UNIVERSITY OF READING

DEPARTMENT OF MUSIC

MA THEORY and ANALYSIS

PORTFORLIO OF ANALYSES:
To what extent does Mozart’s Fantasia in D minor, K. 397
possess Fantasia-like characteristics?

Research completed by: Ian M J Pickett

Research Advisors: Prof. Jonathan Dunsby and Dr Connie Garforth

This paper is submitted in part-fulfilment of the award for the degree

of Master of Arts in Theory and Analysis
(August 2000)
Preface

Although the title ‘fantasia’ if often used as a generic implication for a work where its

structural features are secondary to the imagination of the composer, the K. 397 is,

paradoxically, a very predictable work. Its most striking orthodoxy is the manner in

Mozart reiterates the thematic materials at the original or anticipated pitch,

maintaining the accustomed rhythmic and melodic gestures along the way; even the

episodical cadenza passages do little to substantiate the title. One is therefore

captivated by how the composer has ‘operated’ on the work’s thematic materials in

order to warrant the appendage of such a title – particularly if one compare this

alongside the composer’s Fantasia and Sonata in C minor, K. 475/457, which

conforms more appropriately to this taxonomy.

Each of the three movements were initially viewed as separate, self-contained

entities since a link between thematic materials could not be easily established. Each

thematic idea seemed radically different from the last, both in harmony and

harmonic rhythm, texture and melodic temperament. But, with retrospect, this was a

naïve assumption: this work can be viewed as a fantasia since all three sections share

a commonality in motivic ideas and pitch gestures, proving that not even the alleged

‘episodical/bridge’ sections are unmarried in the musical structure.

For ease of understanding, a thematic overview of each section is provided to allow

one to appreciate my ‘interpretation’ of the formal scheme at a glance.

2
Formal/Thematic Overview

Andante D minor

1-11 Quasi-Improvisatory Introduction

Adagio D minor

1-8 FIRST THEME [a]

9-11 Bridge
12-16 FIRST THEME [b]
18-22 FIRST THEME [a]: transposed to A minor
23 Cadenza
24-26 Bridge: transposed a tone lower than previous bridge
27-32 FIRST THEME [b]: transposed a tone lowed (G minor)
33 Cadenza
34-42 FIRST THEME [a]: re-instatement at original pitch

Allegretto D major

1-8 SECOND THEME [a]

9-16a SECOND THEME [b]
16b-32 SECOND THEME [c]: closest link to [a]
SECOND THEME [a]: with variation and concluding
33-53 material

Although the opening Andante movement seems to serve little more than an

introduction to this melancholic work, it possesses constituents that give rise to

features of the successive movements. It therefore not only holds an essential

function for its intuitive or aesthetic values, but more importantly because it

presents in itself an embryonic genesis.1

1
For purposes of clarification, the thematic ideas in the movements that follow (Adagio and Allegretto)
have been categorised simply as First Theme or Second Theme, despite the dramatic changes in
character that arise in each of the variants. Therefore within the context of each movement, one
might describe this tendency as monothematic.

3
Andante

The opening Andante consists of a series of arpeggiated chords in D minor – serving

not only as an introduction – but also delineating the melodic contours of the entire

work. In measures 7 and 8, Mozart introduces appoggiaturas that descend to an

imperfect cadence, concluding this section. These appoggiaturas are not merely

arbitrary gestures; instead along with the delineating melodic contour, they reveal

themselves as the ‘nucleus’ of entire Fantasia.

Outlining Sketch of measures 1-11

The analysis above demonstrates not only the initial contrary motions (mm. 1-6) but

also the descending line evident from measure 7 (G-F#-E-D-C#), which is later

incorporated into the Adagio’s theme (see illustration below). The harmonic

4
progressions are often restricted and move usually by tone or semitone; this feature

is particularly significant in the Adagio movement.2

Adagio (mm. 1-2)

Adagio

Adagio D minor

1-8 FIRST THEME [a]

9-11 Bridge
12-16 FIRST THEME [b]
18-22 FIRST THEME [a]1: transposed to A minor
23 Cadenza
24-26 Bridge: transposed a tone lower than previous bridge
27-32 FIRST THEME [b]1: transposed a tone lowed (G minor)
33 Cadenza
34-42 FIRST THEME [a]: re-instatement at original pitch

The Adagio movement represents a relatively straightforward elaboration of rounded

binary form, and forms the major section of the work with each thematic statement

separated by bridge and/or cadenza passages. Although Mozart makes some

adaptation to the thematic statements (particularly by transposing material down a

tone)3, there is little that is surprising. However, the works exhibits fantasia-like

characteristics because the first theme is in two separate guises; and are not separate

‘subjects’ in their own right. Although the character of the two melodies [first theme

a / b] is very distinct; they share remarkable similarities with their insistent

chromatic appoggiaturas, common descending trends, comparable accompanying

harmonies, and a definite similarity in closure.

2 This ‘tightness’ also allows a great deal of emotional tension.

3 This is an integral feature of the Fantasy and Sonata, K.475/457.

5
Adagio (mm. 1-16)

Common Trends and Closure Properties

Despite an initial rising gesture in measures 1,3, and 5, first theme [a] possesses a

number of descending trends; some are predominantly local (as in measures 1 and 3);

others are more extensive (such as in measures 6-8).

Adagio - first theme [a] (mm.1 and 3)

Adagio - first theme [a] closure (mm.6-8)

6
First theme [b] initial upward trend from ‘A’ to ‘D’ appears to contrast with [a], but

this too eventually falls chromatically, retracing some of the notes used in the

closure properties to first theme [a].

Adagio - first theme [b] closure (mm.15-16)

It is also interesting to note the way in which measure 6 of first theme [a] provides a

“setting-up” of the parameters between ‘A’ and ‘D’, which are later augmented in

measures 12-15. There is also a remarkable similarity in the harmonies that

accompany the melodic material in first theme [a] and [b] (see annotated extract on

page 6).

Adagio (mm. 5-8 [top-line] and mm. 12-15 [bottom-line])

Appoggiaturas

In the Andante opening I highlighted how appoggiaturas were introduced and how

they prove significant in the Adagio movement. The appoggiaturas in first theme [b]

are easy to identify (particularly due to the repetition and quickening rhythm),

however, the appoggiaturas in first theme [a] might appear more conspicuous. But if

one examines the simplified content of first theme [a], one is left with a surprisingly

elementary descending melody, merely decorated with appoggiaturas. And to use

7
voice-leading terminology as a brief departure, one will also notice the prolongation

of the note ‘F’.

Adagio (mm. 1-4)

The substance of first theme [b] is derived from a misleadingly-defined ‘episode’ used

in measures 9-11.4 As the following illustrates, Mozart retraces the last three notes

of the episode as an idea in which to commence first theme [b].

Closing Measure of Episode and Start of First Theme b (mm. 11-12)

As a concept of unification this is contentious because one has initially grouped

theme a and theme b as synonymous units - yet theme b’s substance is derived

almost exclusively from the episode that prefixes it. The only answer I have to

substantiate this argument is that while the melodic idea stems from the episode, its

accompanying harmony is based more closely on first theme [a]. One might therefore

analyse the relationship thus:

FIRST
FIRST THEME (b)
THEME (a)

EPISODE /
BRIDGE

4 The ‘episode’ is misleading since it proves an important inspiration for first theme [b], and therefore,

it should not be described as an episode or bridge.

8
The chromatic bass of the episode also reiterates the closure from first theme [a] and

is identical to theme b.

Episode (mm. 9-11)

Adagio – first theme [a] (mm. 6-8)

Although the consequent phrase to theme a [measures 5-8] is relatively weak since it

does not really ‘answer’ the antecedent, such metamorphosis is an integral element of

the fantasia. The second bar of the consequent (mm. 6) is derived as an augmentation

of the A-Bb interval (in mm. 5). This expansion/filling-in is a common device used

by composers and Mozart often sets up two intervals and fills in the gaps created by

these two parameters. Mozart, yet again, uses this to add a degree of uncertainty as

to the outcome – both in melodic destination and harmony.

Unfolding of this idea (mm. 5-6)

9
Allegretto

Allegretto D major

1-8 SECOND THEME [a]

9-16a SECOND THEME [b]
16b-32 SECOND THEME [a]1:
SECOND THEME [a]2: with variation and concluding
33-53 material

The final movement is a positively, jovial theme in three sections,5 presenting a

formal thematic plan (with repeats) of: AA; BB; A1; cadenza; A2 – resembling an

almost rounded binary form. I have titled the thematic material as second theme and

distinguished it from the first theme [a] since it does not appear significant, despite

some common traits. But unlike the Adagio movement that, at times, can seem a little

odd, our musical intuition grasps hold of the eight-bar phrases and its more

traditional Mozartian harmony.

Allegretto - second theme [a] (mm. 1-8)

Allegretto - second theme [b] (mm. 9-16a)

As you will notice, both second theme [a] and [b] comprise of balanced eight-bar

phrases, and demonstrate a converse contour by its upward trend – appropriately

matched by its D major tonality. Second theme a1 is closely identified with second theme

a, but is more self-standing. Unlike the Adagio’s thematic materials that are often

5 There is an additional cadenza and repetition/variation on the second theme b.

10
significantly contrasted in character, the Allegretto’s are very similar (particularly in

the last two-bar closure property). Moreover both second theme [a] and [b] have

similar leaps in the melody that exists merely as parameters in which successive

material ‘fill in the gaps’. This technique, commonly associated with the work of

Leonard Meyer, does not present itself anywhere else in this piece, despite the

typicality at which composers uses this device. One of the primary explanations for

the absence of this in the Adagio is that the melodic material and its accompanying

harmony work by stepwise or chromatic motion, and such a feature is out of

character.

Allegretto (mm. 1-8)

Allegretto (mm. 9-16)

Both second theme [a] and [b] share short prolongations of the tonic and dominant

notes, and similarly reiterate the motion ‘D-C#’. This initial observation is

confirmed and brought to fruition in second theme [a1] where Mozart constantly

reiterates this motion several times. With retrospect, this motion reflects the idea

common in the first two bars of the Adagio – so in this respect they are related.

11
Allegretto - second-theme [A1] with D-C# motions

Adagio (mm.1-2)

The material that follows the cadenza can be seen as a reworked version of second

theme a, forming a more conclusive element. However, the final ten bars are very

‘telling’: in some respects the sheer simplicity of measures 48-53 can be envisaged as

a musical catharsis: a point of arrival that sees all the emotional tension,

chromaticism and general depression of the Adagio section, ‘resolved’ into a single D

major scale. A typical Mozartian melody…

12
2. Harmonic instability

Having discussed the way in which the thematic material is linked, it is now worth

examining the harmonic language. In many respects, Mozart reveals instances of

instability in harmony, thus helping to reinforce the ‘fantasia’ characteristic.

Andante

The opening Andante although more stable because the rhythmic values stay

constant, proposes instances of instability: For instance, the first four bars are

routine enough, but in measures 5 and 6, Mozart introduces a D7 chord that

proposes a progression to the subdominant key. This progression, however, proves

to be a temporary and deceptive transition. The successive measures are also

similarly ‘mystifying’ as their chromatic tendencies confuse our expectations.

The Neapolitan Sixth chord in measure 8 (and successive progressions) is worthy of

note because it reinforces my whole hypothesis that the opening measures represent

an almost tonal/thematic plan.

Adagio (mm. 8-11)

Eb/G G#dim 7 A

Adagio (mm. 41-43)

Eb/G G#dim 7 A7

13
Adagio

The opening phrase (mm. 1-8) combines elements that continue to confuse our tonal

expectations. Although the first two bars which suggest D minor are routine

enough, it is in measures 3 and 4 where things appear more uncertain: The upper-

part ‘G’ when combined with the C# in the bass (and supported by the notes ‘E’ and

‘A’) propose a Vb to I progression in D major – especially with the ‘bright’ major-

confirming ‘F#’ that is present in the right-hand. Yet again this - along with

measure 7 – merely appears as deceptive conflictions of the tonal structure.

Examples 1-4 adagio

Measure 7 is particularly interesting in its arrangement and its chord progressions.

For example, from measure 6 the resolution of the Bb and C# (to A and F

respectively) are natural progressions; yet from measure 7 the E7 chord anticipates

the A chord – which then gains a seventh – finally resolving to the D. However, it is

not until the next quaver beat when the F# appears that the major/minor quality

arises. Then, annoyingly, the following G# diminished seventh cancels the previous

F# (with an F natural) and propels the music to an A major chord.

Mozart then deliberately employs false-relations to further the effect. For instance,

in measure 8, the composer concludes with an A chord (assumed imperfect cadence

in D minor). Yet, the repetition of the note ‘E’ in measure 9 is ‘interpreted’ as the

fifth note of continuation of the ‘presumed’ ‘A’ major chord. Mozart, however, opts

for the A minor chord as its underlying harmony – thus juxtaposing a false relation

with the previous key.

14
The episode in measure 9-11 adds further confusion because one expect this ‘bright’

E major triad as a dominant preparation for A; but Mozart never pursues it in this

manner.

Episode (m.11) and First theme [b] (m.12)

The cadenzas similarly display elements of key invariance. In measure 22, the

concluding chord is a C# diminished 7th. The cadenza, however, manipulates the key

in a mischievous manner by alternating between C# and C. The concluding chord to

the cadenza is an F# diminished 7th (on C), and is similarly wayward because we

expect it to resolve to G.6

Adagio (mm. 18-27)

6 Although it does, possibly, anticipate the left hand in measure 24 (which is a ‘G’).

15
Allegretto

The sheer ‘brightness’ of the tonic major contradicts all the intense seriousness and

melancholic nature of the earlier movements. It is almost devoid of any ambiguous

elements, and, as previous diagrams demonstrate, there is much prolongation of the

fundamental poles (‘D’ and ‘A’) conclusively underlying the tonal structure.

Conclusion

The harmonic uncertainty of the Fantasia has now been discussed in some

considerable depth, and I have demonstrated the significance of tonal/thematic plan

that represents the Andante. The unpredictable, almost impetuous, nature of this

work is characterised by adaptations to melodic shape; rhythmical contrast and

harmonic instability. There is also a certain degree of tension produced through the

use of fermatas – particularly the one in measure 17 of the Adagio. However, it is the

Adagio that typifies this quality mainly, as the Allegretto is rather more balanced

and predictable in its inception. Nevertheless, one might argue the ‘D-C#’ motion

exhibited in this section unifies the whole work.

16