................. 206
293 Relative Solmization of Measures 334-345 ...... 207
294 Measures 351-356 .......•...................... 208
295 Measures.359-364 .......•...................... 208
296 Measures 457, 473-475 and 476-477 ............. 209
297 Measure 469 ..............•.................... 210
298 Measure 461 ................................... 210
299 Measures 465, 467 and 471 ..................... 210
'300 Measures 490-492, 501-503 and 509-511 ......... 211
301 Measures 497-500 .............................. 212
302 Measures 507-512 ........................ ~ ..... 212
303 Measures 624-635 .................•......•..... 213
304 Measures 651-660 .............................. 214
305 Measures 673-685 .............................. 215
306 Measures 686-691 ............•...•....•...•.... 216
307 Measures 692-698 ...•...•.........•.•.......... 217
308 Measures 699-720 ....•..•....•....•.•.......... 218
309 Measures 825-828 .............................. 219
ABSTRACT
The purpose of this paper is to present the non-traditional

theoretical techniques of Erno Lendvai and introduce the application
of these techniques in a detailed analysis of the Fifth String Quartet
of Bela Bartok.
The theories of Lendvai are based on the Fibonacci Series,
a series of integers which he assigns to consecutive half-step grada-
tions of the chromatic scale. The numbers 1,2,3,5,8 ... are manipulated
to produce two important cornerstones of his theory, namely mi-penta-
tony and alpha harmonies. According to Lendvai, mi-pentatony, directly
related to the Hungarian folksong idiom, is the basic scale usedd
by Bartok. Alpha harmonies are derived by the intervallic relation-
ships created through the use of Fibonacci numbers.
Erno Lendvai's theories, although not widely known, are a
partial answer to the analytical problems Bartok's music presents.
His concepts allow for tertian chords as well as non-tertian harmonies.
By basing his theories or. the intervallic relationships which comprise
the folksong idiom, Lendvai's theories can account for much of Bartok's
music.
Lendvai's theory, in contrast to traditional tonality, not
only allows the tritone interval between roots of chords, but relies
heavily upon it. The axis system and relative chord structures es-
tablish polar relationships which give the same function to chords
xxi
xxi i
whose roots are a tritone apart. Through the use of polar exchange,
it is possible to shift the tonal center by six key signatures, yet
never alter the function of the two polarly related chords.
The analysis portion of this paper is designed to give a
structural 3 tonal and harmonic overview of each movement, giving
particular attention to three areas: pentatony; relative, modally
related and substitute chord harmonies; alpha harmonies. These areas
assume varying degrees of importance depending on the particular
movement.
The theories of Lendvai are too new and untried to place
them into any kind of perspective at this time. Lendvai 's own writings
are concerned more with a few specific pieces of Bartok's works which
conform neatly to golden section principles, clear cut use of models
(1:2, 1:3, 1:5), or alpha harmonies. His writings avoid those portions
of Bartok's music which defy explanation using this methodology.
INTRODUCTION
NEED FOR STUDY
The Fifth String Quartet of Bela Bartok has long been neglected
by music theorists because of the difficulties it presents when ana-
lyzed by traditional methods of analysis. Although frequently cited
for its palindromic structure 1 no author has undertaken a thorough
harmonic analysis. A non-traditional approach is therefore necessary
to fill this void left by traditional harmonic analysis.
PURPOSE OF THE STUDY

The purpose of this dissertation is to present the non-tradi-
tional theoretical techniques of Erne Lendvai and introduce the appli-
cation of these techniques in a detailed analysis of the Fifth String
Quartet of Bela Bartok.
METHOD OF ANALYSIS
The method of analysis used in this paper is based on the theo-
retical/analytical techniques of Erne Lendvai. Lendvai (b. 1925), a
Hungarian musicologist, has spent the last thirty years analyzing and
codifying the compositional techniques of Bela Bartok. Until recently,
IPau1 Griffiths, Bartok, The Master Musicians Series (London:

J.M. Dent &Sons, Ltd., 1984).
George Perle, liThe String Quartets of Bela Bartok," A Musical
Offerinr Essays in Honor of Martin Bernstein (New York: Pendragon
Press, 977) •
Ha 1sey Steven, The Life and Mus i c of Bel a Bartok (New York:
Oxford University Press, 1964).
1
2
the majority of Lendvails writings were in Hungarian and limited to

discussions of the golden section. In 1983, his writings were compiled
/ / 2
in a single 762 page volume, The Workshop of Bartok and Kodaly.
The first portion of this dissertation is a distillation of
Lendvails theories, showing the origins and components. It also
introduces the application of these theories to the Fifth String
Quartet. This condensation of the theoretical techniques contains a
minimum of Lendvails highly subjective approach. It is the authorls
intent to present only the most objective parts of the theory.
METHOD OF PRESENTATION
Lendvai IS theoretical principles and introduction of the appli-
cati on of these theori es to the Fifth Stri ng Quartet are shown in the
first part of the dissertation. The remaining portion of the paper
is a deta il ed ana 1ys is of the Qua rtet ba sed on these theoret i ca 1
principles.
Structural and tonal charts for the Quartet and each movement
are included in the analysis section. It is not the intent of this
paper to pursue compositional techniques not addressed within Lendvai IS
theoretical framework, such as canon, stretto and inversion.
BACKGROUND
I I
The Fifth String Quartet of Bela Bartok, written in 1934 in
less than a month, was commissioned by the Elisabeth Sprague-Coolidge
2 II / I
Erno Lendvai, The Workshop of Bartok and Kodaly (Budapest:
Editio Musica, 1983).
3
Foundation with its premiere performance by the Kolisch Quartet in
Washington D.C. April 8, 1935. It was not premiered in his homeland
until March 3,1936 when it was performed in Budapest by the New
Hungarian String Quartet.
The five year period between the Piano Concerto No. 2 (written
in 1930/32) and the Fifth String Quartet was a time of frustration
and political upheaval in Bart6k ' s life. His compositional output
decreased during these five years as his attention became focussed
on European politics and difficulties in getting his music performed.
In 1931, Bartok was honored with both the medal of the Legion
d'honnear and the Corvin Medal (a high Hungarian award before 1945),
though he did not attend the ceremony which was to honor him. Per-
formances of the Wooden Prince, Bluebeard's Castle and the Budapest
premiere of The Miraculous Mandarin had been planned, but, like other
performances scheduled during this same period, never realized.
By 1932, his mood was melancholy:
I have no contracts for concerts at a11 thi s season, II he
wrote. "If this continues, within eighteen months I shall have
to move to a two-room flat and economize to the highest degree
..• The most famous conductors show no interest at all in my
works ... As long as they are playing all kinds of trash and not
a single work like this, it is a waste of energy to attempt any
promotion of my orchestral works... 3
3Gyorgy Kroo, A Guide to Bartok, Translated by Ruth Pataki

and Maria Steiner, translatlon revlsed by Elisabeth West (By the
author, 1974) [Original title: Bart6k Kalauz. Budapest: ZenemUkiado,
1971], p. 173.
4
A statement written in August 1933 is also particularly rele-

vant: 11 ••• 1 too have lost all desire to make any kind of an offering
to audiences which show the minimum possible interest in my works. 1I4

The political situation in Europe was worsening. Strongly
opposed to the onslaught of the Third Reich, Bartok's letters are
sarcastic and repudiatory. An example of his attitude would be the
latter sent in response to a request in April 1934 for proof of his
aryan origins. III would not dream of sending certificates of baptism
to Germany, not even if I had the documents in my hand ... 115
Through all of this, Bartok continued serving at the Budapest
Academy of Music. In autumn of 1934, he was finally rel ieved of
his teaching duties and commissioned by the Hungarian Academy of
Sciences to prepare his collection of folksongs for publication.
This folksong collection, begun in 1913, contained some 13,000 entries.
After the performance of the Second Piano Concerto (23 January
1933), Bartok never played in Germany and in 1937 he denied rights
to broadcast his music in both Germany and Italy. In 1939, he shipped
hi s papers and manuscri pts to London. After hi s mother I s death in
December of 1939, his last tie to Budapest was broken and Bartok
seriously considered emigration to the United States. By the end
of 1940, Bartok and his wife had left Hungary and emigrated to America.
From 1930 to 1935, Bartok composed various mi nor works, i n-
cluding the Szekely Songs for male choir, a work which preceded his
4Ibid .
51 bid., p. 174 .
5
Two and Three-Part Choruses composed in 1935. There were also orches-
tral pieces, and the violin and piano pieces for young people. 1931-33
were the years of transcription (Transylvanian Dances, Hungarian
Pictures, Hungarian Peasant Songs and Hungarian Folk-songs). The
Forty Four Duos and Mikrokosmos were also written during this time.
These works which so intimately involved the use of folksong and
the folksong idiom prepared the way for the Fifth String Quartet.
Reception of the Fifth String Quartet was enthusiastic.
Antal Molnar--"the inventor of a new style can also create its first
great classic. II Referring to the "more relaxed, filtered and classic
nature" of the Quartet at the Hungarian premiere (March 3, 1936),
Sandor Jemnitz--"the calm ease of classic sages. II Ernst Krenek,
the Austrian Composer, spoke of lithe marvellous balance of spirit
and material. 1I6
Structurally, the Fifth String Quartet is modelled after
the Fourth String Quartet and the Second Piano Concerto. Five move-
ments are arranged in palindromic order. Movement three, a scherzo,
is at the center of the bri dge structure. Movement four refl ects
the motives of movement two and movement five reflects the motives
of movement one. The overall structure of the Quartet is ABC BI AI.
After the Fifth String Quartet, Bartok abandoned the intricate
architecture of a pal indrome. The only exceptions are its 1imited
use in the Concerto for Orchestra (1943/rev. 1945) and Piano Concerto
No. 3 (1945).
6Ibid ., p. 175.
,:
CHAPTER ONE
LENDVAI'S THEORETICAL PRINCIPLES

Noted Bartok schol ar Erne Lendvai, over a thi rty year span,
has developed a system of theoretical principles, in an attempt to
describe and codify the harmonic language of Bela Bartok's music.
Lendvai considers the music of Bartok to have descended from that
of Verdi and Wagner. Because of this direct linkage between late
romantic music and Bartok, it is important to understand certain
aspects of romantic harmonic language as Lendvai perceives them to
apply to the music of Bart6k. This section will address these aspects
of the romantic harmonic language as they apply to Lendvai's theoreti-
cal concepts. The major concern of this section, however, is to
assist in the understanding of how Lendvai's theories may be applied
to Bartok's Fifth String Quartet. This portion will present a dis-
cussion of the theory's derivations, various components, and intro-
duce its application to the Fifth String Quartet.
Fibonacci Series
At the base of Lendvai's theory is the Fibonacci Series.
By using the niJmbers that are generated by this Series, Lendvai
constructs the pentatonic system which lies at the heart of his theory.
To show this important link between the Fibonacci Series and Lendvai's
theory it will be necessary to discuss the Fibonacci Series and how
it applies to pentatony.
6
7
The Fibonacci Series is an additive series of positive integers

in whi ch each number is the sum of the precedi ng two integers. The
series begins with the integer 1, which, when added to itself, produces
2. By addi ng 1 and 2 together, the next number in the seri es, 3,
is generated. By continuing this process, the following series can
be constructed: 1,2,3,5,8,13,21,34,55,89,144 ...
The Fibonacci Series is significant for being the "simplest
golden section series which can be expressed in whole numbers. II
(Lendvai 1983, p. 46) The golden section is a geometrical proportion,
originally called the IIgolden rule" by Leonardo da Vinci. (Lendvai
l~e3, p. 33) This particular proportion refers to a geometric whole
divided into two unequal parts and is considered by Lendvai to be the
most aesthetically pleasing division of a whole. The golden section
is obtained when the proportion of the whole to the larger part corres-
ponds with the proportion of the larger part to the smaller part.
In other words, if the whole distance is equal to the value of 1,
the larger section (shown as X in the diagram below) will be approx-
imately 0.618 [X = (f5 - 1) / 2] (rounded off from the irrational
number 0.6180339 ... ) and the smaller section (I-X), 0.382. This
is illustrated in Figure 1.
x I-X 0.618 0.382
1:X = X:(1-X)
X err
-y-
-1
x = 0.618
1-X = 0.382
Figure 1: Golden Section
8
By taking any number from the Fibonacci Series and multiplying

it by 0.618, one will arrive at, or near, the number preceding it
in the series. For example, if from the set';es 1,2,3,5,8,13,21. ..
the number 13 is chosen and multiplied by 0.618, the product 8.0
is obtained. By similar process: 5 x 0.618 = 3.09 and 144 x 0.618
= 88.99. Each number then has two functions. It is the larger number
when in relation to the previous integer, and is the smaller number
when in relation to the integer which follows it.
In addition to the golden section, Lendvai uses Fibonacci
numbers to label specific half-step gradations of the twelve-tone
system based on the integers of the numeric series. This is shown
in Figure 2.
1 = m2 (minor second)
2 = M2 (major second)
3'
3 = m3 (minor third) :fij g
5 = P4 (perfect fourth)
12358
8 = m6 (minor sixth)
Figure 2: Fibonacci Labels of Half-step Gradations
Closed System
Lendvai uses Fibonacci numbers to create what he calls a
'closed system'. A closed system, as he defii1es "it, is any sequential
chain of intervals which returns to its starting pitch. The chromatic
9
scale may be considered a closed system as its sequential chain of

half steps (minor seconds) returns the system to its starting pitch.
A particular closed system which Lendvai considers important
i~ a sequential chain of 3 + 3 + 2 (half-steps). This sequential
chain of a minor third (3), minor third (3), major second (2) returns
to its starting pitch when repeated three times, thus forming a closed
system. The intervallic structure is shown in Figure 3.
Eb
C~b/F#
Figure 3: Closed System

Further discussion of the closed system may be seen in the
analysis of the second movement using Lendvai's theoretical techniques.
10
Penta tony
Lendvai makes use of a particular system of labeling notes with
solmization syllables based on the method established by Kodaly.
In this method, which employs a movable do, each major scale is made
up of do-re-mi-fa-so-la-ti-do, and each minor scale consists of 1a-ti-
do-re-mi-fa-so-la.
For example, in the key of C major or its relative minor,
'a' minor, the following notes are always associated with these sylla-
bles:
c = do
d = re
e = mi
f = fa
g = so
a = 1a
b = ti
Altered scale degrees are described as follows:

do raised 1/2 step is di
fa raised 1/2 step is fi
so raised 1/2 step is s i , etc.
mi lowered 1/2 step is rna

ti lowered 1/2 step is ta, etc.
The diagram below shows the chromatic scale for C major/
'a' minor. In the key of C major, c# would be di and f# would be
11
fi, eb would be rna, bb would be tao
(5 b je ,e , I
#?1 e b i' fe-J fa ! I
-e-'ft-~
do di re rna mi fa fi so si la ta ti do
Figure 4: Chromatic Scale

This method of movable do is known as relative solmization.
Relative solmization also gives each note/syllable a distinct character
and meaning. (Lendvai 1983, p. 93) Lendvai IS choice of meaning
is purely subjective on his part. References made to meaning in
this paper will be in single quotation marks to set them apart as
Lendvails choice of words. Th-is w·ill become important in the section
dealing with harmony.
Lendvai discusses three important concepts in relationship

to penta tony. These are: mi-pentatony, six-four structure and phry-
gian influences.
Lendvai links many of his theoretical perceptions together
with the concept of pentatony, a system with sources in traditional
Eastern folk music which has melodic, as opposed to harmonic, origins.
The pentatonic scale is made up of do, re, mi, so and la degrees.
Using each of these syllables as the primary note of importance,
as a I key-note I , five pentatonic scales can be constructed:
do pentatony: do re mi so la (e.g. c-d-e-g-a)
re penta tony: re mi so la do (e.g. d-e-g-a-c)
12
mi penta tony: mi so la do re (e.g. e-g-a-c-d)
so penta tony: so la do re mi (e.g. g-a-c-d-e)
la penta tony: la do re mi so (e.g. a-c-d-e-g)
Any of the pentatonic scales, including mi-pentatony, can
be generated on any pitch; they are not limited to IC I .
Lendvai gives greatest importance to the one form of pentatony
which he feels represents the basic scale of Bartokls pentatonic
style, the mi-pentatonic scale.
Mi-pentatony
He considers mi-pentatony to also be the musical fruition
of the Fibonacci Series. Mi-pentatony is derived using the Fibonacci
integers 2 and 3 in a repeating sequence: 2+ 3+ 2+ 3 + 2 to create
a chain of intervallic relationships. For example, e-g-a-c-d as
seen in Figure 5.
(
f) .
Figure 5: Intervallic Chain of Mi-pentatony
Solmization syllables are used to label this intervallic

chain. Lendva i does not cons i der the syll ab 1e Ido I as a toni c in
his pentatonic system, as in Western theory, instead, mi is the most
important note in mi-pentatony as re would be in re-pentatony, so
in so-pentatony, etc.
13
Mi-pentatony is a particular arrangement of intervals and

solmization labeling. This is shown in Figure 6.
Figure 6: Solmization Labeling of Mi-pentatony
Lendvai defines one of the primary distinguishing scalar

characteristics of mi-pentatony as the descending minor third: so-mi.
Since mi is the most important note and is used to identify and label
thi s parti cul ar penta tony, the mi nor thi rd i nterva 1 between so and
mi is often the factor whi ch determi nes a penta tony . Lendva i also
bases thi s on the frequency of the so-mi mi nor thi rd i nterva 1 in
the traditional eastern European folk idiom which influenced the
writings of Bartok.
Six-four Structure
Unlike functional harmony which treats a triad in second
inversion as an unstable embellishing chord, penta tony accepts this
chord as hierarchically equivalent to the root position triad. While
common practice harmony treats the six-four as a dissonance which
requires resolution, the modally derived six-four is a consonant
chord, often the resolution of a preceding dissonance.
mi la do
Figure 7: Six-four Structure

14
The key-note of the mi system six-four shown above is c.

The perfect fourth interval from (c-f) is the consonant interval.
On the other hand, the perfect fifth, typified by scale degree mi
to ti in the pentatonic system, is considered a highly dissonant
interval. The following example is a folksong from Lendvai's Workshop,
p. 12 showing a melody in 6/4 structure:
lfJ 1 J. &J r IPG bJ. Jill ~~. th J.11l. _"l

la mi (~)
Figure 8: Folksong
Having the P4 as an important structural interval establ ishes

the descending la-mi plagal cadence as the equivalent of the common-
practice so-do authentic cadence. This la-mi cadence is drawn directly
from the six-four structure. Melodies of mi-pentatony automatically
assume a six-four structure by the inherent properties of pentatony,
hence the stability of a la-mi cadence.
Phrygian
According to Lendvai~ mi-pentatony can be considered a subset
of the phrygian scale on E. The figure below shows an overlay of
the mi-pentatony and phrygian scale. Notes in parentheses are commonly
used within the pentatonic system, although not part of the skeletal
pentatonic formation. These notes contribute to the phrygian coloring,
especially the fa-mi half-step configuration which normally denotes
a phrygian scale.
15
e f gab c d e
mi (fa) so la (ti) do re mi
Figure 9: Overlay of Phrygian and Pentatony
Further examples of phrygian influences will be seen in the
discussion of dominant cadences.
Symmetry
Lendvai determines symmetry by arranging the other notes
of the pentatony around a central pitch. This pitch is always re
in a mi-pentatony as the other notes can be arranged intervallically
around it to produce a symmetrical configuration.
so + do I re I mi + la
P4 '~~' P4
Figure 10: Symmetry

This symmetry is part of Lendvai IS rationalization of the
la-mi cadence, in particular, being the equivalent to the so-do cadence
of Western theory. His explanation is subjective and is one of the
components of his theory which must be accepted at face value. The
symmetry of do and mi in relation to the central re will be important
in the di scu s s i on of Lendva i I S theory of ha rmony. Th is property
of symmetry will be discussed in subsequent sections.
16
Harmony
Relative Solmization
The chromatic language of the romantic period is considered
by Lendva i to be a •closed system', based on the c i rc 1e of fifths.
As illustrated below, the circle of fifths is a self-contained system
which always returns to its starting point. Enharmonic respelling
of keys is necessary to form thi s ki nd of closed system. Because
of this, it is "impossible to speak of fixed points or 'progress',"
(Lendvai 1983, p. 44)
Figure 11: Closed Circle of Fifths

For this reason, lendvai insists the late works of Verdi
and Wagner remain impregnable to traditional analytical approaches.
Lendvai, therefore, discards the figured bass of the diatonic system,
suggesting that romantic music is best approached by a system which
compares any given chord to the chord following it. He compares
these chord relationships by determining, what he calls, their modal
17
tension. Modal tension is based on how far the next chord is 'logi-
ca 11 y removed' from the precedi ng chord. (See "Movement between
chords" p. 32) 'Meaning' is subjectively assigned to a chord based
o~ this modal tension.
According to Lendvai, by using KodAly's didactic method of
relative solmization it is possible to make late romantic music,
which he feels defies traditional analytical approaches, comprehensi-
ble. Relative solmization, as mentioned before, is a system whereby
solmization labels for individwal notes are altered to reflect not only
chromatic alterations, but also to associate with those labels differ-
ent characters and meanings. Each syllable may be altered. Although
it is theoretically possible to do this, Lendvai limits such altera-
tions to specific syllables which he feels to be more important than
others, namely do to di, mi to rna, fa to fi and ti to tao
Using the process of relative solmization, it is possible
to realize the character distinctions Lendvai makes betweeri chords.
If ·C major is considered to be a do-mi-so chord and 'a' minor (the
relative minor of C major) a la-do-mi chord, then by raising do to

di, A major is a la-di-mi chord. Relative solmization distinguishes
between the character of a do-mi-so triad and that of a la-di-mi
triad.
do mi so la do mi la di mi
Figure 12: La-di-mi Triad

18
Both are major triads, but because of the raised di, the
la-di-mi is said to have a 'brighter' character. Also, by raising
di, a shift from C major (no sharps) to A major (3 sharps) has resulted
in a key signature change of three sharps. (Lendvai uses the terms
chord and key interchangeably when the chord represents the tonic
of the key, so it is possible to speak of 'chords' shifting in key
signature) .
Thi s can be contrasted with the a 1teri ng of the other impor-
tant degree, m~. Again, C ma30r (no flats) is a do-mi-so major triad.
If, instead of raising do, mi is lowered to rna (and ti lowered to
ta) Eb maj8-r' (3 flats) is produced (a ma-so-ta major triad or 'rna'
major). Ma chords are said to have a 'darker' tone than either do-mi-
so or 1a -do-mi chords. A key signature change of three flats is
a1ways imp 1i ed .
(b:i3~ ~-
do rn; so rna so ta
Figure 13: 'Ma' Major

Accordi ng to Lendva i, the same process holds true for mi nor
chords. An 'a' minor chord (la-do-mi) is transformed into c minor
by 1oweri ng mi to rna (do-rna-so). Therefore, the do-rna-so mi nor tri ad
is considered to have a 'darker' tone than the la-do-mi triad.
19
, af1 JC1d
f:-) ?-
la do mi do rna so
am em
Figure 14: Do-rna-so Triad
The chords in Figures. 15 and 16 are relative chords (keys)

bearing the same key signature.
of,g3 , - rO
do mi so la do mi
CM am
Figure 15: Relative Chords
CMM7 = major
amm7 ::; rei"t1tive minor
Figure 16: Movement 3, Scherzo I: m. 54

20
Since raising do to di results in a key change of three sharps,
and the lowering of mi to rna changes the key by three flats, it there-
fore follows that a simultaneous altering of do to di and mi to rna
will result in a key change of six key signatures.
Figure 17 diagrams the alteration of do to di which produces
a do-rna-so triad, and the alteration of mi to rna which produces a
la-di-mi triad. Figure 18 is a musical· example of the procedure.
do rn; so + do rna so
tt) .f§E1 ,fiTGl

la do rn; + la di rn;
Figure 17: Polar Chords
do rna so 1a d; rn;
Figure 18: Movement 3, Scherzo I: mm. 19-20

21
As seen in Figure 17, by the alteration of do to di and mi
t.'l. ma, c minor and A major are derived from C major and 'a' minor.
These two chords (cm and AM) have a difference of six key signatures
(three flats of c minor and three sharps of A major). This relation-
ship of six key signatures difference is called 'polar' or 'polar
tension'. This concept assumes greated importance in the discussion
of the axis system.
The examples so far have shown only the altering of one or

two notes to construct a di fferi ng quality of chord. Solmization
can also reflect a greater change in chord structure by altering
an important note and implying the alteration of the other chord
members accordingly. This is diagrammed in Figure 19.
lb. h. t mj I~k;_ ms
Ab = do AbM CbM = 'ma major'
Figure 19: Derivation of 'Ma' Major
In Figure 19, Ab is 'do', since c is mi. By altering mi

to ma, the character of Ab major has been changed and is now Cb major
or 'ma major'. The alteration of mi to ma could have just as easily
yielded the chord ab minor, however, the point here was not to alter
22
an existing chord, but rather to move to an entirely different one
in the course of such alterations. Shifti ng from Ab major to ab
minor is perceived as a modal change, whereas Ab major moving to
Cb major could be seen as a type of modulation or transformation.
Yet another aspect of relative solmization can be seen below.

Relative chords may be combined, then the new combination chord al-
tered. For example, if the relative keys of C major and 'a' minor
are added together, an 'a' mi.nor-minor seventh chord results. This
is shown in Figure 20.
eM + am = amm7
Figure 20: Combination Chord
By the simultaneous altering of do to di and mi to rna, the

polar chords of ,n. major-minor 7 and Eb major-minor 7 are produced.
It is important to note that chords whose roots are a tritone apart
automatically assume a polar relationship to one another. This is dia-

grammed in Figure 21.
23
ill;
LM'rna
di
A
amm7
""e'ti_
AMrn7 EbMrn7
Polar Chords
Figure 21: Alteration of Combination Chord to Produce Polar Chords

To summarize, Lendvai uses relative solmization to form three
types each of major and minor chords and their associated dark or
light characters:
(b :;ti:fJ ~i ill ii m
Major chords la di rni do rni so rna so ta
Minor chords fi la di la do rni do rna so
Light--------------------------- Dark
Figure 22: Types of Major and Minor Chords

It is poss i b1e to generate these major and mi nor chords,
and polar related chords by the manipulation of di and rna (the use
of relative solmization to derive chords). However, Lendvai does
not discuss this alteration to derive new key signatures as a method
for modulation. The manipulation of chords is for the purpose of
assuming new 'characters' to reflect the meaning of the music. It
is this relationship between the various characters which creates

24
the tens i on between chords. Lendvai makes traditional, "functional
harmony subservient to the 'tension' of the music. (Lendvai 1983~
pp. 97-122)
Major-Mi nor-Submi nor

In addition to the standard distinction made between major
-~ ."-
and minor, romantic harmony fncludes a third chord of importance,
the half-diminished seventh chord. Since Lendvai considers the music
of Bartok to be directly linked to the harmonic language of Verdi
and Wagner, it is important to understand certain aspects of the
romantic harmonic language as it applies to Bartok.
Lendvai derives the half-diminished seventh, which he calls
the 'subminor', by combining the minor triad (la-do-mi) and its rela-
tive minor chord (fi-Ia-di) built a minor third below the (la-do-mi)
minor triad (e.g. CM--am--f#m). The subminor is considered the rela-
tive chord of a minor triad in the same way the minor is the relative
of a major triad.
eM am + fUm = fU-dm7
major 5ubminor
relative
minor
re la ti ve
minor of
minor
Figure 23: Derivation of Subminor Chord

25
~ ~ ~;,
.. ~~ ..... cHmm7
a#-dm7
= minor
= subminor
..
I
Figure 24: Movement 3, Scherzo I: m.3
-
..!1 .r
w--_ "'---!'.:
- minor -+- subminor minor -+- major
Figure 25: Movement 3, Scherzo II: mm. 75-76

When placed next to one another, the relationship between
these three chords--major, minor and subminor--becomes apparent:
I ~ I
eM amm7 f#-dm7
Figure 26: Major-Minor-Subminor

Because the submi nor is based on fi, a tritone away from
do, the major and subminor chords stand in polar relationship to
one another. Major, minor and subminor chords are all the result
of relative solmization techniques .
.:
26
Fully Diminished Seventh Chords
Fully diminished sevenths are considered, not as incomplete
dominant ninths, a traditional concept in functional harmony, but
as altered major-minor sevenths. Do-mi-so-ta is altered by raising
do to di, making it di-mi-so-ta, a fully diminished seventh chord.
The syll ab 1e do is the root of the chord. Fu 11 y dimi ni shed seventh
chords are a result of relative solmization techniques.
. I.e
Mm7 + °7
do + di
Figure 27: Major-minor 7 Becomes Fully Diminished Seventh
. ~ ;
---~, b07
----~)b
----~)di
Figure 28: Movement 1: mm. 159-160
Because of the unique property of symmetry in a fully dimin-

ished seventh, any of the notes can, in turn, be altered, resolving
to either the original do-mi-so-ta, or yet a different major-minor
seventh. This is diagrammed in Figure 29.
27
\. :1. 3. -<i.
eg!lll b;i' Iqi~ I'if; I~lb i

e#07 AMm7 F#Mm7 EbMm7 CMm7
Figure 29: Resolutions of a Fully Diminished Seventh
bb + a
9 + 9
e + e
e# + e#
Figure 30: Movement 3, Scherzo II: m. 17

Fully diminished sevenths are frequently used as direct re-
pl acement chords for thei r maj or-mi nor counterpa rts: (Examp 1e from
Lendvai 1983, p. 163)
,:
28
ib ~ Iz~
ti ~i
t f ~:E ~r
FM6 6
BbMm7 EbM AbMm7
4 4
1 1
(b
~ ~ ~j ~j
FM6
4
b07 EbM
6
4
a07
Figure 31: Replacement Chords
Hypermajor and Hyperminor Chords

There a re two other chords wh i ch need to be cons i dered at
this time, the hypermajor and hyperminor. Unlike the other chords
discussed thus far, which are products of relative solmization and/or
relative chord/key relationships, the hypermajor and hyperminor are
derived by the simultaneity of thirds or adding a seventh to an ex-
isting triad respectively.
The hypermajor is derived from the lydian mode on C: c
d e f# gab c. By the vertical alignment of these notes in
thirds, Lendvai obtains what he calls a Ithird tower I (Lendvai 1983,
p. 410), which has, by his definition, a strong major character.
29
Hypermajor
Figure 32: Third Tower and Partitioning of Fifths

It is significant that a series of perfect fifths can be
partitioned from this tower: the perfect fifth interval being con-
sidered highly dissonant in quality. The use of this fifth parti-
tioning is seen in the passage shown in Figure 33.
Figure 33: Movement 4: m. 63

The four lowest notes of this third tower (C-E-G-B) are what
form the hypermajor chord, a major-major seventh chord quality.
Its character is one of Isolemnityl. Below are examples of hypermajor
chords from a passage in the third movement.
30
DiD.
Figure 34: Movement 3, Scherzo I: mm.54-59

31
The hypermajor chord has a counterpart: the hyperminor.
The hyperminor has no origins other than simply adding a major seventh
to a minor triad, giving the chord a minor-major seventh quality.
Its character is 'pain and passion ' .
mM7 Hyperminor
Figure 35: Hyperminor
C#MM7 = Hypermajor
emM7 = Hyperminor
Hypermajor Hyperminor
c#mM7 = Hyperminor
EMM7 = Hypermajor
Hyperminor Hypermajor

32
Movement Between Chords
In actual musical composition, movement between major, minor
and subminor chords is seen on two levels. The first of these levels
is the simplest, the relative key relationship.
1. major to relative minor (e.g. C major to la l minor)
CMM7 = major
amm7 = relative minor

2. minor to relative subminor (e.g. la l
minor to f#-dm7)
j.~ ~~1
~~
...-==
dmm7 = minor
b-dm7 = subminor
minor subminor

33
3. major to relative subminor (e.g. C major to f#-dm7)
BMm7 = major
e6-dm7 = subminor
major subminor

or the reverse of any of the above.
The next level is one of modal change.

1. major to parallel minor (e.g. C major to cm)
2. minor to parallel subminor (e.g. cm to c-dm7)
Negative direction:
d-dm7 = subminor
dmM7 = minor (hyperminor)
subminor minor

34
3. major to parallel subminor (e.g. C major to c-dm7)
Negative direction:
d-dm7 = subminor
DM = major
subminor major

or the reverse of any of the above.
Lendvai discusses progression and retrogression in terms

of 'positive ' and 'negative ' directions of chord motion. Positive
direction is:
1. a major chord always moves to its relative minor,
2. a minor chord always moves to its parallel major.
This can be seen in Figure 43. C# major moves to its relative
minor, a# minor (bb minor). The relative minor, in turn, moves to
its parallel major, Bb major. By always moving in this particular
sequence, direction is positive.
35
C#M
t
a#m------~BbM
J.
gm-------~GM
~
em-------~EM
J,
c#m------)o(C#M)
Figure 43: Positive Direction
c#mm7 = minor
a#-dm7 = subminor
mi nor submi nor
Movement 3, Scherzo I: m. 3
CMM7 = major
amm7 = minor
major minor

36
The reverse of this gives the negative direction:
1. a minor chord always moves to its relative major,
2. a major chord always moves to its parallel minor.
This is seen in the diagram below. The A major chord moves
to its parallel minor, 'a' minor. The parallel minor, in turn moves
to its relative major, C major. A continuation of this particular
sequence will result in a direction which is considered negative.
AM
t
GbM------H#m
i
EbM------'eb,
t
CM-------tcm
t
(AM)-----~am
Figure 46: Negative Direction
r=Z=FMM'1
minor major
amm7 = minor
FMM7 = major

37
Substitute Chords
The concept of substi tute chords wi thi n a modal system is
different from that of a functional system. Instead of using 'a I
minor to substitute for C major, as seen in Western harmony, modal
theory sUbstitutes e minor for C major. They are substitute chords
because they share two chord tones in common. This is similar to
Western harmony, but here it is the third and fifth of the original
chord which becomes the root and third of the substitute chord.
Western harmony uses the root and third of the original chord as
the third and fifth of the substitute chord. By Lendvai's definition,
the major triad is always substituted by a minor triad a major third
higher, (See Figure 48) and the minor triad by a major triad a major
third lower (See Figure 49).
-4
FM"" am
major minor substitute
FMM7 = major
amm7 = minor substitute

38
~ 1~
am FM
minor major substitute
amm? = minor
FMM? = major substitute

An alternative method of constructing a hypermajor chord
is by combining the original chord with its substitute (C major +
e minor).
em Hyper-
: Hyper- major
major
Figure 50: Hypermajor Produced by Substitute Chords

Substitute chords often move directly from one to another
as shown below.
gUm + EM
Figure 51: Movement Between Substitute Chords

39

In the above example g#m moves directly to EM. But they
can have a chord between them. By raising the root g# to 'a I , BMm7
is constructed, which in turn resolves to EM, the substitute chord
of g#m.
gUm BMm7 EM
Substitute chords
Figure 53: Chord Placed Between Substitute Chords

Movement from a major to its minor substitute chord is per-
ceived as positive, whereas the opposite, minor to its major substitute
is negative. Thus, the movement can be either positive or negative
depending on the direction:
1. in direction of parall,el major or minor
Positive: to parallel major (e.g. c minor to C major)
Negative: to parallel minor (e.g. C major to c minor)
40
2. in direction of relative minor or major
Positive: major to relative minor (e.g. C major to 'a' minor)
Negative: minor to relative major (e.g. 'a' minor to C major)
3. in direction of minor or major substitute chord

Positive: major to minor substitute (e.g. C major to e minor)
Negative: minor to major substitute (e.g. e minor to C major)
For example, in the diagram below, reading from left to right,

c minor moves to C major, which in turn moves to e minor. This con-
stitutes the minor to parallel major, and major to substitute minor.
Both of these motions are in the positive direction. Negative direc-
tion is seen by reading the diagram from right to left starting with
C major moving to c minor. By moving from major to parallel minor
and minor to its substitute major, a negative direction occurs.
The effect of this positive and negative direction perception is,
of course, purely subjective.
P P P P
cm CM em EM abm AbM (cm) (CM)

s s s
Positive ~ ~ Negative
Figure 54: Movement Between Chords

41
Function
lendvai's modal theory is functional, albeit in a different
vein than Western theory. If a single chord has a tonic function,
then its parallel and relative chords also have a tonic function.
This can be seen in the diagram below. Ab major is the tonic chord.
Its parallel chord, ab minor and relative chord, f minor, both have
(for example) a tonic function. In addition, the derived subminor
chord (the relative chord of the minor chord) is also included as
having a tonic function.
AbM----abm
I
fm ++++
!
f-dm7
Relative (:)
Modal (+ +)
Figure 55: Inward Closing of Chords

As seen by the direction of the arrows, this arrangement
is considered to be 'closed inward' because all of the chords can
be seen as originating from the Ab major chord. By reversing the
arrows (starting with the same subminor chord (f-dm7) rather than
the Ab major chord for derivation), an 'outward' relationship ;s
constructed. See Figure 56.
42
CbM
+
AbM--abm Relative (:)
FM +++
I
fm--f-am7
I Modal (+ ~)
Figure 56: Outward Relationship. of Chords

All of these chords have the same function. Whether derived
from the major or the subminor, all their relative and parallel chords
retain the original chord's function.
Note the polar relationship between Cb major and FM. As
mentioned before, because the roots are a tritone apart, a difference
of six key signatures is implied. They also share two common tones
when made into seventh chords, and have the same functi on (either
tonic, dominant or subdominant). Thus, any two pol ar chords may
be exchanged with one another without a change of function.
CbMm7 FMm7
Figure 57: Common Notes Between Polar Chords

Using relative solmization, a chart can be constructed which
shows the interrelationship of chords which share a common function.
(See Fi gure 58) Relative chords (C major, 'a' minor, f#-dm7) are
"
43
vertically aligned, modally related chords (A major, 'a' minor, a-dm7)

are hori zonta 1. Each chord is joi ned to the one above, below and
to each side of it by either a relative or modal connection. Because
all of the chords are either relative or- modally related they all
have the same function be it tonic, dominant or subdominant.
rna
do
~ EbMrn7
di ~M~ ~C~7
~m7 ~mm7 ~ a-dm7
~~ -fI"-e
:Ir-& f#rnm7 j f#-dm7
Figure 58: Chart of Chords Having the Same Function

It is important to observe that each column is three key
signatures removed from one another (moving left to right, or right
to left), thus making the di column and rna column a difference of
six key signatures from each other. Chords in the di column are
polarly related to those in the rna column.
,:
44
The relation of the three basic functions (tonic, dominant,
subdominant) in the modal system is determined by symmetry. Western
theory is based on perfect fifths, making scale degrees 1, 4, and
5 the most important functionally. Lendvai·s modal theory symmetry
is based on the major third. See Figure 59.
Western
Modal
:>b T P
Figure 59: Symmetrical Basis of Function

Ab represents the subdominant, C the tonic and Eb the dominant
funct ions. Together, they form an augmented tri ad c-ab-e, equa 11 y
dividing the octave. Although perhaps diffi cult to comprehend at
this point, it will become clearer after the discussion of the axis
system which is directly linked to the material presented thus far.
Axis System
As previously mentioned, in Lendvai·s view, the late music
of Verdi and Wagner is the direct forerunner of many of the innovations
credited to Bartok and are thus directly tied to the music of Bartok.
Polar related chords, substitution, and the alteration of di and
rna are but a few of the concepts Lendvai feels can be directly traced
from Verdi to Bartok. The axis system is the culmination of Lendvai·s
45
research, bringing together pentatony, relative solmization and har-
mony, presenting a non-traditional approach to the analysis of not
only Bartok, but the late romantic music of Verdi and Wagner.
The axis system is closely related to the Fibonacci Series,
using many of the same numeric relationships. Tonal centers and
particular melodic formulae are generated from the axis system.
Additionally, an entire family of chords (alpha harmonies) are con-
structed and used in conjunction with those chords already discussed
in the harmony section.
This section will show the various derivations of the axis
system and how they interrelate with one another.
Functional Derivation
Lendvai's axis system is generated by first observing certain relation-
ships in Western theory, most notably the functional relationship
between tonic, dominant and subdominant. Tonic, dominant and subdomi-
nant triads are considered to be primary triads.
Sub-
DOhd nant Tonic Dominant
F c G
Figure 60: Primary Triads

According to Lendvai, classical harmony distinguishes between
primary and secondary triads. Secondary triads are the substitute
46
chords vi, ii and iii which replace I, IV and V are built a minor
third below their respective primary triad.
Sub-
Dominant Tonic Dominant
F C G
( ( (
d a e
Figure 61: Secondary Triads

Romantic harmony expands this basic idea by including triads
that are a minor third above the primary chords.
Sub-
a
/C .....
eb e'" G"'bb
Figure 62: Addition of Triads Above Primary Chords

The axis system carries this concept one step further by
stating that 'a I and eb not only share c as a common relative, but
also f#, which is the minor third above eb and the minor third below
la ' . See Figure 63.
47
Sub-
F C G
1""ab r'\ e( -\b
d a eb
'-../ \. / \ ./
b f# db
Figure 63: Completion of Circles of Minor Thirds

All of the notes in each circle are a minor third apart from
each other (e.g. c-eb-f#-a). Enharmoni c respell i ng is acceptable
and frequently employed. It is the intervallic content, not the
spelling which is important. Likewise, d and ab share both f and
b, and e and bb share g and c#. Tonic, dominant and subdominant
are now complete, closed circles which equally divide the octave.
All twelve tones of the chromatic scale are included in these circles.
These individual tonic, dominant and subdominant relationships
are joined into one large system. The large system is organized
in a circle of fifths, then overlaid with the appropriate functional
labels. The repeating sequence of functions, moving clockwise, is
always: tonic, dominant, subdominant. This large system, as seen
in Figure 64, is labelled the axis system.
48
Eb/D# A
F#
Figure 64: Axis System

This system is movable. ICI is not always tonic. For example,
the Fifth String Quartet is based on a Bb tonal center. The axis
system based on a Bb tonic would be:
Bb
C# G
Figure 65: Axis System Based on Bb

49
This large system may be broken apart to show the individual

tonic, dominant and subdominant axes. Note the examples are all
in relation to a tonal center of C as tonic. See Figure 66.
Eb-+----+---J- A
F#
Tonic Axis
C C
Dominant Axis Subdominant Axis
Figure 66: Individual Axes

50
Pentatonic Origin
The axis system can also be derived from a pentatonic basis.
This is accomp'lished by joining several mi-pentatonies together into
one sequence. The axis system is then drawn from this pentatonic
sequence. First, it is necessary to recall the importance of the
descending perfect fourth (la-mi) cadence. Althou gh not norma 11 y
of importance withi n a s i ngl e mi -pentatony, the descendi ng perfect
fourth also appears between do and so. This perfect fourth interval
between la-mi and do-so is reflected in the diagram below which shows
one of the symmetrical properties of the pentatonic system.
sp + ~~LLmL-!i_+_-,l,a
P4 M2 M2 P4
Figure 67: Symmetry of Pentatony Around IRe l
Placed on a staff, the relationship within a single (2 +

3 + 2 + 3) mi-pentatony looks like this:
Figure 68: Diagram of Symmetry Placed on a Staff

The next step ;s to substitute the syllables do-so for la-mi,
without changing the pitches. The syllable re is deleted at this
point. This will join two different pentatonies together.
51
do so la mi
do so 1a mi
Figure 69: Joining of Two Pentatonies
"
.... : " _ . Q ~.

By continuing this process of substitution and forming new
pentatonies, a sequence will be constructed which will move full
circle and return to the beginning penta tony.
do so 1a mi
do so la mi
do so 1a mi
do so la mi
(do so)
Figure 71: Linking Pentatonies
,:
52
The axis system can be constructed from this sequence of
mi-pentatonies. The upper notes of the sequence are joined together
to form the toni c axi s. The lower notes, joi ned together, form the
dominant axis.
Tonic axis
C j ,I e /I,I¥jJ~
Figure 72: Tonic and Dominant Axes by Joining Pentatonies

The dominant axis in the above diagram is used to construct
the subdomi na nt ax is. Starting with the dominant pitch Igl, a new
pentatonic sequence is formed. The upper notes will be the dominant
axis, the lower notes the subdominant axis.
Subdominant axis
Figure 73: Dominant and Subdominant Axes by Joining Pentatonies

53
These three axes may now be joined into the single large
axis.
F#
Figure 74: Axis System

Another important aspect of this particular pentatonic sequence
is its numeric (Fibonacci) relationships. Lendvai feels that the
existence of these numeric relationships to be an integral part of
his theory.
Each note within the sequence has a particular Fibonacci
numerical relationship to every other note within its own pentatony.
This is seen in Figure 75.
,8jfk\
.~
Figure 75: Intervallic Relationships in a Mi-pentatony

54
When the pentatonies are joined together, a weaving of the
numeric relationships occurs. This is shown in the following diagram •
r -_ _
.3 .3
Figure 76: Numeric Relationships Within Woven Pentatcnies
Harmonic Origins
Another way of looking at the construction of the axis system
is through the chordal relationships previously discussed under Har-
mony.
By joining parallel keys and their respective relative keys,
a chain is constructed which circles back on itself and becomes a
closed system.
For example, if one begins with C major and its parallel,
c minor, and adds to them their respective relative keys, Figure
77 is' formed.
CM + cm
/ "'-..
am EbM
+ +
AM ebm/d#m
Figure 77: Joining of Parallel and Relative Keys
,:
55
The circle is completed by adding F# major and f# minor,

the respective relative keys of ebm/d#m and A major:
CM + cm
am
/' "'-...
EbM
+ +
AM ebm/d#m
"f#m + F#M/
Figure 78: Completion of Circle Using Relative and Parallel Keys

Because all of the chords are tied to one another either
through a relative or parallel relationship, they all have the same
function, be it tonic, dominant or subdominant.
This configuration can be compared to the method first de-
scribed, that of deriving-~he-axi5 by key relationships a minor third
apart, evenly dividing the octave:
C CM/cm
a \
i,\
./ eb
AM/am /
~ F#M/f#m
'"/ EbM/ebm
"- f#./
Figure 79: comparison of the Two Methods of Derivation

By using the first three pitches upon the circle of fifths,
three individual axes may be formed. See Figure 80.
56
Tonic
CM/em
/ '\
AM/am EbM/ebm
'\ /
F#M/f#m
A -+-----1---~ Eb
F#
Dominant Subdominant
GM/gm DM/dm
EM/em /
'\
"/
BbM/bbm GM/gm
/ '\FM/fm
C#M/e#m \G#M/g#m/
Figure 80: Three Individual Axes
,:
57
These individual axes may then be joined into the large axis
system.
Bb
F#
Figure 8}: Axis System as Derived by Relative and Parallel Keys

Each axis is structured, in Lendvai IS terms with a Imain
branch l and a Iside branch l • (Lendvai 1983, p. 310) Beginning with
the pole at 12:00 on the face of a clock, movement to determine main
and side branch designation is always counter-clockwise. The main
branch is always the first tonic, dominant or subdominant at 12:00
or the first encountered moving to the left. The side branch is
the first respective tonic, dominant or subdominant after the main
branch found by moving left again.
58
Eb
FN
Tonic Axis
Dominant Axis Subdominant Axis
Figure 82: Main and Side Branches of the Axis System

He labels opposite ends of a branch 'pole' and 'counterpole'
using the same counter-clockwise method dS labell'jng the branches.
(Lendvai 1983, p. 310)
,:
59
Pole
C
Pole A - t - - - - ; - - - - I - Eb Counterpole
F# Counterpo1;~
Tonic Axis
Counterpole
C
Pole
Bb c
Pole
Counterpole
E
Counterpole
Pole
Dominant Axis Pole G#

B Counterpole
Subdominant Axis
Figure 83: Poles and Counterpoles of the Axis System

Each of the individual tonic, dominant and subdominant axes
have their own respective poles and counterpoles.
60
The large axis system and the individual axes are each closed
systems. Additionally, because poles and counterpoles (e.g. C and
F#) are a tritone apart and differ from one another by six key signa-
tures, the axis system is also a polar system.
Because of the relationship between parallel, relative and
polarly related chords already discussed (See p. 16), poles and coun-
terpo 1es may be exchanged wi th one another wi thout a change of func-
tiOii.
For example, if a passage first moves to an A major-minor

seventh chord, it could just as easily move to an Eb major-minor
seventh the next time without a change of function.
i ~ AMm7 ~~~ EbMm7

, Counterpole ~ f
Pole
Pole Eb ...+--------t- A Counterpo 1e
F#
Tonic Axis
Figure 84: Polar Exchange

61
It should be noted that the four individual poles of any
axis, when viewed together, are not to be considered as fully dimin-
i shed seventh chords. For example, the dominant poles, g-e-db-bb,
are each roots of Mm7 chords which all have a dominant relationship
to any of the poles on the tonic axis. (Lendvai 1983, p. 277)
GMm7 EMm7 DbMm7 BbMm7
Figure 85: Dominant Pole Mm7 Chords

A more detailed discussion of dominant-tonic cadences will
be addressed in a subsequent section.
Axis Scales
1: 2 Model
Lendvai constructs three intervallic chains from the axis
system which are used to describe melodies and harmonies. These
are called the 1:2, 1:3 and 1:5 models. The most common of these
intervallic chains is the alternation of minor seconds (1) and major
seconds (2).
Figure 86: 1:2 Model

62
,\

As seen in the above diagram, the interval 1 (minor second)
and 2 (major second) alternate. This configuration is known as a
1:2 model. This particular arrangement of intervals is a classic
model of an octatonic scale. Lendvai uses the 1:2 interval pattern
(1:2 model) most frequently of the different models as he feels they
"should be considered the 'fundamental scale' of the axis system."
(Lendvai 1983, p. 277)
,:
63
The 1: 2 model is deri ved by joi ni ng a 11 the notes from major
a·nd minor chords built on the poles of a single axis.
C A F# Eb
(CM) c-e-g (AM) a-c #-e (F#M) f#-a#-c# (EbM) eb_g_b b
(cm) c-e b-g (am) a-c-e (f#m) f#-a-c# (ebm) eb_gb_b b
~LL~Lg--Jl,--,bb
1 212 121
(8 notes)
Figure 89: 1:2 Model Constructed from Polar Chords

Another method of deri vi ng the 1: 2 model is to use the full
axis system. See Figure 90. By starting at a pole and alternating
skips of one and two spaces around the full circle of fifths, the
entire axis is circumferenced and the 'closed' scale (Lendvai 1983,
p. 370) is constructed.
C
G
Bb
Eb -t---~~-- ..... A
E
C#
F#
Figure 90: 1:2 Model Constructed from Axis System
,:
64
1:5 Model
The 1:5 model, alternating minor seconds (1) and perfect
fourths (5), can also be constructed from either a single axis, or
the full axis system. To form it using one axis, polar related chords,
such as those built on C and F# are combined. The roots and fifths
of the two polar chords are the only parts of the chords used.
Pole
C
F#
Counterpole
I~#J-,g I Ji j l!iR I Jilit1f I
Figure 91: 1:5 Model Constructed from Poles
,:
65
bN eN fN 9
'-.,/ e----l V
1:5 Model 1 5 1
Unison
_Ilrpil.".
fN _ _ 9~e _ _ _ _ eN fN 9e eN fN
I - - - - - J - . / " - - ' - - / " - - ' "'-v/
9
1 5 1 5 1 5 1 5 1

An alternative method of constructing the 1:5 model is to
use the full axis. See Figure 94. Starting at one of the poles
and alternating skips of one and five spaces around the circle of
fifths, the axis is again circumferenced and a 'closed' scale results.
66
F#
1:3 Model
The rem a i ni ng i nterva 11 i c chain is constructed ina different
manner than the other two. This third chain is made by joining a
major triad with a minor triad a major third lower:
CM +
ceg +
b
ab c
e b e g1.....-1'--
c"----'1----1--
3 1.3 3
Figure 95: 1:3 Model
This alternation of minor seconds (1) and minor thirds (3)
is labelled the 1:3 model. Whereas 1:2 and 1:5 models have strong
'tonal characters', (Lendvai 1983, p. 377), the 1:3 model creates
tonal ambiguity by its very structure. Each of the three notes of
67
the major triad is joined by a not2 only a half step away. Each
cancels the other out tonally.
abm
Figure 96: Ambiguity of Tonality in 1:3 Model
,~,~,~,

68
As with the other two models, the 1:3 model may be constructed
from the large axis. Starting at a pole and moving through the circle
of fifths by skips of one and three spaces, the circle is circumfer-
enced and the 1:3 model produced.
D#-+----J/
G#
Authentic Cadences
Moda 1 theory has domi nant to toni c cadences. These are con-
structed using the four dominant poles and the four tonic poles of
the large axis system.
C
Eb
F#
Figure 100: Dominant and Tonic Poles
,:
69
These dominants and tonics may be related to one another
in two ways:
1. The four dominants related to a common tonic,
2. The four tonics related to a common dominant.
The fi rst of these opti ons (domi nants related to a common
tonic) is illustrated below.
1. Classical Dominant Cadence
This cadence is labelled 'classical' (Lendvai 1983, p. 144)
because the root movement is up a perfect fourth whi ch corresponds
to traditional theory's authentic cadence. For example: GMm7--CM/cm.
i I 9 -&
GMm7 eM
Figure 101: Example of a 'Classical' Cadence
,:
70
2. Modal Dominant Cadence

This cadence is labelled as modal as it is quite similar
to the characteristic renaissance modal cadence which has a bass
movement of down a major second and soprano movement up a minor second.
For example: 8bMm7--CM/cm.
l)it.1 g
BbMm7 CM
Figure 103: Example of a Modal Dominant Cadence
11\
.... ~
.~ ----.-
..
-.
~
J
'U
q-
:r .....;: . ., \0
11
;t
~
CM D &A
3. Phrygian Dominant cadence

This cadence is labelled as the phrygian dominant because
of the half step downward resolution of the bass. For example:
DbMm7--CM/cm.
71
-e-
ObMm7 CM
Figure 105: Example of a Phrygian Dominant Cadence
-A' .
.
.
I" .IJ'
\~ .
P
I" ~.
P
.
.IT
.IT M--t
6 ..
~
'G' 'F#'
4. Romantic Dominant Cadence

This cadence is labelled 'romantic' (Lendvai 1983, p. 144)
because of the root movemer;Jt of a major thi rd i nterva 1 whi ch Lendva i
feels harkens directly tc the language of the romantic period. For
example: EMm7--CM/cm.
~ _-e-
EMm7 CM
Figure 107: Example of a 'Romantic' Dominant Cadence
,:
72
Dominant Poles as Roots
Each of the poles of the dominant axis can be used as the
root of a dominant chord. These. chords are normally seen as being
a major-minor seventh quality.
GMm7 EMm7 DbMm7 BbMm7
Figure 108: Mm7 Chords on Dominant Poles

However, in addition to this, one can also find major, minor
or subminor quality chords built on these dominant poles which also
function as dominants in dominant to tonic cadences. This is illus-
trated in Figure 109.
1. GMm7--CM/cm
GMm7 CM
2. GM--CM/cm
GM CM
3. gm--CM/cm
gm eM
73
4. g-dm7--CM/cm
g-dm7 CM
Figure 109: Examples of Dominant to Tonic Cadences

Using Varying Qualities of Dominant Chord
Tonic Poles as Roots

The second of the possible relationships (related to common
dominant) is to relate a single dominant (any of the four poles on
the dominant axis) to each of the four possible tonic dords drawn
from the tonic axis. The criteria for labelling these cadences is
the same as mentioned earlier.
1. GMm7--CM/cm Classical Cadence
GMm7 CM
2. GMm7--AM/am Modal Cadence
GMm7 am
3. GMm7--F#M/f#m Phrygian Cadence
GMm7 FNM
,:
74
4. GMm7--EbM/ebm Romantic Cadence
GMm7 EbM
Figure 110: Examples of Dominant to Tonic Cadences

Using Varying Qualitites of Tonic Chords
It is important to note that no matter whi ch way the cadence

is constructed, the same four types of cadence keep appearing. There
is considerable flexibility in Lendvai's system because of the chordal
variety and relationship to one another allowed.
Alpha Harmonies
As ~een thus far, within the axis system, it is possible
to derive the various intervallic models (1:2, 1:3, 1:5) and determine
harmonic function according to whether the notes appear on the tonic,
dom; nant or subdomi nant axi s. There is yet another property of the
axis system to be discussed. This property is the formation of chords
derived directly from the axis system.
Functional theory is founded in tertian harmony. That is,

notes are placed in simultaneities of major or minor thirds to produce
chords. Lendva i di sca rds th is method when dea 1i ng with the ax is
system. Here, instead of tertian harmony, chord structure is based
75
on Fibonacci numbers (2,3,5,8). Collectively, this group of chords
is known as alpha harmonies. Broken into its individual component
chords, they are:
alpha chords (a)
beta chords (a)
gamma chords (y)
delta chords (a)
epsilon chords (E)
Each of these will be discussed in turn.
Alpha Chord (a)

The alpha chord consists of two layers of notes, a tonic
layer and a dominant layer. Both of these layers are taken directly
from the axis system.
Tonic:
Dominant:
~T
'
DOle
Alpha Chord: ~.e- Dom; nant
,:
76
The tonic layer is the top layer and dominant always beneath.
The keynote is the lowest tonic pitch. Occasionally, Bartok reverses
this and places the dominant layer above the tonic. This is called
inverting the alpha chord. The key-note is still determined by the
lowest tonic pitch with the alpha chord.
~ .
~Domlnant
~TOniC
Figure 111: Inverted Alpha Chord

Be low are severa 1 examples of alpha chords. Thei r key note
and accompanying axis system are shown to demonstrate their derivation.
1. Eb al pha
Eb
c Gb
T = eb c a gb
o=9 e db bb
77
2. F# alpha
F#
Eb A
T = f# eb e a
c
D = bb 9 e e#
3. B alpha
Ab
T =b ab f d
D = eb e a f# F
4. D# alpha
D#
c
T = d# e a f#
D = 9 e e# a#
Figure 112: Examples of Alpha Chords

78
The number of notes within an alpha chord varies. It may
be as few as two notes (See Figure 113) or as many as six (See Figure
114) •
T = c#
o=d
Inverted alpha chord
(dominant over tonic)
C#a.
Figure 113: Two Note Alpha Chord
T = c# e 9
o = g# b f
Inverted alpha chord

(dominant over tonic)
C#a.
Figure 114: Six Note Alpha Chord

An alpha chord may also consist of three layers, although
thi sis not as frequent as a two 1ayer model. The ton i c 1ayer is
normally on top, dominant in the center and subdominant on the bottom.
,:
79
T = e 9
£ 4-ffi~"
o = g# b
[
Ea SO= d# f#
o F#
T = e 9 a# e#
G C# o= d f g# b
[
SO= a e d# f#
C G#
A#
Figure 115: Three Layer Alpha Chord

Excellent examples of three layer alpha chords may be found
in the fifth movement.
80
~ '----' i....-I L--I ' - - ' l...---l "---' '----' ' - - ' \oJ \.-S
ABc.. ADS b
'3 A'BA
c:ta 1::a. c.:!I: ~o C."d Eo AJJro E-a r!c E-a c.~o.
A: T· cl al (2 layer)
E D • fl a
B: T· e 9
D• b
SD • dl bl
G c: T. Cr; e 9 al (2 layer)
SD • dl fl
D: T· e
D • gl b
SD • dl
All E: T. al fx cI
0"' ;;
SD mac

Beta Chord (8)
Type beta is generated about the interval of a perfect fourth.
Since the perfect fourth is an important consonant interval, the
top note of this perfect fourth is the key-note of the beta chord.
First, the perfect fourth:
The interval of a tritone is added below, using the bottom

note of the perfect fourth as the top of the tritone.
81
This is the skeletal form. To it can be added a minor third

above the bottom note of the tritone, and a major second below the
top note of the perfect fourth.
Below are several examples of beta chords with their structure

notated with brackets.
1. F beta
2. F# beta
3. A beta
4. E beta
Figure 117: Examples of Beta Chords

82
Below are two examples of beta chords from the Quartet.
(O-A-Eb)
013
(F#-B#-E#)
- ,...
'. -'W
I
~~ ~~
I" ;' ;' dol~
•
I" ..~~. ,.,.." ;--- .Y
eo=- . I
; ..
E#13
Gamma Chord (y)

The gamma chord is the chord most closely associated with
Bartok because of its unique combination of the major triad with
its parallel minor triad. It appea rs with cons i derab 1e frequency
in the music of Bartok.
83
Type gamma is a1so based on the perfect fourth. The key-
note is the top note of the perfect fourth.
A mi nor thi rd is added above the top note of the fourth and .
a minor third added below the perfect fourth.
Frequently, the seventh above the keynote is added.
The gamma chord can al so be seen as a numerical symmetry

combining the major and minor triads.
major minor gamma
i Si)i "2 !)B

8=3+5 8=5+3
11
M+ m
Figure 120: Symmetry of Gamma Chord

This 3 + 5 + 3 (m3 + P4 + m3) is important to Lendvai. It
is used to form a closed sequence which in turn creates a succession

of gamma chords and is the only symmetrical alpha harmony which can
be constructed in this manner.
,:
84
Figure 121: Succession of Gamma Chords
Below are examples of gamma chords with their structure in

brackets.
1. C gamma
2. B gamma
3. F# gamma
4. G gamma
Figure 122: Examples of Gamma Chords

85
The following musical examples of gamma chords are from various
movements of the Quartet.
&' p~ I
Cy
Cy
~II t I
,... I""
II ,-.
I
?h jf ~
01
1
I
1~6· I
Ey
""" ........
Ey

86 .
ill @
:/;-e-
r~B 1.8 ~Q 11§ II
Ay Bby Dy Eby Dby
Delta Chord (c)

The delta chord is similar to the beta chord. Here, however,
the perfect fourth is on the bottom and the tri tone placed above
it. The key-note is the top note of the perfect fourth.
87
A minor third above the lower note of the tritone is added.
Below are examples of delta chords with the structure notated

in brackets.
1. Ab del ta
2. A delta
3. Bb del ta
4. Cb delta
Figure 126: Examples of Delta Chords

88
Below are examples of delta chords from the Quartet.
~
Ebe
Ebe
Ge
Epsilon Chord (E)

The epsilon chord is built around a perfect fourth, but th'is
time, the accompanying tritone is neither added above nor below,
but, rather, woven around the perfect fourth. The key-note is the
top of the fourth.
89
First, the perfect fourth interval:
Second, a tritone is bui It a major second above the lower

note of the perfect fourth.
Last, a minor third is added above the top of the tritone:
Below are several examples of epsilon chords with the structure

notated in brackets.
1. B epsilon
2. C# epsilon
3. A epsilon
90
4. G epsilon
Figure 129: Examples of Epsilon Chords
Below is a rare example of an epsilon chord from the fifth

String Quartet.
- P"'99tro
Fibonacci Origins of Alpha Harmonies

All alpha harmonies have an underlying factor which joins
them together. This factor is the use of Fibonacci intervals. Every
interval in each chord uses only those numbers found in the series,
namely, 2,3,5 and 8. This intervallic structure is diagrammed b~low
for each of the alpha harmonies.

91
1. alpha
Note the formation of a 1:2 model using the alpha chord.
This may be seen as a linear form of the alpha chord if seen in this
form.
2. beta
3. gamma
4. delta
92
5. epsilon
Figure 131: Intervallic Relationships of Alpha Chords
Equidistant Scales and Harmonies

While most of the harmonies Lendvai discusses are combinations
of Fibonacci intervals, there exists a separate category of scales
and harmonies which are constructed using a single interval of the
Fibonacci Series, creating closed systems, i.e. they always return
to the original starting pitch. There are four scales/harmonies
of this type. These are shown below.
1. from major second intervals (2)
By using major seconds, the whole tone scale is constructed.
Lendvai label~ this scale the 'omega scale' (Lendvai 1983, p. 388).
Figure 132: Omega Scale

Additionally, chords may be formed using only major seconds
and are labelled omega chords.
93
ED he ff :J §
M2 M2 M2
Abw
Omega Chord
Abw
2. from minor thirds (3)

Using minor thirds, the fully diminished seventh chord is
formed. Lendvai does not distinguish this formation of the fully
dimi ni shed seventh chord from that made by a 1teri ng a major-mi nor
seventh chord.
Figure 134: Fully Diminished Seventh Chord
3. from perfect fourth (5)

A series of perfect fourths may appear linearly (as a melody)
or as a simultaneity of fourths to produce a chord of the fourth
(Lendvai 1983, p. 381). They may also be seen in inversion as chords
of the fifth.
94
.s
Figure 135: Sequence of Perfect Fourths

The following example is the linear use of the perfect fourth
from the third movement.
'.
The two examples below are fourth chords.
4th Chord

95
Be low is an example of a chord of the fifth from the fi fth

movement.
5th Chord
4. from minor sixths (8)

The use of minor sixths i~ limited to the formation of aug-
mented triads.
I. (l
Figure 140: Augmented Triads

96
The next section will discuss the theories of Lendvai as
they can be applied to the Fifth String Quartet.
CHAPTER TWO
THE QUARTET
This portion of the dissertation is an analysis of the Fifth
String Quartet using the analytical principles of Erno Lendvai.
It is designed to give a structural, tonal and harmonic overview
of each movement. All fi ve movements wi 11 be di scussed in deta il ,
giving attention to three areas in particular: penta tony; relative,
parallel and substitute chord harmonies; alpha harmonies. These
areas assume varying degrees of importance depending on the particular
movement.
A brief discussion of the Quartet precedes the detailed analy-
sis of the movements.
Each of the five movements has a particular characteristic

which sets it apart from the others. The first movement is strongly
pentatonic and uses alpha harmonies. Movement two, the shortest,
is important for presenting the chorale section which becomes the
focal point of movement four. The third movement emphasizes relative,
parallel and substitute chords, giving less significance to pentatony
and alpha harmonies. Movement four is a series of variations on
the chora 1e of the second movement. In th is movement, penta tony
again takes precedence, with its ensuing alpha harmonies. The finale,
movement five, is the longest movement, recall ing material from the
fi rs t movement.
97
98
The Fifth String Quartet, as previously mentioned, is an

excellent example of palindromic structure: the second half of the
Quartet is a reverse image of the first half. Bartok designed his
pal indrome through the use of a five movement structure where the
fi rst and 1ast two movements are centered around the thi rd movement.
I
Movement five is a variation of movement one and movement four is

a variation of movement two. The formal structure is seen in Figure
141.
Movement 1 Movement 2 Movement 3 Movement 4 Movement 5
A 8 c 8' A'
Figure 141: Formal Structure of the Quartet
Tonally, Bartok creates a palindrome by his choice of poles

and counterpoles from a single axis as the tonal centers for each
movement. Movements one and five center around Bb, the tonic pole,
two and four' around the pole and counterpole of the side branch of
the tonic axis (C# and G). See Figure 142. Movement three is related
to the outermost movements by centering around E, the counterpole
of Bb. Therefore, the entire Quartet begins on Bb and circles counter-
clockwise around the axis to the counterpole, E, then continues in
the same direction back to the starting pole, Bb. Thi sis shown
in Figure 143.
99
Bb
/ Eb~
B'-+ E
Figure 142: Axis System of the Quartet
Mvt. Axis Function Position Branch
5-1 Bb T pole main

5-2 eil T pole side
5-3 E T counterpole main
5-4 G T counterpole side
5-5 E+ Bb T counterpole/ main
pole
Figure 143: Tonal Structure of the Quartet
Whether viewed structurally or tonally, the Fifth String

Quartet is indeed a palindrome.
CHAPTER THREE
MOVEMENT ONE ANALYSIS
The first movement is in sonata form. The exposition presents

the first, second and third themes in sequence. The center of the
movement is a developmental section, followed by a recapitulation
which reverses the order of thematic presentation (i .e. third, second
and first). As the formal arrangement of themes in the recapitulation
reflects that of the exposition, the form of the movement can be
seen as a palindrome. See Figure 144.
Exp 1-58 Dey Recap 132-176 Coda

FT Tr ST TT Dey TT ST FT
1-14 14-24 24-44 44-58 59-132 132-146 146-159 159-176 177-218
1: .59-63
2. 63-69
3. 69-86
4. 87-103
5. 104-111
6. 112-132
pole: Bb C 0 E FI Ab 8b Whole Tone

Progression
Figure 144: Formal Structure of Movement One
The tona 1 center of the fi rs t movement is Bb, wh i ch is a 1so

the tona 1 center of the entire Qua rtet. In th is movement, the tona 1
centers of the movement reflect an ascending whole step progression
(Bb-C-D-E-F#-Ab-Bb). This may be seen in the following figure which
100
101
shows the tonal axis. All references to function in the first movement
will be focussed on this axis. See Figure 145.
Eb Bb F
~
b
C# G
B
E
Figure 145: Tonal Center of Movement One
First Theme/Transition (1-24)

The opening of the first theme firmly establishes the tonal
center of Bb by scoring all four instruments on a unison Bb for three
full measures.
V1ollno I
VSollno II
Viola
VSolonceUo
Figure 146: Measures 1-3

102
In measures 4 and 5, the Bb pentatony is transformed into
its counterpole penta tony of E. This is done by the simultaneous
alteration of do to di and mi to rna. Figure 147 shows the Bb penta-
tony! Figure 148 shows the transformation from Bb pentatony to E
penta tony. Figure 149 shows the passage from the score.
R I
E~
(;!!~
, ,Iile lz
b , ..
m; so 1a
Bb m;-pentatony
Figure 147: Bb Mi-pentatony

.---- - _._._._--
Ih"", ! ' J
v '-'" ., v_
m~--~ma do--~d;
~ I
m; so la, m; la so
Bb m;-pentatony E m;-pentatony
Figure 148: Transformation of Pentatonies
"
." ••
i"' • •• ".
w...
"
""';., SD ~I.'" I.. 50
Bb m;-pentatony E m;-pentatony

103
Bartok sets the polarly related pentatonies (Bb and E) against

each other in measure 8 to firmly establish the tonal center of Bb.
~ ".!!\; 'Sl2. ,I£,-. "
OJ
A . Bb Mi-pentatony
.. ... • • ',-_ 'I: Po.
... I'" -
g ..!... E Mi-pentatony
"
- ~., '0\,
. •
Figure 150: Measure 8
The remainder of the first theme area is in the subdominant
region of Eb and tonic E poles. The viola and cello passages are
in the Eb penta tony whi 1e the viol ins are in the E pentatony. Thi s
is seen in measures 9 and 10.
q ._...
Ie:;...... ~I
So ,A_ .. [Q]- . .
"
01 .. E mi-pentatony
(Tonic)
t,,- - '-C-- .......---:-,.. L."....!--. ~
[i't"-
\e..
.- 50 .-
IO.....J.:.-....
-.
"-. .- Eb mi-pentatony
(Subdominant)
1"'\\
Bb
C# G
E
104
The first theme area ends with a phrygian cadence in measures
13-14. The subdominant F# is approached by the tonic, G. Since
the region is centering on the subdominant axis (Eb, F#, A, C) the
pole, F#, assumes the status of 'tonic ' • This may be compared in
functional harmony to a piece in C major cadencing on an F major
chord. F major is the subdominant region of C major, but functions
as toni c in F major. Root movement is down a half-step, thus the
cadence is a phrygian cadence.
'F#'
The transition (14-24) progresses to the second theme, empha-

sizing the pole-counterpole relationships of the subdominant and
dominant axes through pole replacement. Measures 14-20 are shown
below. The music appears first, (Figure 153) then a diagram (Figure
154) and discussion of these measures demonstrating the various penta-
tonies, pole substitutions and other areas of interest.
,;
105
c....\
I'I\l"
~
-
t.\1\1
. ':' .. '
.. ~-
m!! .. t ~
- ~
~..::.

106
14 15 16
A mi F mi FN mi
'd c 9 ~ _______ n __ -~b bb f j S:-n-e b a e d a fN'
la so re mi Fb ~i so~~a mi do re la so e do so mi
II ,....-:G.:o......;::.<W-_
••_\Q....;.."- - r 'bb ab db eb--- - -~---8 b gf I~f --- --- ----gl 9 fl
la mi fa ti la re mi ~
Vla a 9 d eb ------------------ -a---- e ----- d- ---b-- ----b-----
L" P f'~ 1a so do re 0 1a re mi
PE
Clo fN----------------------pb db a~ f---- gb ---aN g# cN d# g# a# d# e#
so la mi
Ab mi S.~. Dom. E# mi
Poles Poles
~
PE = Pole Exchange
S.D. = Subdominant
Dom. = Domi nant
mi = mi-pentatony
Figure 154: Diagram of Measures 14-16

As seen in the diagram above, the viola begins with a G epsilon
chord stated linearly.
11111
Figure 155: G Epsilon Chord

The tritone of the epsilon chord establishes the juxtaposition
of the pole A and countefpole Eb of the subdominant axis. Violins
I and II separate these two poles (A and Eb) into their respective
pentatonies in measure 15.
~_,(~-I \-
E"
Figure 156: Juxtaposition of Pole and Counterpole
107
At the end of measure 15 the cello's F# (a subdominant pole)
merges into an Ab mi-pentatony.
so la mi
Figure 157: Ab Mi-pentatony

The pole replacement within this cello line is Cb + F, pole
and counterpole on the dominant axis.
Bb
Counterpole
Figure 158: Cb and F Counterpoles

The downbeat of measure 16 is an F gamma chord which combines
notes from both the dominant and subdominant axes: Ab and F from
the dominant axis, A and Eb from the subdominant axis.
108
~-_r"7"1 .~ ~" r
~ '! - l ,..
... ." '_ ~' ~-' . ~ --::oc:§
,., ..- -=
, - Fy

In measure 16, violin I uses yet another pole replacement
(Ab + D) from the dominant axis.
Bb
'11
1.~ -it Jy-,,:-
~ - l ,..
.. , , ~ ~-' .~ --===§§
~,
-=
Figure 160: Ab and D Counterpoles

Vertically, Bart6k moves from a gamma chord, which combines
axes, to individual simultaneities of dominant and subdominant poles.
Beat 2 is a simultaneity of subdominant poles (Gb, Eb, A), beat 3
is a simultaneity of dominant poles (G#, D, E#). See Figure 161.
109
Bb
Eb
G#v(S c
C#
G Domi- SUbdomi-
nant nant
Poles Poles
E
Figure 161: Dominant and Subdominant Poles
Measures 17-20 place polar sUbstitute notes next to one another
linearly. The viola begins the motive:
Bb/A#
E
,:
110
The motive shifts between the viola and violin II in 17-18,
then in 19-21, it is doubled at the octave in these same two voices,
further emphasizing the polar replacement of E and A#. The sustained
E# in the cello (17-20) is a dominant pedal while a sustained F#
in the first violin (17-18) is a subdominant pedal.
The end of measure 21 through measure 23 breaks off the motive
and begins a new idea. Each of the four voices move linearly in
contrary motion in various combinations of half steps and whole steps.
Lendvai does not discuss those areas which do not fit his theories
in a precise manner and it is impossible to know for certain how
a passage such as this should be labelled, however, this author feels
these could be considered variations on the 1:2 model.
... -
".
.--.,-,", '\"
U = M2 V = m2

111
The 1inear progression ends abruptly in measure 23 with an
inverted four note C# alpha chord, {shown below}
~ Dominant ~ -'
~~ ~ Dominant
Tonic ~
Cia Cia Tonic
Figure 164: Inverted C# Alpha Chord, ~leasure 21
wh i ch is i mmed i ate 1y reduced to a two note vers i on of the same C#

alpha chord on the next beat. {shown above}
Second Theme {25-44}

An interesting feature of Lendvai's theory is his use of
Fibonacci numbers to construct a closed system. There are two such
closed systems in the second theme area. The closed system used
in the second theme is a sequential chain of 3 + 3 + 2 half steps.
In other words, a minor third, minor third, major second sequence
repeated three times. Because the sequence returns to its starting
pitch, this succession is termed a 'closed system'.
The first closed system {25-29} is begun on C using the 3
+ 3 + 2 sequence.
112
Eb
C
~ F#
~ ~
B\\G 3
.2
):G#
.3 B
E D
Figure 165: Closed System Diagram on 'C'

The C based system is not immediately apparent in the music.
All the notes of this closed system are mixed together and cannot
be easily bracketed to show their relationship to one another. How-
ever, intervallic patterns based on the Fibonacci Series which are
used for cohesion of this closed system are shown where possible.
113
",..prr/
I I ~A . .2 I J. I ;4 I "1
- ..
-~j3- ......
'-;"'; r ~.". ,..
. ~-
"

The second closed sY5tem (29-36) is based on F# using the
same 3 + 3 + 2 pattern.
114
A
F#~ C
)., :t.
Ec:~ j.gD
~
A# G#
Figure 167: Closed System Based on 'F#'

Thi s F# based closed system passage is a sequence of the
previous one with similar intervallic relationships. There is an
internal cadence in the second theme at measure 36 bringing the F#
based closed system to a close. The chords and their respective
functions are shown in Figure 168. It is an unusual cadential sequence
in that the b-dd7 is used as a direct substitute chord for a Bb major-
minor seventh.
,;
115
The return of first theme material (37-44) rounds off the

second theme. The tonal center of the first theme material is clearly
the C pole on the subdominant axis. (See Figure 169) It was originally
in the tonic area of Bb.
Third Theme (44-58)

The third theme (44-58) consists of chromatic linear passages
interspersed with various chords and alpha harmonies. Lendvai's
theory does not account for melodic material which is neither a model
(1:2, 1:3, 1:5) nor chordally derived (such as a chord in arpeggia-
tion). The melodic line may be called a 'closed melody' using Lend-
vai's term. (Lendvai 1983, p. 407) This implies a melody which
arches either up or down and returns to the starting locations:
.:
116
'---/or ~ These melodies are chromatic, often using all

twelve tones.

The progression of harmonies is shown below with further
explanation following:
117
..
,~
arroo
-
1m .-_. ----------------------------
"'''''''1Il ..-
.A ",,:. • .... -.
~ 1:f_
Sf -
-
-

118
poco rit. _ _ • tempo
Fi gure 171: Conti nued

119
A tonic BbMM7 hypermajor chord appears in 45 and 46, becoming
an Eb delta in 47 and 48. See Figure 29.

m1
Ebo
Ebo
Figure 172: Measures 45-48 Ebo Eb6

Measures 49-50 contain what Lendvai calls a 'polar chord'
because of the relationship between Band F, the two important chord
tones. (Lendvai 1983, p. 751) This chord could also be seen as

a root position F7 (French seventh) configuration (B-O#-F-A) although
it is not functioning as an augmented sixth chord. Measures 51-52
are a fourth chord (B-E-A). Each of these three notes represent
either the tonic, dominant or subdominant axis, creating a tonally

unstable area. In measure 53, however, this is balanced by an FMm7,
120
followed in 54 by an f#m chord, both stable chords in comparison
with the preceding fourth chord. Bartok again shatters this stability
in 55 with a vertical open fifth (D-A) and a whole tone 1ine in the
cello for one half measure.
Measures 56-58 constitute an area based on a 1:5 model.
The prominent notes, D-Eb-G#-A, in these three measures are registrally
placed to highlight the 1:5 configuration. The 1:5 model pitches
are circled in Figure 173.
- ...
..
I 5 I

The thi rd theme is ended by a phrygi an cadence of DM6 to
FM in measure 58. Although normally defined by a root movement down
121
a half-step, this time the cadence is defined by bass motion down

one half-step, emphasized by the F# to F in the cello.
tIiII.. ., . .
bUll 1= U
Figure 174: Phrygian Cadence in Measure 58
Development (59-132)
The development section (59-132) is a working out of the
first, second and third theme areas. Section (1) (59-63) opens with
the first theme in the tonal center of the tonic counterpole, E,
with a four voice unison (59-62). This is modelled on the opening
first theme material from the exposition.

122
In section (2) (63-69), Bartok layers the pentatonies based

on the tonic pole and counterpole, E and A#, in stiettO. The music
is shown below with a diagram following demonstrating these pentatonies
and their relationship. See Figures 176 and 177.
e: I"t'\,-
E fV',-
~--- - -

123
E mi-pentatony Bb/A# mi-pentatony
e g a c d a# c# .JJI
U1t
.L:J1
11t g#
mi so la do re mi so la do re
3 2 3 2 do---di 3 2 3 2
c---c#
mi---ma
e---d#
Figure 177: Diagram of E and A# Pentatonies
At the end of this stretto (69) is a fourth chord. Built

on E#, the chord is E#-A#-D#-G#, shown in Figure 178.
4th Chord
Figure 178: Chord of the Fourth, Measure 69
Section (3) (69-86) is a stretto of Sb and Eb mi-pentatonies

in the violins with an accompaniment of sustained minor seventh inter-
vals and chromatic sequences. Lendvai's theory does not account
for the minor seventh interval other than as an inversion of the
major second interval, which makes it acceptable within the context
of the Fibonacci Series. Measure 73 contains a rare example of an
omega (whole-tone) chord. It is based on Ab and is spelled Ab-Bb-C-D.
124
Omega chord {LI
ab bb c d
Figure 179: Measures 73-75 M2 M2 M2
Section (4) (87-103) is a combination of first and second

theme materials distinguished by instrumentation. First theme material
is in the violins, while second theme material is in the viola and
cello. The second theme material is a closed system on C as it was
in the exposition.
First Theme

125
Section (5) (104-111) deletes the second theme but continues
the working out of first theme material in stretto. As shown in
the following example, the sustained notes first move up by chromatic
half steps from C to C, then down by chromatic half steps from A
to E. This shows a movement from subdominant (C) to tonic (E), and
subdominant (A) to tonic (E). (See axis system in Figure. 181)
.. .----,
.:
...
.c..
- 1
, /I
Figure 181: Measures 104-111 and Axis System

126
D# F
C#
Figure 181: Continued
Section (6) (112-132) is a variation of the first theme.

This section contains the c1 imax of the entire movement in measure
126. Thi s double forte chord of E and F is a two 1ayer alpha chord.
E represents the tonic axis, and F represents the dominant axis.
I
El~
~~~i!~~E/f f z'" Dominant

( ) '\9.......
Tonic
Ed----
127
Directly after this climax point, there is a false recapitulation
using the alpha chord in the original rhythmic pattern of the uoening
measures. This is a false recapit'Jlation as it quickly dissolves
into more developmental material before the actual recapitulation
in measure 132 which uses the third theme (132-146) in the subdominant
axis tonal region (poles F# and C). Structured in the same manner
as in the exposition, linear passages are interspersed with both
chords and alpha harmonies.
The second theme (146-159) uses inverted material and is
shorter than the exposition second theme. Lendvai uses the term
inversion indiscriminately to mean any of three things: inversion
of contour, intervallic complementation or melody retrograde. Passing
reference only will be made to these areas as it is not the intent
of this paper to d\>Jell on this aspect of Bartok's compositional pro-
cess.
In addition, the recapitulation of the second theme employs
only one closed system on C instead of the two different closed systems
as presented in the exposition.
The first theme (159-176) is varied and also inverted. An
item of interest is the use Bartok makes of the substitute chord
b-dd7 for the Bb tonal center from 160-165.
128
BbMm7---------------b07 ~
do---------------di
_. --'">
fI.fF
The coda is lengthy (177-218) and concentrates on working

out and varying first theme material. Stretto and canon are again
used extensively in this section emphasizing the Eb and A poles of
the subdominant axis (177-181).
129
Bb
Figure 184: Measures 177-181 and Axis System

The movement ends wi th a strong affi rmati on of the Bb tonal
center by a four voice unison Bb. Brief 1:2 models appear in 209-210.
The final cadence is a 'classical' dominant cadence" The dominant
chord is an f-dm7 instead of an FMm7 and resolves to a unison Bb.
See Figure 185.
130
E------Bb
,
lIT
lb\
JE
~y.
Tempo I. (,/.us)
t:'\
""
E______________________________________ Bb

CHAPTER FOUR
MOVEMENT TWO
Movement two, the Adagio, is in palindromic form similar

to the first movement. The three thematic areas are each presented
in turn, followed by a developmental section in the middle of the
third thematic area. The remainder of the movement presents the
second and first thematic areas respectively. The formal structure
is shown in Figure 186.
[A] Tr [B] [C] [B'] [A']

1-4 5-10 10-25 26-46 46-49 50-56
2 2
Chorale
Intra 26-30
Folksong 31-34
Dev 35-42
.RT 43-46
2
pole: CII C G C CI
Figure 186: Formal Structure of Movement Two
The second movement is the shortest of the fi ve, only 56

measures long. The tona 1i ty centers on C#, the pole on the side
branch of the tonic axis. Figure 187 shows the tonal axis for this
movement.
131
132
C#
E Bb
G
Figure 187: Tonal Axis for Movement Two
The movement opens with a brief four measure (A) section.

It begins softly with trills which resolve by either a half-step,
or a minor third. Measures 3 and 4 expand these two intervals to
a perfect fourth.

The transition (5-9) continues the motivic idea of the (A)
section with major seconds in measures 6-7, and tritones in measures
8 and 9.
,:
133

Each of the tritones represent a different· axis by being
the pole and counterpole of either the tonic, dominant or subdominant
axis.
C#
F#
(b
t> \
S, @
Dom-
nant
'i
~.
Sub-
't
Tonic
6
T-~T
domi-
E nant
Bb
\ 1)
A 's/,F
G
Figure 190: Poles and Counterpoles of Measures 5-9

134
Movement in the cello is a 1:2 model:
d c b a g# f e
2 1 212 2 1
Figure 191: 1:2 Model of Measures 5-9

The cadence which ends the transition is a modal cadence
into the dominant region. Measure 9 ends with a eM chord, moving
to an open fi fth of D and A with a root movement up a major second,
producing a modal cadence.

The (B) section (10-25) is the focal point of the movement.
It consists of sustained chords in a chorale texture with a single
moving line in the first violin. Harmonies of this section are shown
135
below. Note the absence of alpha harmonies. Bartok makes emphatic
use of alpha harmonies when this passage is reharmonized in movement
four to contrast with this presentation.
4;
L-\"\~---
.~-----
f'-k
__:-__--v
ctffi'r't~ ~----

136
This harmonic progression also outlines a mi-pentatony on
A in the roots of the chords. The diagram below clearly illustrates
the pentatony.
A mi-pentatony
m. 10 13 15 17
so re mi do
eM gm amm7 FM
Figure 194: A Mi-pentatony

The recapitulation of the (8) section (46-49) is quite abbre-
viated: it contains six chords and is only three measures long instead
of the expos i t i on I s fi fteen. This time, though, two alpha chords
are used to set apart the return of the chorale from the original
harmonies.
Dominant
Tonic
C#a
Cia
,:
137
The importance of the chorale secti on of thi s movement wi 11

become clearer in the discussion of movement four.
The (C) section is the longest section of the movement (26-46)
and can be divided into four parts: introduction (26-30), folksong
(31-34), development (35-42) and retransition (43-46).
Measures 26-30 are based on the material from section (A)
(1-4) and the transition (5-9). (See Figure 196) In measures 26-20,
(Figure 197), the half-step motive is used in a new rhythm, and th~
perfect fourth and tritone are filled in.
A -fl~
I .,
_II
,. -A ~. PJ
. \ ' :t :.. ) ot\ .... 4
I~
......
.1. ,. -.7·" :;
~~ p- f; -p T'"
"' I_ ':;2"·- --=

Jll[) --- ~l ~TT
~ I~~IT -~
., -,p,-\ '-" -;;;;;iT
, ,c-...TT
_.'
- "'- ."z.-
- --..-
fI-..- II·..J ~, .. -~r

138
\\

A new motive is introduced in measure 27 in the viola. It
outlines the so-mi descending minor third which is characteristic

of mi-pentatony. It will be referred to as motive IX I in the following
discussion.
139
Figure 198: Measure 27, Motive 'X'

Once Bart6k has established this motive, he uses it to generate
a four measure folksong-like passage. The four measures (31-34)
are in a binary arrangement. An Eb pentatony (subdominant region)
begins at 31, shifting to the tonic axis in 32. Measure 33 starts
over in Eb pentatony and shifts to a G pentatony. The accompaniment
from the introduction is reintroduced by the viola and cello. A
tonic axis pedal on g is sustained in the second violin from 26-34.
The folksong passage is given in the following example with
relative solmization and chords given where possible. Lendvai's
theories do not d'iscuss all possibilities, concentrating rather on
those areas which comply perfectly to his ideas. More analysis needs
to be done on the music of Bartok using Lendvai's theories to either
prove or disprove the credibility of his concepts.
,;
140
Jo 10... I'M
So (c. ""i
fl. WI poco IIJII'M.
,1\01
c ~~ e..N\
Cadence

The next part of the (.C) section is developmental (35-41).
Motive X is expanded to form interlocking pentatonies. The music
is shown first, followed by a diagram demonstrating the method whereby
the pentatonies are joined together. See Figures 200 and 201.
141
~" ft~.41 .-..... ;- ~~~ :T~ .-

~(a . -
-or "V
/.::'\
-- -~
(b)~.r
"'-:.,--....
......
• ........
...",
-/
- - ('l:> •.1 T ..".-..
I
..,~~- . .I 7

142
A
£) e s ' , #1 :
=#=0 ¥-e- 0- 6
m; la so do
m; la so do
m; la so do
PE
,~
.t<
I
?2 1'- e Ei
e to )0 J, i ~
" ;eo
so la m;
do so la mi
do so la mi
C,
(0 ~ l) e i j e
fn tQ
do so la m;
do so la m;
do so la
foE
b ~
?z~ e
(
C5""
e b
t &" 0
0 Ii
la so do
mi la so
m; la so do
Figure 201: Interlinked Pentatonies

143
The filled in tritone motive in the above example is no longer
exchanged between voices as an independent motive. In this section
it is confined first to the cello (35-36), then violin I (37-38)
and finally to the cello again (41-42). By the time the motive is
in the cello for the last time, it is no longer an independent unit
of fi ve notes, but is 1inked together into a success i ve chain of
motives.
The cl imax of the movement is in measures 40-41. Bartok
emphasizes it with a forte dynamic and interlocking pentatonies in
stretto and the appearance of an A gamma chord at the peak of the
climax. Figure 202 shows the music, Figure 203 diagrams the joining
of the pentatonies.
-- ~ • __.:"~~ .-
-
'-n.. :
I-~
~.
i( __
(1; @
~ 4b
....-
- = J o fA'
"'l...
-.:r, ~ ;:;;ff
~f r~
-
"
»- ..
f II~
Ay
(pole exchange)
so do
mi la so
mi la so do
Figure 203: Diagram of Measures 40-41

144
A retransition (43-46) completes the (C) section. Measures
43-45 unwind from the climax point of measure 41 and act as a transi-
tion back to the recapitulation of the chorale. A modal cadence
(cmm7--D and A) in 45-46 finishes tne (C) section.
al~~ @
Q"iSft •

The second movement ends wi th a return of the tri 11 s of the
(A) section. These gradually fade away to a single descending line
in the ce 11 o.
145

CHAPTER FIVE
MOVEMENT THREE
At the center of the Quartet's palindromic structure is a

symmetrical movement, a scherzo-triCl-scherzo, which acts as a bridge
between the first and last two movements. The first scherzo (1-66)
is a rounded bi na ry [ABAJ; the second scherzo (1-92) is shortened
to binary [ABJ with a Coda.
Pl aced between the two scherzos, the tri 0 (1-65) is the apex '
of the entire Quartet. It is the one important part of the Quar-tet
which is clearly organized by the formal principles of the golden
section proportions.
Although it is possible to derive minor examples of golden
section proportions in most of the other movements (Perle, for example
[Perle 1977, pp. 207-208J argues for golden section in movements
1,2 and 4) it is this author's contention that the place which conforms
closest to Lendvai's stipulation "it can be observed [thatJ the golden
section always coincides with the most significant junction-point
of the form" is the trio of the third movement. (Lendvai 1983, p.
326) A discussion of the use of golden section may be seen in the
section on the trio.
Figure 206 is the structural chart for movement three.
146
147
Scherzo I (1-66)
Intro (A) (B) (A) Tr
1-2 3-24 24-49 50-64 64-66
1. 24-36
1
2. 36-49
Trio (1-65)
Scherzo II (1-92)
(A) (B) Coda
1-29 30-57 58-92
1. 30-40 1. 58-74 2. 74-92
2. 40-57 a. 58-65
b. 66-73
Figure 206: Formal Structure of Movement Three
The tonal center of this movement is E, the counterpole of

the main branch of the tonic axis. Figure 207 shows the axis system
for this movement.
E
F#
G C#
G#
Bb
Figure 207: Tonal Axis for Movement Three
148
Scherzo I
(a) Section (1-23)
The opening harmonies establish the tonal center of E by
the use of EM and its relative chords, c#mm7 and a#-dm7.
4· -, -. -. -
-..
-.: \ .;l... 3 ... 4
- ~~
lro-=----.....:....,...
,sa. I I
,
I
,,"""'-. . :,...
, .,
•.! P' p
•• ~.
.
I-
~., - \p
1\
. ~:- -.... ...~ ~...

...--- -..........
rl: P
-
.
Ft- J
•• ::....----- ,-

Bartok then uSeS a series of substitute and relative chords
(7-8) which at first seem unconnected to the tonal scheme (d#mm7--
BMM7--g#mm7--EMM7).
,:
149
'""-.

The d#mm7 (m. 7) goes to its substitute chord BMM7, which
in turn moves to its relative chord, g#mm7 (m. 8). The g#mm7 then
resolves to its substitute chord, EMM7, the tonic hypermajor chord.
d#mm7--------------~BMM7 (Substitute)
1
g#mm7--------------~EMM7 (Substitute)
(Relative)
Figure 210: Diagram of Movement Between Chords in Measures 7-8
Interspersed with the harmonies are centers of pentatony.

The first such example is in measures 5-7.
150
LAI'
u
~..P ~ s. ~~ -~. \, ~~.. I"".. 1 ... ~
I
A
u .1.. =-- _... _..

;
1 ~ :::::--.., J
~~
~-.- ~~ --h! "'; \. . +i ,to""j, 't~1"';

p ..
, ," • ,I
I .•
,- p
&ftO
G# Mi-pentatony
( I vlfe
(£ ismi e J"
so la do re

Both measures cl early i 11 ustrate G# mi -penta tony , a penta tony
similar in construction to the harmonies seen in measures 3-7. These
similarities are diagrammed below.
lEie e ;t! lf i51

mi so la do re
do mi so la do mi (fi) la do mi
EM cam a#-dm7
Figure 212: Comparison of G# Mi-pentatony and EM, c#m and a#-dm?

Substitute chords again assume importance in 13-19. There
are two examples of fully diminished seventh chords which are substi-
tutes for their major-minor counterparts. One is in measure 13,
the other is in measure 16. Both are shown in Figure 213.
151
Figure 213: Measures 13 and 16

Other substitute chords in this section are more complex
in their relationships. For example, the two chords in measure 14:

At first appearance, D#Mm7 and f#-dm7 seem unrelated to one
another. They are neither relatively or modally related to one an-
other, or direct substitutions. (Major and minor sUbstitute chords
must have roots a major third apart from each other).
The relative chord of f#-dm7 would normally be amm7. Here,
Bartok uses the counterpole of A, which is 0# instead of A. (A pole
and counterpol e may be exchanged without change of functi on). D#Mm7
152
is used in the place of its pole, amm7, as the relative chord to
f#-dm7. See Figure 215.
PE
i J,
r
amm7 d#mm7---------~D#Mm7 (Modally related)
Relative:
[
f#-dm7 E
D ~FD
G ~ CD
G#
F D#
Bb
Figure 215: Diagram of Measure 14 Progression

A similar event occurs in measure 18.

153
This time, g#-dm7 is the focal chord. Its relative chord
would normally be bmm7. The counterpole of B is E#. E#Mm7 is substi-
tuted for bmm7 and resolves directly to g#-dm7. This is diagrammed
in Figure 217.
, PE
bmm7 e#mm7---------~E#Mm7
'" (Modally related)
r
g#-dm7
E
Bb

Measure 17 contains a D gamma chord throughout the entire
measure. The use of a gamma chord is important as Bartok uses few
alpha harmonies in the third movement.
CE.tDr
Dr

154
Measure 19 (Figure 219) is a negative direction relationship
between C#MM7 and emM7. Normally, for a positive direction movement,
C#M would move down to a#m (root movement down a minor third). Here,
the movement is nega t i ve becau se the root movement from the maj or
chord to the minor chord is up a minor third instead of down a minor
third. It should also be noted that the emM7 is a hyperminor chord.

Figure 220 shows the passage just discussed (mm. 14-19) as
a unit to demonstrate how the chords are interrelated. Measures
14, 16, and 18··19 all contain 1inear chords of importance, measures
15 and 17 contain simultaneities.
155
(8) Section (24-49)

The (8) section (24-49) is in the subdominant region of C,
contrasting with the tonic region, E, of the (A) section.
The opening rart (24-29) has a thicker texture and is more
contrapuntal than the (A) section. Much of the material is derived
from the (A) section, such as the arpeggiated harmonies and penta-
tonies, but, here, they are used in stretto and canon as accompaniment
for a new melody in the first violin (24-36). The melody is in two
phrases, mm. 24-29 and mm. 30-36. Phrase one is 1ightly scored,
while phrase two has a thicker texture.
156
Within this passage, measures 27-28 contain an excellent

example of a fully-diminished seventh chord as a direct substitute
for a major-minor seventh.
., J
u ,
_W.
A en ll>~ ,...~"7 ~
u
,,~'l~~ [BbMm7 EbMm7J
, ~.- ,.. eDl
.
-'J.-
-- . M ~-::-.
\
1..°"1
'--==
:!,
-= .-,::
=
: -:=-
Figure 221: Measure 27-28

However, in measure 29, the chordal relationship is more
complex. First, a look at the sonorities.

The b-dd7, as seen above, is the direct substitute for BbMm7.
The b-dd7 chord would normally resolve directly to eM or cm in Western
harmony, (a CM chord appears on the downbeat of measure 30). First,
however, it must pass through F#Mm7 in the second violin. In Lendvai's
modal theory this is quite acceptable as F# is the counterpole of
C and can be freely exchanged with it without change of function.
,:
157
Pi:
I {J
&t'i~.! tt 44~ I~i 1ft I
b07CM/ CMI F#Mm7 b07 F#Mm7
em em
C#
Bb
The viola line is more interesting.
'0 0 ., c.-~ ""

Figure 224: Measure 29 (Viola Line)
Here, the b-dd7 moves to c#m. To understand how a b-dd7
may move directly to a c#m chord it is necessary to first realize
the normal relative chord of c#m is EM. The next step is the exchange
of E and Bb, pole and counterpole. Because poles and counterpoles
158
may be exchanged with one another without a change of function, Bb

may be used in the place of EM.
PE E
EM
·0
T
c#m G
Bb
Figure 225: Diagram of Measure 29 Viola Line Progression

Finally, the b-dd7 is the direct substitute chord for BbMm7.
Thus the b-dd7 (substituting for BbMm7) is exchanged with EM (its
counterpole) and moves to c#m. The following diagram will clarify
this further.
PE
i
EM BtM-------------b07 (Substitute)
I
c#m c#m-------b07
Figure 226: Continuation of Figure 226 Progression

Bartok further enhances this complex relationship of chords
by reso 1vi ng them to a C gamma chord instead of a susta i ned CM or
cm triad (the downbeat of m. 30 is a CM chord, but it quickly becomes
part of the sustained gamma chord.
159
Cy
eM Cy

Measures 45-47 present a rare example of consecutive perfect
fourths in this movement. The cello line is a string of consecutive
perfect fourth intervals moving downward from E to D#.
• •
Oils
2= i tl
----,~
,:
160
(A) Section (50-64)
The return of the (A) section (50-64) is similar to the opening
of the movement except the tona 1 center has shi fted from E to C#.
C# is the pole on the side branch of the tonic axis.
Bb
Figure 229: (A) Section Tonal Center
An example of polar related chords occurs in measure 52.
Polar related chords are minor and major chords whose roots are a
minor third apart. This measure· contains an F#Mm7 moving to amM7
(the hyperminor chord).
, ~. --
re -....
.
p ~
di\l:!l.
FHMm7 amM7
~
p.
.:..... -~
• .J
, .fl -..
Hypermajor chords appear frequently from measures 54-59.
Lendvai would consider this passage to have a strongly major character
because of these hypermajor chords.
161
51) t \\
CMM7 FMM7

162
The transition (64-66) to the trio is an A gamma chord which
resolves to an la l minor chord. The A and C are prepared in the
transition and sustained through the first sixteen measures of the
tri o. The A gamma chord reso 1vi ng to the I a I mi nor chord is shown
in Figure 232.
Trio (1-65)
Central to the third movement is the trio. The tonal region
is the subdominant, the A-C-Eb-F# axis. The axis is shown in Figure
233.
163
E
F#
G C#
Figure 233: Tonal Center of the Trio Bb

It begins with an eight measure introduction which establishes
the character of the entire trio by presenting the one measure ostinato
which pervades the trio. This motivic link of the trio is a ten
note passage which is exactly one measure in length and is repeated
in mota perpetuo for the rest of the trio with rare breaks.
The opening ten note passage spans chromatically the interval
of a perfect fifth (P5), from F up to C. These notes may be assigned
solmization syllables.
1-;' ,
.. .I~- -.-
be
f t ~n ~f\E~r be It
dJ F I
do di fi so re
I
rna rni fa di rna
Figure 234: Measure 1 and Solmization Syllables

164
Bart6k maintains this pattern which outlines a P5 for fourteen
measures. In measure 15 (Figure 235), the lowest pitch, F, is shifted
upward a half step to F#, making the span a tritone (TT) instead
of a P5. This pattern is .repeated from measure 15 to 22. Beneath
it in the cello is a whole tone scalar passage from 21-22 (Figure
236).
J A ... ~ 1!1I... !I." ~ .. b.
01 _ .. -
-".~ \5 -y-
':. .
. ~-
~-
,,,
It ...-:;-1! II. . . h .. h.. l1li>... .. .. 1! IIa .Jt. ..""h::'&.
1
01
~-
- ..
2
-.~
-- .;lOt.
-~
'ij' ~ ~_ U' 1,,-·'

,
, \ I ( ;t

Measure 23 is one of the rare breaks in the perpetual rhythm.
It separates the fi rs t set of rhythmi c patterns from the fo 11 owi ng
set which begins the motive of the P5 interval again.
165
Measures 24-26 once again use the span of a P5, with all
half-steps inclusive. This time the interval is from G to D, empha-
sizing the tonic region instead of the subdominant.
do di fi so re rna rni fa di rna
Figure 237: Measure 24 and Solmization Syllables

Bartok sets off thi s return to the openi ng tri 0 pattern by
reducing it to only three measures and a full measure rest separating
it from the pattern which follows. The tritone interval pattern
(G#-D) is aiso oniy three measures iong (28-30), making the whole
passage of P5 and TT intervals only seven measures long in comparison
with the opening passage of twenty three measures.
The next section (31-56) smoothly emerges from the preceding
secti on by havi ng the lower pitch of the TT, G#, become the bottom
of the P5 interval Ab-Eb. This section, however, gives but two mea-
sures to the P5 interval and six to the TT span.
166
The line shifts upward one more half-step to A for the last
of the P5 span patterns. It 1asts only two measures and has no TT
counterpart.
The fi rst 40 measures of the tri 0 may be grouped together
as a unit because of the single line repeating pattern which prevails.
Measures 41-43 are the first major change in the trio texture.
Bartok places the P5 span pattern on A-E, already established in
39-40 in the first violin. Against it, he places its interval1ic
inversion, spanning a P5 (A down to D), in the second violin .
• f'_ I

167
The cl imax of the trio is in measure 44, where yet another

P5 interval pattern is added in the viola. The original A-E P5 is
in violin I, an inverted P5 (A-D) is in violin II, and the new one,
an up~'Jard P5 pattern (G-D) is in the viola. Figure 239 shows this
pattern complex.

At measures 49-51, Bart6k places the only upward P5 form
in the viola and the inverted form in violin I and II. The first
violin part spans a P5 from G down to C; violin II is a P5 down from
A-D and the viola is a P5 up from G-D. This particular arrangement
is three measures long.
There ;s one measure of two simultaneous patterns (52).
The upward P5 span (C-G) is in violin II, the inverted form in the
viola spanning C down to F. This is the first appearance of the C
down to F interval. It is important for being the lowest register
and for its continuation for the remainder of the trio.

168
The trio is 65 measures long. This number, 65, multiplied

by 0.618, gives the product 40. The climax, or golden section, of
the movement is on the downbeat of measure 44. Graphi ca 11 y, the
form would look like Figure 241.
m. 44
Figure 241: Golden Section Diagram

Bartok emphasizes the golden section point with a double
forte dynamic marking and three simultaneous patterns. He has built
up the fi rst forty three measures of the tri 0 to thi s poi nt wi th
gradual upward shifts in register and a movement in dynamics from
pp to ff. The remainder of the movement is a quick lowering of regis-
ter, thinning of texture and reduction of dynamics until only a single
viola in a low register is playing the pattern. The ending of the
trio, from the golden section onward, is shown in Figure 242.
169
-mm
.
I"
."""--! ..
4I"..................... _ ....~:~: .... .

. "- " .
~
-
,:
170
~ ••.!"•..•....•.•.. _.,.... - ................_........ .
'S ...~ ..."......-........ ......,:_... .. •• :. ~.........., ..- ••••-,~,........ - n
-
".... ,....,1
",
poco e pOCO renlnt._ 81
-- -
It is further significant that a golden section appears at
this point in the Quartet. The trio is the very center, structurally,
of the entire Quartet. Bartok waited until the center point of the
pal indromic structure to present the most architected attribute of
the whole Quartet .
.:
171
Another 1ess obvi ous aspect of the tri 0 may be seen in the
pitch collection produced by combining the starting and ending pitches
of each P5 i nterva 1 in the climax a rea (mm. 44-52) • These notes
are charted in Figure 243.
Figure 243: Pitch Collection of Climax Area

Pl aced in descendi ng perfect fifths (based on the P5 span
of the motive) from the note of the highest register (E) to that
of the lowest register (F), the arrangement E-A-D-G-C-F is produced.
Rea rranged, these notes produce an E mi-pentatony.
ZI EiiI
d% 6
e i »
mi so la do re
Figure 244: E Mi-pentatony

E is a 1so the tona 1 center of the th i rd movement a nd the
counterpo 1e (If the Quartet IS tona 1 center, Bb. Movement one begi ns
in Bb, and movement 5 ends in Bb. Movement three, as the centra 1
172
point of the Quartet is in the counterpole tonality of E. By placing
a mi-pentatony on E in the trio, Bartok has reinforced the palindromic
tonal structure of Bb to E to Bb.
Scherzo II
The third movement is closed by the second scherzo (1-92).
Instead of a full rounded binary, only (A) and (B) appear, with an
added Coda. Harmonically, the second scherzo is similar to the first
scherzo. The region of tonality is once again in the tonic area
of E, after the subdominant area of C in the trio.
The scherzo opens with the use of substitute chords in measure
1 and relative chords in measure 2. In measure 1, dmm7 resol ves
directly to its major substitute chord (BbMM7) a major third lower.

In measure 2, c#mM7 (a hyperminor chord) moves by negative
direction to its upper relative chord, EMM7. Positive direction
would have been from EMM7 to c#mM7 (down a minor third).
173

Measures 19-28 u!e an interesting study in the use of a single
axis and polar exchange. The music is shown in the example below
with a discussion following.
I ~~. -:-.....
J'--=
-
=--."
=-= =

174
" =-==
(f'

This section of music is all based on the tonic axis: E-G-
A#-C#. Pole
E B
Pole G C# Counterpole
A#
Counterpole
Figure 248: Tonic Axis: E-G-A#-C#

175
The best way to demonstrate this is to analyze the section
by instrumentation and motivic use.
First, the violin I line. Each of the tonic axis pitches
are circled and marked pole or counterpole. The D# in m. 19 and
B# in m. 20 belong to the subdominant axis, and the B in m. 21 and
D in m. 22 are from the dominant axis. All of the other pitches
are from the tonic axis.
-f2¥l
IT _ ~I
dUllr _
Figure 249: Measures 19-25, Violin I

The cello line (19-22) is more obvious. It moves back and
forth between C# and G, counterpole and pole on the side branch of

the tonic axis. When the sixteenth notes are added, a whole tone
pattern is seen.
\'\ ~\
/~ _J 2 fila i
Figure 250: Measures 19-22, Cello

176
It is necessary now to look at the violin II and viola parts
from 19-22. Vi 01 in II a lternates an emm7 chord with a C#Mm7 chord
while the viola alternates a C#Mm7 chord with an a#-dd7 chord.
Figure 251: Measures 19-22, Violin II and Viola

All the roots of these chords, C#, E and A# are poles on
the tonic axis.
E
0 F#
G C#
A#
Figure 252: Tonic Axis: C#-E-A#

Seen this way, Bartok is simply building chords on tonic
pitches and alternati ng them. However, they can also be viewed in
terms of relative chords and polar substitution.
177
Beginning with the emm7 chord, the relative and modally related
chords may be derived as such:
GMm7-----------gmm7-----------g-dm7
I
I
EMm7-----------emm7-----------e-dm7
C#Mm7----------c#mm7----------c#-dm7
Figure 253: Relative and Modally Related Chords of emm7

As seen in the earl ier discussion of function, all of these
chords have a tonic function because they are all either relative
or modally related chords. Thus, C#Mm7 and emm7 are related and
have the same function. Normally, the upper relative chord of emm7
would be GMm7. Bartok has made a polar exchange of C#Mm7 for GMm7.
E
PE
GMm7 '"
C#Mm7
t
emm7
G
Bb
Figure 254: Diagram of Polar Exchange

Although the a#-dd7 is not adequately explained in Lendvai's
I
theory, in this particular context, Bartok appears to be using it
178
as a chord built on a tonic pole rather than as a substitute chord
for AMm7 (which would have a subdominant function and thus be inappro-
priate to the passage).
In measures 23-28, Bartok constructs an invertible CQunter=
point. The viola and cello have the arpeggiated motive and the accom-
paniment is in the two violins. Violin I sustains a tonic e# counter-
pole pitch, then drops at the last eighth to a subdominant B#. The
second violin is playing the C#Mm7, em and EM chords in augmentation.
ID!. •
~..,... 4;m . .
....
II"
IL ~~ ~ ~-;l
.... ,r.:::;;-
I ..
c:.
""
~w.
.°1
().

179
The cello continues the alternation of C#Mm7 and a#-dd7 already
established in the viola (mm. 23-25) where c#-dm7 is shown to be
the subminor chord below the emm7 chord established in violin II
(19-22). See Figure 256. Thi s time the dd7 (e#-dd7) needs to be
interpreted as a direct substitute chord for its Mm7 counterpart,
EMm7. EMm7 is the modally related chord to emm7 and shares the same
tonic function.
emm7-----~Mm7-----te#07 (Substitute)
r
c#-dm7
Figure 256: Diagram of Viola Progression

The significance of this passage from 19-28 is Bartok's use
of a single axis both melodically and harmonically.
The (B) section (30-57) is quite similar to the (B) section

in scherzo 1. A notable difference is the use of the melodic figure
in canon and stretto. Scherzo I (B) section placed it in the violin
I only and did not present it in stretto.
Harmonically there are two chords of interest. To emphasize
the tonic axis (and especially the note E as counterpole to Bb) an
E hypermajor chord is used twice in eight measures. The first occur-
rance is in measure 44, the second in measure 51. Both of these
are shown in Figure 257.
180
EtJdJ,""
m EMM7

The other chord of interest is a C gamma chord in measure
49 which has a subdominant function.
Cy
Cy

The Coda (58-92) is a mixture of elements from the rest of
the movement. In the first section (58-65) the rhythmically accented
eighth notes move chrrnnatically from c#l to e2. This is demonstrated
below with the rhythmically stressed eighths circled to show the
chromatic movement.
181
Agitato
nJ .. -
-
Ifli
..
, .. Sl?
~I~ '"Z "- ~~"'-""
---
~ ......,~..-p-
s9
~\2'~ ~~-~-
-c....
=- -

The next section (66-73) makes use of parallel motion in
minor thirds and minor sixths, both of which are Fibonacci intervals
of 3 and 8 respectively. Movement between notes is also in Fibonacci
increments (1,2,3,5,8). A 1:2 model occurs in measure 73 in the
viola and cello as they move in parallel minor thirds.
The remainder of the Coda (74-92) recalls material from the
(A) section of the scherzo. The movement ends with a 'classical'
dominant cadence: G#Mm7 to c#m.
182
-
G#Mm7 cUm
,:
CHAPTER SIX
MOVEMENT FOUR
The fourth movement (Andante) is a variation of the second

movement. Most of the movement is based on the (8) section, the
chorale, of movement two. Figure 261 shows the structure of the fourth
movement.
[A] [B] [C] Tr [B1] [B2] [B3]

1-22 23-42 42-54 54-60 60-63 64-B1 B1-101
5-2: [A] [8] [C] var on var on var on
[B] [B] [B]
tri 11 s chorale trills new motive [B1] + [C] tremolo &
replace tremolo become added between pizz return
pizz chorale scales fragments of
chords chora Ie
Figure 261: Formal Structure of Movement Four
The tonal center of thi s movement is G, the counterpo 1e of

the second movement's tonality of C# on the side branch of the tonic
axis. Figure 262 shows the axis for this movement.
183
184
G
Bb E
C#
Figure 262: Tonal Axis of Movement Four
(A) section (1-22)

Movement four is based on materi a1 from the second movement.
Most of the structural similarities are in the first half of the
movement. The remainder of the movement is basically a set of varia-
tions on the chorale (B section) melody. This discussion is intended
to show the similarities between the two movements. In addition,
particular chords and other areas of interest will be shown.
The fourth movement begins (1-5) with a variation of material

from the second movement. (See Figure 263) The trill of the second
movement has been replaced by repeated notes in the fourth, but the
intervallic structures have remained intact. (See Figure 264) Passages
from both the second and fourth movements are shown below (Figure
263 & 264) to demonstrate the similarities and differences between
them.
185
Figure 263: Movement 2: Measures 1-4
Ii"".
Figure 264: Movement 4: Measures 1-5

The tona 1ity of the fourth movement is G, the counterpo 1e
of the second movement's tonality, C#. This pole-counterpole relation-
ship is present throughout the (A) section (1-22). The cello plays
the tritone (TT) interval linearly, outlining at first only the tonic
axis (G and C#); then includes the subdominant (F# and C) and domi~ar.t
(F and B).
186
...00
"[5 Fr i r Fa
Bb E
C#
Figure 265: Measures 1-18, Cello Line

187
In measure 16, the linear cello tritone is part of a G delta
chord.
Go
Go
Figure 266: Measure 16, G Delta Chord
(B) Section (23-42)

The (B) section (23-42) is modelled on the chorale of the
second movement. Both the original chorale and this version of
it are based on an A mi-pentatony. The A mi-pentatony in the second
movement chorale was derived through the roots of the chord progression
--a linear derivation. In the fourth movement, Bart6k derives the
same penta tony vertically. The first measure of the chorale (m.
23) and measure 32 are each a simultaneity of five pitches.

188
From the lowest register moving up, they are: F-C-G-D-A.
Rearranged, they form an A mi-pentatony.
---
0
0
e ~
d) 75 0
m; so la do re
Figure 268: A Mi-pentatony Diagram
Measures 29 and 35 are rare examples of a third tower.

35
I>
"
~111 -
.. =--
ii, "
" ..

Measure 29, spelled from the lowest pitch upward is: Ab-C-Eb-G-Bb.
The lowest four notes of a thi rd tower are a hypermajor chord. The
simul taneous third tower arranged 1inearly creates the partitioning
of perfect fifths. The ,=l1ord ; n measure 35 is bui 1t on Bb. From
the lowest pitch upward it is spelled: Bb-O-F-A-C. Both chords
are diagrammed in Figure 10.
189
Figure 270: Diagram of Measures 29 and 35

The lowest four notes are a hypermajor chord when placed
in a simultaneity. When arranged linearly, the partitioning of perfect
fifths is evident.
There is a chord of the fourth in measure 37. Built on E,
it is spelled E-A-D-G.
:? .
~~-~
" P
..
I"' ,:~: ;
....
,.
,._.. .
---.- 4th Chord
-~

The remaining chord of note is in 39-40. An E gamma chord
is sustained for two measures to close the chorale.
A ~ . . . . . A-
I"; ".iJ!;~~
"
I" ~ =-- "40
I~· . Ey
'"' .... -
Ey
,:
190
The progression in the second movement used only tertian
harmony chords, whereas, as seen above, the fourth movement uses
alpha harmonies.
(C) Section (42-54)

The last two measures of the (B) section bring back the opening
tri 11 fi gure of the second movement. By measure 42, the tri 11 has
evolved into a new motivic figure (motive X) of importance. It spans
a major third interval with a 1:2 model arrangement of notes.
Figure 273: Measure 42, Motive X

The (C) section is new material with the trill motive and
double pedal as accompaniment. The pedals are a dominant D set against
a tonic C# to obscure the tonality.
- - -...
- x
........
191
Within this section, there are two interesting passages which
shift from one penta tony to another. One shifts using polar exchange,
the other by relative solmization. Both passages begin in E mi-penta-
tony and end in e mi-pentatony, but shift by different means.
Measures 43-44 shift pentatonies by polar exchange. E mi-
penta tony becomes e mi-pentatony.
,.. ...
The syllable Idol on lei is exchanged with its counterpole,
Gb, becoming 'SOl of the next pentatony.
Measures 44-45 shifts pentatonies by relative solmization.
'La l becomes 'do' and E mi-pentatony becomes Eb mi-pentatony; 'mil
then becomes 'so' and Eb mi -penta tony becomes E mi -pentatony. See
Figure 276.
192
- --.
-
•• oopr.
E mi-pentatony: do ti do
Eb m;-pentatony: so la mi
do so 1a t ; la m;
C m;-pentatony:
Figure 276: Measures 44-45 and Diagram

Measures 54-60 are a transition to the next· variation on
the chorale theme using short chromatic figures in original and inver-
ted forms set in canon.
(B1) Section (60-63)

This variation on the chorale is very short, consisting of
an inverted E alpha chord interspersed with a new linear motive (motive
Y) which outlines a minor third in the last half of measure 60 in
all four instruments.
En
En

In measure 63, Bartok uses a linear third tower (fifth parti-
tioning) to transist from the (B1) to the foiiowing ((;1) section.
The third tower is built on C and is spelled C-E-G-B-D.
__ "_w
--.; CMM7 = Hypermajor
,:
194
(B2) Section (64-81)
The (B2) section is a combination of material drawn from
(Bl) and (C). The seven note motive X of the (C) section is trans-
formed into an eight note motive. It is placed alternately in cello
and viola (64-66) making a perpetual rhythm between them.
In measures 67-80, motive X is doubled at the octave in the
viola and cello on every beat; they no longer alternate with each
other.
The minor third motive (motive Y) of (Bl) appears as a melodic
device, usually as part of a longer melody.

195
Interlocking pentatonies are used in 65 and 67-68. The penta-

tonic passages both begin on a D mi-pentatony and shift through B
mi-pentatony and G# mi-pentatony. The music is in Figure 280 and
the relative solmization process is in Figure 281.
~.A-':.
·01 ~.. -.. J

.--~
-~""';l.
~L C~I··
..-. -
-~
--::- ,.....1
~~ 1
~~ . .:--.; ...
-
., .... ;,~
-,
[p 1 .
. - -- .. ~ - -
Ti''If)
...
~. IF r if t r 'If Q ! 7. i iitU&J
;;; ; ;; ;;; -;;;::::
-
Figure t80: Measures 65 and 67-68

196
~7 P,fl- ~
-
Jj..
~
*~ ~c
..Q.
.Q.
Vln.l:
£
do so la m;
do so la m;
tp5
do so la m;
• 0
~ Z2
ie s
$ 0 $0
so la m;
do so la mi
do so la m;
Figure 281: Diagram of Measures 65 and 67-68
The (B2) section is another variation on the chorale. Although

not immediately apparent, the melodic material is based on the original
chorale in the second movement.
This section is a series of short segments (originally drawn
from movement two, then varied) which are repeated and interchanged.
These one measure ostinato patterns rise in dynamics and intensity
to make the climax of the movement in measures 73-19.
(B3) Section (81-101)

The remainder of the movement is a more obvious variation
on the chora 1e theme. A chora 1e texture of sus ta i ned chords returns
which uses chords and alpha harmonies. The eighth note motive and
the minor third motive have also been retained as accompanimental
figures.
197
A porti on of measure 89 is a C gamma chord whi ch becomes
a G gamma chord from 90-91.
c.t...\ Cy &t-A Gy
8<1 \ I\~
~1
&. t *i \ ~
Cotv'. Cy G~ Gy
The movement ends on a G gamma chord in measure 100, which
resolves to a single B in violin I in measure 101.
Gy
Gy
Figure 283: 100-101

The passage from 81-101 is shown below with harmonic analysis
where possible. As seen in the previous movements, Lendvai's theories
do not adequately explain all harmonic possibilities.
198

199
L-------
~~t/..,

CHAPTER SEVEN
MOVEMENT FIVE
The fifth movement is long and complex, primarily making

use of techniques of canon, stretto and various inversional methods
discussed previously. Strut::turally, this movement may be seen as
a sonata form. Based on first movement material, the exposition
and recapitulation are variations on the first and second theme areas
of movement one. The development is a trio section followed by a
fugato and episode. A relatively brief coda completes this lengthy
movement. Figure 285 shows a structural chart for this movement.
Intra Exp.
1-14 FT ST FT' Tr
14-54 55-109 109-149 150-200
Dev.
Tria Fugata Episade/RT
202-368 368-484 484-527
1. 202-358
tr 359-368
Intra' Recap Cada

527-564 FT ST ST' ST
546-623 624-698 699-720 721-780 781-828
Figure 285: Formal Structure of Movement Five

200
201
Tona 11 y, movement fi ve begi ns in E, the cou nterpo 1e on the
main branch of the tonic axis, and ends in Bb, the tonality which
opened the entire Quartet. Unlike the previous movements, Bartok
does not always delineate the tonality in a clear manner. Rather,
he blurs the tonality with rapid linear, chromatic lines in stretto
and canon throughout the movement. Fi gure 286 shows the ax; s for
this movement.
G C#
Figure 286: Tonal Center for Movement Five

Introduction/Exposition (1-200)
A fourteen measure introduction briskly leads into the first
theme area which starts firmly on a unison E. The material is taken
from the fi rst movement I s fi rst theme. Measures 23-34 foreshadows
the motive desired from the first theme material. Measures 35-54
then use the two measure motive canonically.
The second theme (55-109) ;s a variation of the first theme
material just presented. The entire passage is linearly constructed
and canonically treated.
202
First theme material (FT') returns in 104-149 with the material
treated similarly to the first theme area of 14-54.
The transition (150-200), however, is an area saturated with
alpha harmonies. Measures 172-181 contain a series of gamma chords.
These are shown in Figure 287.
,/ iI '~
......
--I!~
=
OJ
Jr Jr ..--, ~t "!
"
OJ
If _A"'..r PV""')l V'"
.=-
.........-c;~.
- ~~
• e"v'
1l~
~ r .- ~
-
.~~~
~ rtb'(" flr""
. . l! -1i~t ~. !I80!
-
"=
... .IT [~~ -. ~ ~I
- :
... _Itt'
-=- ~"...-- c.Y' ..............
,
~
~V'
,. ,,- 'BY"
~ /"' .. ~
~. -~. bbY'"
~r ~ ~c.-(
OJ
\
Mt IIi I~s ~
Aby Ay Bby
Ili! I e~
By Cy
1M! )
Dby

203
Measure 184 introduces a five measure phrase which sets a

minor second (violin II), a minor third (violin I), a perfect fourth
(viola) and a perfect fifth (cello) interval against each other.
See Figure 288.
. f - - - ,
"
.. .~-' - - ~.
, " -
Together, these notes produce a symmetrical configuration.
,~c.l.··~\~5 \"65 \i\.&l
(N"Q;£;~e"'11
eli clo
"I" e;" ~a F" len i" '" La i" ie !"
1~1 \'l~
Ife ij.. " $" e to ~", ..td ~eJeVc+G'$V'V' I m'3
Figure 289: Measures 184-188 Diagram

Measures 189-195 sequence this phrase, rescoring the intervals
(m2 in violin I, m.1 in viola, P4 in violin II, P5 in cello). These
i nterva 1s may aga in be combi ned to produce the same symmetri ca 1 con-
figuration. It cannot be considered an alpha chord as the axes are
not registrally delineated.

204
The transi ti on closes with a 1: 5 model in measures 196-200 .
.
"
.•
•A
IU '
t
'*
..
A
... 'w ~ ' t

10
~ .-. .. ~'
p. If'
s
Development (202-546)
Trio (202-368). The trio is canonic in structure. Measures
275-291 highlight a chromatic passage in the rhythmically stressed
half notes over a sporatic subdominant A pedal. Pole exchange is
used in 281-287 in the lower three instruments. These aspects are
shown in Figure 291.

205
r'JL -- - - - - - -
II U ",,- ~
........... 1 "" ~ :d'
1~
It" pp~ ~ r I ~
~--t.
A~ It
.; 1 ~
~
I ~ 1
A --"
'"' "
--
1111 I
,",U ... w -~
_--_~.~~901-----~!;~~
c
""U'. _

Measures 334-345 are a scalar passage which rapidly exchanges
poles every four eighth notes. Although poles may technically exchange
with one another without a change of function or further explanatio~,
they may be seen especially in passages such as this as an alteration

of both do and mi. The passage from 334-345 is shown in Figure 292;
the relative solmization process is shown in Figure 293.
206

207
E
~~B
pe..
I ~
It; g;:2~
.s
1> F#
tt) i wi£€fTo so
;z-
la ti do
so la ti do
G T C# or
do re mi fa do re mi fa
Bb
0# Mi-
J, ma-----mi
ii5 fe fa e
so la ti do-----di
penta tony d -----d# b-----c
1
A Mi-
£5 I I
so la
~ ~
ti
2 ~
do
penta tony
I) ,\ 0
( ) 0
e d
E Mi- so la do re mi fa
penta tony
1
A# Mi-
*
di-----do
rj
ie
re ma-----mi
e
fa
penta tony 9 -----f# a -----a#
Figure 293: Relative Solmization of Measures 334-345

208
The trio concludes with a 1:5 model (351-356).
:;b-e- . JV S I
~I
The transition (359-368) to the fuga to contains a linear
C beta chord in the viola and cello (359-364).
~~cJ.
~rr
Ca
209
Fugato/Episode (368-527). The fugato (368-484) and episode (484-527}
emphasize polar relationships and alpha harmonies. Measures 369-447
constantly place E and Bb (pole and counterpole of the main branch
of the tonic aixs) against each other. As this is centrally located
in the movement, it is possible Bartok wishes to once again emphasize
the pole-counterpole relationship of Bb and E, which is so integral
to the tonally pal indromic structure of the Quartet. The Quartet
begins and ends on Bb and climaxes in the middle movement with E.
In the closing measures of the fugato, there are two A gamma
chords (mm. 457 and 477), an F# beta (m. 473) and an F beta (m. 475).
These are shown in Figure 296.
Fie Fe {\:y
(ll :ft, § a2
#1
Ay Fie Fe
Figure 296: Measures 457, 473-475 and 476-477

210
Measure 469 contains a rare example of a vertical 1:5 model
chord.

Measure 461 contains a hyperminor chord.
0..:I!N\ t--\ 1

Measures 465, 467 and 471 all contain hypermajor chords.
Figure 299: Measures 465, 467 and 471

211
By mixing hyperminor, hypermajor chords and alpha harmonies
together, Bartok blurs what would otherwise be a strong tonality
or a character of either minor or major.
The episode (4~4-527) sequences a linear 1:5 model three
times (490-492, 501-503 and 509-511). See Figure 300.
IS'
r---1t--~ i--'
.~Ji
Figure 300: Measures 490-492, 501-503 and 509-511

212
There is also a sustained chord of the fifth in 497-500.
5th Chord

As was seen in the first movement (76-79), this movement,
which is a variation of movement one, also uses a chain of minor
seventh intervals (502-520). The minor seventh interval is justified
as the inversion of a major second, an acceptable Fibonacci interval.
A portion of this passage is seen in Figure 302.
ueo
(.i.,)
SIlo
-e :i.e
I e Fte
m7 m7 m7 m7 m7 m7
Figure '302: Measures 507-512

213
Recapitulation (546-780)
The first theme (546-623) is similar to the exposition's
first theme area. It differs in one respect, however, by starting
in the tonic area of E and Bb, then shifting in 562-578 to the dominant
region by using Band D pedals. Tonality is blurred from 579-623
by linear chromaticism.
The second theme returns to polar exchange of tonic and domi-
nant poles. Measures 624-635 are shown in Figure 303 with polar
exchanges marked.
\,.2.'\ '<.02";)
T = Tonic
D = Dominant
S = Subdominant
G
Bb
214
Measures 632-649 of the second theme further blur the tonality
by using a double pedal of F and G. G is a tonic pitch, whereas
F is a dominant pitch. This resolves to a passage of gamma chords
(651-660) as seen in Figure 304.
By Cy Dby Ey Fy
The passage from 663-672 is a close chromatic scoring w\lich

produces a series of tone clusters as was seen in measures !d4-195.
As mentioned before, Lendvai has no analytical technique for discussing
this type of passage. They cannot be considered alpha chords as
the pitches are not registrally articulated by axes.
In measures 673-685, the tone clusters are broken by a double
forte, rhythmically articulated F# gamma chord.
215
\.,"
fl. •. • •
poco a poco rall._
•
.' • ..
-c;
-4-:""
1!• Jl. oJ ... M, -.i
IV~.J:I .. ... r .. .. .':'
./J~ ~ ,.~ L :.. ~ ~

, 11
-~ • 0 .. ..
-..-.....- ,...-
• • .. ..
.
A.
-
I,!
-
--- - . II. ..
IV ... r .
-- r r
-
4~' JS. ~ iu1' ..-- III: ~ .JI. ~
......
(~,41 -
F#y
Figure 305: 673-685

This in turn moves to a six measure passage (686-691) of
two and three layer alpha chords. Note the registral articulation
of axes.
216
_. al-........ Meno mosso; ~,,--

-..,.... .101t.-, ;
A: C# alpha
T = e# a#
S = f# a T = Tonic
D = Dominant
B: E alpha S = Subdominant
T =e g
D=b
S = d# b#
C: C# alpha
T = e# e g a# E
S = d# f#
D: E alpha
T =e
D = g# b
S = d# G C#
E: A# alpha
T = aD fx cD
D=e
S =a e
Bb

217
Measures 672-698 return to the F# gamma chord before movi ng
to a series of three layer alpha chords. The final three measures
of this section are a C gamma chord. This passage is shown in Figure
307.
allargando.
-. • molta
J1
FlY Ea Ah Bby C#y Cy

(3) inv inv (3)
(2) (3)
E alpha T =e 9
o = g# b
S = c d#
( ) = Number of layers
A# alpha T = a# c# inv = Inverted alpha chord
S = f# a
F#'v Cy
Bb alpha T = bb c#
o = d e#
S = f# a E
C# alpha T = c# e
o :. b d g# F#
S = d# f#
G C#
G#
F D#
Bb

218
Measures 699-720 (ST') are a variation on the second theme

in what Griffiths and Karpati term a 'barrel-organ' style. (Griffiths
1984, p. 15~.; Karpati 1975, p. 243) This refers to a simplistic
harmonization beginning in one key and ending in two keys (bitonality)
to reflect an out-of-tune barrel-organ. Measures 699-710 are clearly
in A major. In 711-721, the harmonies are in A major, but the melody
in violin I ;s in Bb major. Measure 721 returns to the previously
established harmonic style of the Quartet.
jlb••

219
Coda (781-828)
The polar exchange idea is continued in the coda over a spora-
tic tonic E pedal. Measure 825 contains a D gamma chord; a chord
built a major third above the final Bb pitch of 828 giving the illusion
of a 'romantic' dominant cadence.

SUMMARY AND CONCLUSION
Fibonacci Series and Penta tony

The theories of Erno Lendvai are based on the Fibonacci Series,
a series of integers which he assigns to consecutive half-step grada-
tions of the chromatic scale. The numbers 1,2,3,5,8 ..• are manipula-
ted to produce two important cornerstones of his theory, namely mi-
penta tony and alpha harmonies. According to Lendvai, mi-pentatony,
directly related to the folksong idiom, is the basic scale used by
Bartok. Alpha harmonies are derived by the lrltervallic relationships
created through the use of Fibonacci numbers. Alpha harmonif!s will
be discussed later in the summary.
Penta tony is formed by the sequence 3 + 2 + 3 + 2, that is,
minor third, major second, minor third, major second. For example,
e-g-a-c-d. Lendvai labels this particular sequence of intervals
" . method of relative solmization.
using syllables from Kodaly's There-
fore, in mi-pentatony, as the above is called, e = mi, g = so, a
= 1a, c = do and d = re. The keynote, or note of importance ina
mi-pentatony is mi and not the do of Western harmony.
Pentatony, when applicable, is useful for labeling series
of pitches which cannot be explained using traditional harmony.
However, pentatony, like traditional methods, does have its limita-
tions especially in chromatic passages which bear no particular relat-
tion to pentatonic structure.
220
221
Lendvai derives and labels much of his harmony on the basis
of relative solmization. Notes of the scale (major or minor) thus
have syllables assigned them. For example, in C major and its relative
key, la l minor: c = do, d = re, e = mi, f = fa, 9 = so, a = la and
b = ti.
These syll ab 1es may be a ltered by either ra is i ng or 1oweri n9
them. Do raised is di, fa raised is fi, mi lowered is ma and ti
lowered is tao Although, technically, any syllable may be altered,
Lendvai limits his theory to these above.
Lendvai derives three chords each of major and minor qual ity
by the ra is i ng or 1oweri n9 of these syll ab 1es. Major chords may
be la-di-mi, do-mi-so, ma-so-ta and minor chords may be fi-la-di,
la-di-mi and do-rna-so.
Another chord derived by relative solmization involves the
lowering of mi to rna, then building a major chord upon rna to produce
I ma major I . Fully diminished seventh chords, in Lendvai's theory,
are considered alterations of major-minor sevenths built on do.
Do-mi-so-ta is altered to di-mi-so-ta (e.g. CMm7 would become c#-dd7).
Fully diminished sevenths are used as substitution chords for their
major-minor counterparts. Unlike traditional theory, fully diminished
sevenths rre not used as leading tone chords in Lendvai's modal theory.
The two remaining chords to be discussed are the hypermajor
and hyperminor. Hypermajor chords are major-major in quality and
hyperminor are minor-major. Unl ike the other chords discussed thus
far, the hypermajor and hyperminor are not derived by relative solmi-
zation.
222
Lendvai's variety of chords is limited. Unfortunately, in
chromatic music such as Bartok's, a wider labeling vocabulary is
needed. In addition, because the functional system is non-traditional,
sonorities are not related to one another functionally as in Western
theory. Chordal relationships may be described in four ways: relative,
modal, polar or substitute. Relative chords begin with a major chord
(do-mi-so). Its relative chord is a minor sonority built a minor
third below the major (la-do-mi). The relative chord of the minor
is built a minor third lower (fi-la-di or fi-la-do-mi, which is the
subminor chord). For example, CM--am--f#-dm7 (major--minor--subminor).
Modal chords are those which share a common root, but have varying
qualities (e.g. CM, cm, c-dm7). Polar chords are those related by
roots a tritone apart (e.g. CM and f#-dm7). Substitute chords are
of two types: a major chord substituted for a mi nor and a mi nor
chord substi tuted by a major chord. The roots of substitute chords
are a major third apart, thus CM is substituted by em and em by CM.
Function
Modal, relative or polar related chords all have the same
function, according to Lendvai's modal theory. Western tonal theory
bases function on the perfect fifth symmetry around a central pitch
(e.g. F-C-G). The lowest fifth is subdominant, the central pitch is
tonic and the highest fifth is dominant. Lendvai bases his idea of
function on the symmetry of major thirds about a central pitch (e.g. Ab
-C-E). The lowest third is subdominant, the central pitch is tonic and
223
the highest third is dominant. This will become clearer in the dis-
cussion of the axis system which assigns function labels to pitches.
Axis System
Another major portion of Lendvai's theory, the axis system,
is used to determine and label modal function. The axis system is
based on the closed circle of fifths with a sequential overlay of
function labels. Using the axis system, Lendvai builds a case for
chords with roots a tritone apart directly related to one another.
No other writer that this author is aware of has advanced this theory.
By basing function labels on a major third symmetry and al-
lowing the tritone relationship to take precedence, the fourth and
fifth of traditional harmony lose significance.
From the axis system, Lendvai derives three scalar patterns
which are called the 1:2,1:3 and 1:5 models. The 1:2 model is an
alternation of minor seconds and major seconds (an octatonic scale).
The 1: 3 model alternates a mi nor second and mi nor thi rd and the 1: 5
mode 1 alternates a mi nor second and perfect fourth. Although there
are passages in Bartok's Fifth String Quartet which fit these models
exactly much of the music either does not fit one of the models or
is a variation of one of them.
Cadences in Lendvai's theory are directly related to the
axis system. Dominant pitches are related to tonic pitches in four
ways: 'classical', which has a root movement up a perfect fourth;
modal, which has a root movement up a major second; phrygian, which
224
has a root movement down a minor second; and 'romantic', which has
a root movement down a major third. Chord quality of both the dominant
and tonic chords may vary; it is the root pitch and movement which
is important. It is also important to note that any dominant pitch
may move to any tonic pitch. Unfortunately, this author did not
find many cadences in the Fifth String Quartet which ~omplied to
these restrictions. Perhaps Lendvai is too restrictive in his guide-
lines for cadences, although it is possible the Fifth String Quartet
is an exception in Bart6k's writing in regard to cadential structures.
Alpha Harmonies
Lendvai has created a collection of chords which he calls
alpha harmonies. They are: alpha, beta, delta, gamma and epsilon
chords. Alpha harmonies are used in conjunction with the other sonori-
ties discussed and have their function determined by their respective
keynotes.
The alpha chord is based on pi tches deri ved from the axi s
system. Tonic pitches are placed above a layer of dominant pitches
to create a normal alpha chord. Dominant pitches may be placed above
toni c to produce an inverted form of the alpha chord. Through the
addition of a layer of subdominant pitches, a three layer alpha chord
may be constructed. The keynote of a ny alpha chord forma t ion is
the lowest tonic pitch.
The beta chord is generated around a perfect fourth interval;
t.he top note of this perfect fourth is the key-note of the chord.
225
To the perfect fourth i nterva 1, the i nterva 1 of a tritone is added

be low, us i ng the bottom note of the perfect fourth as the top of
the tritone. This is the skeletal form. To it are added a minor
thi rd above the bottom note of the tritone, and a major second below
the top note of the perfect fourth.
The gamma chord is the chord most closely associated with
Bartok because of its unique combination of the major triad with
it parallel minor triad. It appears with considerable frequency
in the music of Bartok.
Type gamma is also based on the perfect fourth. The key
note is the top note of the perfect fourth. A minor third is added
above the top note of the fou rth and a mi nor th i rd added below the
perfect fourth. Frequently, the seventh above the keynote is added.
The delta chord is similar to the beta chord. Here, however,
the perfect fourth is on the bottom and the tritone pl aced above
it. The keynote is the. top note of the perfect fourth. A mi nor
third above the lower note of the tritone is added.
The epsilon chord is built around a perfect fourth, but his
time, the accompanying tritone is neither added above nor below,
but, rather interlocked with the perfect fourth. The keynote is
the top of the perfect fourth. A tritone is built a major second
above the lower note of the perfect fourth and a minor third is added
above the top of the tritone.
226
Alpha harmonies~ as described, do appear in Bartokls music
and Lendvails labeling is useful. There does not appear to be a
consistent placement of alpha harmonies structurally. They appear
within passages as well as climactic points.
Eguidistant Scales and Harmonies

In Lendvails theory, there exists a separate category of
scales and harmonies which are constructed using a single interval
of the Fibonacci Series, creating closed systems, i.e. they always
return to the original starting pit~h. There are four scales/harnlonies
of this type.
The first type is from major second interval s. By using
major seconds, the whole tone scale is constructed. Lendvai labels
this scale the Iomega scale l . Additionally, chords may be formed
using only major seconds and are labelled omega chords.
The second tiPe is from minor thirds. Using minor thirds,
the fully diminished seventh chord is formed. Lendvai does not distin-
guish this formation of the fully diminished seventh chord from that
made by altering a major-minor seventh chord.
The thi rd type is from perfect fourths. A seri es of perfect
fourths may appear 1inearly (as a melody) or as a simultaneity of
perfect fouy'ths to produce Ifourth chords I. They may also be seen
in inversion as chords of the fifth.
The fourth type is from minor sixths. The use of minor sixths
is limited to the formation of augmented triads.
227
Use of these equidistant scales and harmonies were limited
in the Fifth String Quartet. This is not to say they are not important
but rather used sparingly for emphasis.
The Quartet
The Fifth String Quartet is an excellent example of palin-
dromic structure: the second half of the Quartet is a reverse image
of the first half. Bart6k designed his palindrome through the use
of a five movement structure where the first and last two movements
are centered around the third movement. Movement five is a variation
of movement one and movement four is a variation of movement two.
Tonally, Bartok creates a palindrome by his choice of poles
and counterpoles from a single axis as the tonal centers for each
movement. Movements one and five center around Bb, the tonic pole,
two and four around the pole and counterpole of the side branch of
the tonic axis (C# and G). Movement three is related to the outermost
movements by centering around E, the counterpole of Bb. Therefore,
the entire Quartet begins on Bb and circles counter-clockwise around
the ax is to the cou nterpo 1e, E, then continue::. in the same direction
back to the starting pole, Bb.
Movement One
The first movement is in sonata form. The exposition presents
the fi rst, second and thi rd themes in sequence. The center of the
movement is a developmental section, followed by a recapitulation
228
which reverses the order of thematic presentation (i .e. third, second

and first). As the ordering of the themes in the recapitulation
mirrors that of the exposition, the form of the movement can be seen
as a palindrome.
The tonal center of the first movement is Bb, which is also
the tonal center of the entire Quartet. In this movement, the tonal
centers of each section of the movement reflect an ascending whole
step progression (Bb to Bb).
Movement one emphasizes pentatonic structure with movement
between pentatonies by both relative solmization and pole exchange.
There are also several examples of alpha harmonies interspersed with
tertian chords.
Movement Two
Movement two, the Adagio, is in palindromic form similar
to the first movement. The three thematic areas are each presented
in turn, followed by a developmental section in the middle of the
third thematic area. The rema i nder of the movement presents the
second and first thematic areas respectively.
The second movement is the shortes t of the fi ve, only 56
measures long. The tonality centers on C#, the pole on the side
branch of the tonic axis.
Movement two is important for its presentation of the chorale
theme which returns as the focus of movement four. The harmonies
of the chorale theme in this movement are confined to tertian. When
brought back in movement four, the theme uses alpha harmonies.
229
Pentatony is also important in this movement, frequently
linked together in chains by either relative solmization or pole
exchange. This movement contains a four measure passage in folksong
style which is dependent on penta tony.
Movement Three
At the center of the Quartet's palindromic structure is a
symmetri ca 1 movement, a scherzo-tri o-scherzo, wh i ch acts a sabri dge
between the first and last two movements. The first scherzo (1-66)
is a rounded bi nary [ABA]; the second scherzo (1-92) is shortened
to binary [AB] with a coda.
Pl aced between the two scherzos, the tri 0 (1-65) is the apex
of the entire Quartet. It is the one important part of the Quartet
which is clearly organized by the formal principles of the golden
section proportions.
The tonal center of this movement is E, the counterpole of
the main branch on the ton it axis.
Movement three is the only movement which emphasizes relative,
modally related and sUbstitute chords. Penta tony is used in conjunc-
tion with these harmonies in both scherzo I and II.
The tri 0 is ina di fferent texture than the scherzos. A
measure long pattern is repeated moto perpetuo throughout most of
the trio.
Bart6k distinguishes the pal indromic structure of the Quartet
not only tonally and structurally, but also by the use 'of relative,
230
modally related and substitute chords solely in this movement--setting

it apart from the other four which use penta tony and alpha harmonies.
Movement Four
The fourth movement (Andante) is a variation of the second
movement. Mos t of the movement isba sed on the chora 1e theme of
movement two.
The tonal center of thi s movement is G, the counterpo 1e of
the second movement I s tonal ity of 0# on the side branch of the tonic
axis.
Movement four once again emphasizes pentatony and alpha har-
monies. Alpha harmonies are used extensively in the reharmonization
of the chorale melody, distinguishing it from the original harmoniza-
tion of tertian chords in movement two.
Movement Five
The fifth movement is long and complex, primarily making
use of techniques of canon, stretto and var'ious inversional methods.
Structurally, this movement may be seen as a sonata form. Based
on first movement material, the exposition and recapitulation are
variations on the first and second theme areas of movement one.
The development is a trio section followed by a fugato and episode.
A relatively brief coda completes this lengthy movement.
Tonally, movement five begins in E, the counterpole on the
main branch of the tonic axis, and ends in Bb, the tonality which
opened the entire Quartet. Unlike the previous movements, Bartok
231
does not always delineate the tonality in a clear manner. Rather,
he blurs the tonality with rapid linear, chromatic lines in stretto
and canon throughout the movement.
~iovement five makes extensive use of alpha harmonies, espe-
cially gamma chords which are used in sequence. This movement also
presents a series of two and three layer alpha chords. The 1:5 model
is used in this movement to close the trio and fugato sections of
the development.
The fi fth movement is the 1onges t and most complex, and a1so
the least accessible harmonically using Lendvai's theories. The
extensive use of st,retto and canon in addition to chromatic lines
blur the harmonic structures.
Conclusion
The music of Bela Bartok is complex, requiring analytical
techniques which lie beyond traditional methods. This stems from
his lifelong interest in f'olksong which produced an extensive collec-
tion of recordings and transcriptions gathered during his travels.
The influence of folksong is a primary consideration when discussing
the music of Bartok. Common practice music centers on tertian harmony,
whereas Bartok's music is based on the intervallic, harmonic and
rhythmic aspects of Hungarian folksong, a compositional approach
that does not produce works conforming to traditional harmonic prac-
tices. A new and different approach is necessary to fill the void
left by traditional methods.
232
Erna Lendvai's theories, although not widely known, are a
partial answer to the analytical problems Bartok's music presents.
His concepts allow for tertian chords as well as non-tertian harmonies.
By basing his theories on the intervallic relationships which comprise
the folksong idiom, Lendvai's theories can account for much of Bartok's
music. However, as with any analytical theory, there are some aspects
of the music which cannot be described with the available tools.
The Fifth String Quartet has regions of chromatic linear melodies,
tone clusters and collections of pitches which do not fit any estab-
lished chordal structure.
Lendvai's theory, in contrast to traditional tonality, not
only allows the tritone interval between roots of chords, but relies
heavily upon it. The axis system and relative chord structures es-
tablish polar relationships which give the same function to chords
whose roots are a tritone apart. Through the use of polar exchange,
it is possible to shift the tonal center by six key signatures, yet
never alter the function of the two polarly related chords.
Alpha harmonies, a term used by Lendvai to denote a particular
collection of chords based on Fibonacci integers, can indeed be found
with frequency in the music of Bartok. However, it is doubtful they
would be much value in analyzing the music of any other composer.
The theories of Lendvai are too new and untried to place
them into any kind of perspective at this time. Lendvai's own writings
are concerned more with a few specific pieces of Bartok's work which
conform neatly to golden section principles, clear cut use of models
233
(1:2, 1:3, 1:5), or alpha harmonies. His writings avoid those portions
of Bartok's music which defy explanation using this methodology.
It is obvious further study is necessary to expand the original
theoretical principles and place them in a proper perspective.
LIST OF REFERENCES
Griffiths, Paul.
Bart6k. The Master Musicians Series. London: J.M. Dent
&Sons, Ltd., 1984.
Karpati, Janos.
Bartok's String Quartets. Translated by Fred Macnicol. Buda-
pest: Franklin Printing House, 1975. [Original title:
Bartok von6snegyesei. Budapest: ZenemUkiado, 1967J.
Lendvai, ErnH.
The Workshop of Bartok and Kodaly. Budapest: Editio Musica,
1983.
Perle, George.
liThe Stt-ing Quartets of Bela Bartok. II A Musical Offering:
Essays in Honor of Martin Bernstein. York: Pendragon
NE:W
Press, 1977.
235
SELECTED BIBLIOGRAPHY
Griffiths, Paul.
Bartok. The Master Musicians Series. London: J.M. Dent
&Sons, Ltd., 1984.
Karpati, Janos.
Bartok's String Quartets. Translated by Fred Macnicol.
"Bu'da"j)est: r-ranklln Pnnting House, 1975. [Original title:
Bart6k von6snegyesei. Budapest: ZenemUkiad6, 1967].
Kro6, Gyorgy.
A Guide to Bartok. Translated by Ruth Pataki and Maria Stei-
ner; translatlon revised by Elisabeth West. By the Author,
1974. [Original title: Bart6k Kalauz. Budapest: ZenemUkiado,
1971] .
Lampert, Vera and Somfai, Laszlo.
"Bela Bartok." in The New Grove Dictionary of Music and
Musicians, Vol. 2, pp. 197-225. Edlted by Stanley Sadle.
London: Macmillan Publishers Ltd., 1980.
Lendvai, Erno.
The Workshop of Bartok and Kodaly. Budapest: Editio Musica,
1983.
Perle, George.
"The String Quartets of Bela Bart6k." A Musical Offering:
Essays in Honor of Martin Bernstein. New York: Pendragon
Press, 1977.
Steven, Halsey.
The Life and Music of Bela Bart6k. New York: Oxford Univer-
Slty Press, 1964.
236

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THE FIFTH STRING QUARTET OF BELA BARTOK: AN

ANALYSIS BASED ON THE THEORIES OF ERNO

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Authors BATES, KAREN ANNE.

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Bates, Karen Anne

THE FIFTH STRING QUARTET OF BELA BARTOK: AN ANALYSIS BASED

The University of Arizona PH.D. 1986

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A Dissertation Submitted to the Faculty of the

Copyright 1986 Karen Anne Bates

As members of tha Final Examination Committee, we certify that we have read

the dissertation prepared by ______~K~a~r~e~n~A~n~n~e~B~a~te~s~_______________________

An Analysis Based on the Theories of Ern?> I.endyaj

and recommend that it be accepted as fulfilling the dissertation requirement

for the Degree of ______~D~o~c~t~o~r~o~f~p~h~i~l~o~s~o~ph~y~_____________________________

Final approval and acceptance of this dissertation is contingent upon the

I hereby certify that I have read this dissertation prepared under my

I wish to acknowledge, with gratitude, Dr. Edward W. Murphy

LIST OF FIGURES. .vii

PURPOSE OF THE STUDY ... . ... .. 1

METHOD OF ANALySIS •.•.• .1

Pentatonic Origin ..•••.•. . ..... . 50

Authent i c Cadences ••..••...••••......•..••...•.•.••.•.••. 68

Movement Four ••••.•••••••••••••••••••••••••••••••••••••• 230

LIST OF REFERENCES .................................................. 235

CHAPTER ONE (Continued)

FIGURE 111 Inverted Alpha Chord •••.•••••••.••.•••••••...•• 76

112 Examp1es ~f Alpha Chords",,,, ................. 76

113 Two Note Alpha Chord ........................... 78

.114 Six Note Alpha Chord .••••••••••.••.••.•.••.••.. 78

115 Three Layer Alpha Chord ........................ 79

116 Movement 5: mm. 686-691. ...................... 80

117 Examples of Beta Chords ........................ 81

118 Movement.l: m.56 ........................... :.82

119 Movement 1: m. 135 ..•••••••.•••••.•..•..•.•... 82

120 Symmetry of Gamma Chord ........................ 83

121 Succession of Gamma Chords ..................... 84

122 Exampl es of Gamma Chords ....................... 84

123 Movement 3, Scherzo I: m. 32 .................. 85

124 Movement 4: m. 39 •••••••••••••••..••••.••...•. 85

125 Movement 5: mm. 173-181. ............... ~ ...... 86

126 Examples of Delta Chords ....................... 87

127 Movement 1: m. 48 •.••••••••.••••.•••.•.••••••. 88

the dissertation prepared by ~K~a~r~e~n~A~n~n~e~B~a~te~s~_________________

for the Degree of ~D~o~c~t~o~r~o~f~p~h~i~l~o~s~o~ph~y~_______________________