Records of the Three Kingdoms in Plain

Language
Records of the Three Kingdoms in Plain
Language

ANONYMOUS

Translated, with Introduction and Annotations, by

Wilt L. Idema and Stephen H. West

Hackett Publishing Company, Inc.

Indianapolis/Cambridge
Copyright © 2016 by Hackett Publishing Company, Inc.

All rights reserved

Printed in the United States of America

19 18 17 16     1 2 3 4 5 6 7

For further information, please address

Hackett Publishing Company, Inc.
P.O. Box 44937
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Cover design by Rick Todhunter

Composition by William Hartman

Library of Congress Cataloging-in-Publication Data

Names: Idema, W. L. (Wilt L.) translator. | West, Stephen H., translator.

Title: Records of the Three Kingdoms in plain language / translated, with
     an introduction and annotations, by Wilt L. Idema and Stephen H. West.
Description: Indianapolis : Hackett Publishing Company, Inc., 2016.
Identifiers: LCCN 2016009481| ISBN 9781624665233 (pbk.) |

     ISBN 9781624665240 (cloth)

Subjects: LCSH: Chinese drama—Translations into English.
Classification: LCC PL2658.E5 R45 2016 | DDC 895.1/2008—dc23
LC record available at https://lccn.loc.gov/2016009481

ePub ISBN: 978-1-62466-588-2

 Titles of Related Interest Available from Hackett Publishing

Mulan: Five Versions of a Classic Chinese Legend, with Related Texts.

Translated and Introduced by Shiamin Kwa and Wilt L. Idema.

Battles, Betrayals, and Brotherhood: Early Chinese Plays on the Three

Kingdoms. Edited and Translated, with an Introduction, by Wilt L. Idema
and Stephen H. West.

Monks, Bandits, Lovers, and Immortals: Eleven Early Chinese Plays.

Edited and Translated, with Introduction, by Stephen H. West and Wilt L.
Idema.
 Contents

The page numbers in curly braces {} correspond to the print edition of this
title.

Acknowledgments
A Note to the Reader
Table of Major Dynasties
Table of Important Reigns, Reign-Periods, and Dynasties
Introduction
A Note on the Translation

Records of the Three Kingdoms in Plain Language

Part I
Sima Zhongxiang’s Karmic Dream
The Origin of the Yellow Scarves
The Oath in the Peach Garden
The Campaign against the Yellow Scarves
Humiliation at Court and in the Province
Dong Zhuo and Lü Bu
The Battles at Tigerkeep Pass
Diaochan
Lü Bu and Liu Bei

Part II
Dashed Hopes and New Friends
Liu Bei and Zhao Yun
The Reunion of Brothers
Moving South
The Triple Visit
Cao Cao’s Great Campaign
 The Alliance of Liu Bei and Sun Quan
The Battle at Red Cliff
The Uneasy Alliance
The Marriage

Part III
The Death of Zhou Yu
New Recruits
War in the Northwest
The Sichuan Campaign
The Single Sword Meeting
Cao Cao’s Sichuan Campaign
The Death of Guan Yu and the End of the Han
The Deaths of Zhang Fei and Liu Bei
A Threat from the South
The Threat from the North
The Death of Zhuge Liang
Karma Fulfilled: The World of the Simas

Works Cited and Suggested Readings

Glossary

Titles of Related Interest Available from Hackett Publishing

 {vii} Acknowledgments

We would like to thank Professor Oki Yasushi for helping us acquire

relevant Japanese materials and translations, Liu Lidan for her help in
assembling the manuscript and glossary, and the anonymous readers who
provided valuable comments on the original draft.
 {viii} A Note to the Reader

The Introduction to this narrative provides historical and cultural context

for the text and some general consideration of its structure and themes.
These are not entirely necessary to get the general gist of the story. You will
find them helpful, however, in placing the Plain Tales within its cultural and
generic context. Should you decide to move immediately to the story itself,
you should be aware of the following guides to help you understand it
better.

Measurements: A li is approximately one-third of a mile; a Chinese foot

is approximately thirty-two centimeters or roughly ten inches. A Chinese
pace or step is equal to a modern double pace, approximately five feet.

Names: Each of the characters is identified by one of sometimes several

names. We have chosen to retain the original variety of names for the
simple reason that Chinese does not use pronouns in addressing the self
or others, preferring to refer to people by their rank within the family,
their official title, or their social status. China was, and is, a strongly
hierarchical society, in which age, status, and gender carry weight.
Names are thus not just designators of people, but are also indexical to
their status vis-à-vis the speaker. For instance, Liu Bei, the major figure
of the text, is known by several designations:
Liu Bei is a combination of his surname Liu and given name Bei. This
name is only used in official documents or in historical retrospect, for
instance by the narrator. It would be unthinkable to call a person by his
given name in normal contexts.
He also has a familiar name, Xuande, a public-use name given in later
childhood and used by superiors, close friends, and family members.
Even the narrator uses this name when he wants to establish an
authoritative sense of intimate knowledge when describing Liu Bei’s
activities, or wants to create a sympathetic bond between the audience
 and the character, inviting them into that circle of supposed intimacy
through the use of this name.
Liu Bei is also called variously the Vanguard, the District Protector,
the Magistrate, or such-and-such general. This of course designates his
role in a military or civil bureaucracy. This is the normal form of address
between members of the civil or military institutions.
{ix} In addition, Liu Bei is referred to as the First Ruler, since he
would become the first ruler of the Shu-Han, which he and Zhuge Liang
eventually established. This was a way to distinguish him from his son,
the second and last ruler of the Shu-Han, who is designated as the Young
Ruler or Later Ruler.
Finally, after his kinship to the royal family was confirmed by
checking his lineage against the Imperial Geneology, he was called the
Imperial (Younger) Uncle. This name occurs only after this incident takes
place in the narrative, and is used primarily by his colleagues when they
speak about him to a third party.
Likewise Guan Yu (surname and given name) is known as Yunchang, his
public-use name, Zhang Fei as Yide, and Zhuge Liang as Kongming. Zhuge
Liang is also known as the Reclining Dragon, a sobriquet often understood
as his Daoist name.
It is a feature of the text that upon first appearance, the given and public-
use names are usually provided, along with the civil or military title, and
any sobriquets will be stated and explained.

Background-highlighted text: These are found in the original printed

edition of the work and are reproduced here, using a black box holding
white text. The function of these highlights is not always clear; they may be
related to either printing convention, as markers within the original story, or
otherwise some sort of signal to the reader (perhaps even artifacts from the
oral cycle itself). They often seem to denote what might be considered a
particularly famous or well-known episode. They may introduce poems,
following episodes, and they may occur at the beginning of a phrase or
interrupt what would be considered a complete thought. We have retained
them as what were obviously important features of the original text.
 {x} Table of Major Dynasties

SHANG ca. 1460–1045 BCE

ZHOU 1045–256 BC
Western Zhou 1111–771 BCE
Eastern Zhou 770–256 BCE
Spring and Autumn 722–476 BCE
Warring States 475–221 BCE
QIN 221–207 BCE
HAN 206 BCE–220 CE
Western Han 206 BCE–9 CE
Eastern Han 25–220
THREE KINGDOMS 220–266
Wei 226–266
Wu 222–280
Shu-Han 221–264
WESTERN JIN 266–316
NORTHERN AND SOUTHERN DYNASTIES 386–589
SUI 581–618
TANG 618–907
FIVE DYNASTIES 907–960
SONG 960–1279
Northern Song 960–1127
Southern Song 1127–1279
LIAO 916–1125
JIN 1115–1234
YUAN 1260–1368
MING 1368–1644
QING 1644–1911
 {xi} Table of Important Reigns, Reign-Periods, and Dynasties

WESTERN HAN 206 BCE–9 CE

XIN 9–23
EASTERN HAN 25–220
Guang Wudi 25–57
Mingdi 57–75
Zhangdi 75–88
Andi 106–125
Shundi 125–144
Chongdi 144–145
Zhidi 145–146
Huandi 146–168
Lingdi 168–189
Shaodi 189
Xiandi 189 Yonghan
189–190 Zhongping
190–194 Chuping
194–196 Xingping
196–220 Jian’an
220 Yankang
WEI 220–266
Wendi 226–227 Huangchu
Mingdi 227–233 Taihe
233–237 Qinglong
237–239 Jingchu
Gaogui
254–256 Zhengyuan
xianggong
 256–260 Ganlu
Yuandi 260–264 Jingyuan
264–266 Chengxi
SHU-HAN 221–263
Zhaolie di 221–223 Zhangwu
Houzhu 223–238 Jianxing
238–258 Yanxi
258–263 Jingyao
263–264 Yanxing
{xii} WU 222–280
Dadi 222–229 Huangwu
229–232 Huanglong
232–238 Jiahe
238–251 Chiniao
251–252 Taiyuan
263 Shenfeng
Houguan hou 252–253 Jianxing
254–256 Wufeng
256–258 Taiping
Jingdi 258–264 Yongan
Guiming hou 264–265 Yuanxing
265–266 Ganlu
266–269 Baoding
269–272 Jianheng
272–275 Fenghuang
275–276 Tiance
276–277 Tianxi
277–280 Tianji
HAN-ZHAO (known as HAN from 304–318) 304–329
Liu Yuan 304–307 Yuanxi
308 Yongfeng
 309 Herui
Liu Cong 310 Guangxing
311–315 Jiaping
315 Jianyuan
316–318 Linjia
Liu Can 319 Hanchang
Liu Yao 318–329 Guangchu
WESTERN JIN 266–316
 {xiii} Introduction

During its heyday in the second part of the first century, the mighty empire
of the Han (206 BCE–220 CE) ruled over a dominion that stretched from
present-day northern Korea to present-day northern Vietnam and from the
coasts of the Yellow Sea to the oasis towns of Central Asia. But, in the
middle of the second century, the empire began to unravel. Inside the
empire, dissent in the court weakened the power of the central government,
and outside the capital, the growing power of local magnates did the same.
The dynasty barely survived the huge rebellion of the Yellow Scarves1
religious movement, and then only at the cost of ceding all military power
to the dictator Dong Zhuo (d. 192), who moved the capital from
Luoyang to Chang’an to bring the court even more fully under his control.
When the imperial court then called upon provincial governors to extirpate
Dong Zhuo, they did so, but a decades-long civil war followed as the
governors, each more powerful than the imperial government, contested to
become the supreme power.
Eventually the empire was carved into three. The northern part of the
empire, ruled from the cities of Ye and Xuchang in Hebei, became the
domain of Cao Cao (155–220); the southeast, under the sway of Sun
Quan (182–252), was headquartered in modern-day Nanjing; and the
southwest was ruled from Chengdu by Liu Bei (161–223), a distant
relative of the imperial family of the Han. When, upon the death of his
father, Cao Cao’s son Cao Pi accepted the orchestrated abdication of
the last emperor of the Han and established the Wei (220–265), Liu Bei
and Sun Quan too, respectively, assumed the imperial title as emperors of
the (Shu-) Han (221–263) and the Wu (222–280) dynasties.2 These
three concurrent dynasties are usually referred to as the Three Kingdoms
(Sanguo ).
The wars that resulted in the foundation of the Three Kingdoms soon
became the stuff of legend, and thanks to novels and ballads, plays and
prints, movies, television dramas, and computer games, the names of the
generals who fought these battles are household words in China and beyond
to this day.3

{xiv} The Three Kingdoms in History and Legend

From an early date—at least one thousand years ago—the three-part

division of the empire has been considered karmic retribution for the
ungrateful treatment of three able generals by Liu Bang (256–195
BCE), the founder of the Han dynasty. In the chaos following the collapse of
the Qin (221–207 BCE), the first dynasty to unify China as an empire,
Liu Bang had only been able to vanquish his formidable rival Xiang Yu
(232–202 BCE) because of the assistance of his councilors and
generals. Once he had defeated all his internal foes, however, he became
suspicious of his former allies, now all enfeoffed as powerful princes, and
had three of them—Han Xin (d. 196 BCE), Ying Bu (d. 195 BCE),
and Peng Yue (d. 196 BCE)—murdered by his wife, the notorious
Empress Lü (241–189 BCE), who grasped all power upon his death.
Records of the Three Kingdoms in Plain Language (Sanguozhi pinghua
), the thirteenth-century popular account of the epic battles
resulting in the empire’s tripartition translated in this volume, opens with an
account of the underworld judgment concerning Liu Bang and his wife on
one side and the three meritorious generals on the other side. When Liu Xiu
(6 BCE–57 CE) reestablished the Han dynasty following the short-lived
usurpation of Wang Mang’s (45 BCE–23 CE) Xin dynasty (9–25), he
allows residents of his new capital Luoyang to enjoy the imperial park.
While reading historical accounts of the Qin and the founding of the Han in
the park, Sima Zhongxiang , a student, is filled with indignation
at Heaven’s injustice. In a dream he is called to the underworld to judge the
case of the murdered generals and sentences them to be reborn as Cao Cao,
Sun Quan, and Liu Bei, whereas Liu Bang and his wife will be reincarnated
as the last emperor of the Han and his empress.4 As a reward for his keen
judgment, Sima Zhongxiang will be reborn as Sima Yi (179–251),
whose descendants supplant the Wei dynasty of Cao Cao’s descendants.
Sima Yi establishes the Jin dynasty (266–419) and reunifies the empire by
conquering first the southwest ruled by Liu Bei’s son and next the southeast
ruled by a grandson of Sun Quan. The conclusion of our thirteenth-century
account points out, however, that the unification of the empire by the Jin
was only short-lived and that in the early part of the fourth century once
again a Han dynasty was established.5
{xv} Stable bureaucracies may leave neat archives but fighting armies
seldom do. From the very beginning the accounts of the events of the final
decades of the Han and of the half-century or so of the Three Kingdoms
have been embellished by gossip and legend, which make it difficult to
establish the full truth of what happened in all detail. Many incidents were
transmitted in multiple and at times contradictory accounts. The major
canonical account of the collapse of the Han and the foundation of the
Three Kingdoms is Chen Shou’s (233–297) Records of the Three
Kingdoms (Sanguozhi ).6 This work presents the history of the
period from 184 to 280 not as a continuous narrative, but through a
collection of biographies. While Chen Shou devotes one chapter to the
biography of Liu Bei, many other biographies are grouped together. For
instance, the biographies of Zhang Fei and Guan Yu are included in one
chapter together with the biographies of the generals Ma Chao (176–
222), Huang Zhong (d. 220), and Zhao Yun (d. 229). Chen
Shou had originally served Shu-Han, but when he compiled his history, he
was in the service of the Jin dynasty. For his account of Wei and Wu, he
could rely on existing materials, but the small number of chapters on the
Shu-Han dynasty is from his hand. His text is known for its sparse language
and the moral evaluations of the characters. Although Chen Shou had
originally compiled his history as three independent works (the Records of
Wei, the Records of Wu, and the Records of Shu-Han), these works were
later combined into a single text.
In the fifth century Pei Songzhi (372–451) wrote a detailed
commentary that incorporated more than 240 sources, providing Records of
the Three Kingdoms with not only more details than Chen Shou’s terse
account but also often alternative versions.7
The first known printed edition of the Records of the Three Kingdoms
dates from as early as 1003. Later in the eleventh century, a detailed
annalistic chronicle of the events during the century from ca. 180 to ca. 280
appeared from the hand of the great historian Sima Guang (1019–
1086) in his Comprehensive Mirror for Aid in Government (Zizhi tongjian
), which covered Chinese history from the fifth century BCE to
960 CE.8 This huge work gave rise to many abridged versions in later
centuries, each with its own emphasis and each reflecting the historical
debates circulating at the time of their compilation.9 But neither Chen
Shou’s Records of the Three Kingdoms nor Sima {xvi} Guang’s annalistic
chronicle, nor its abbreviated versions, provided a continuous narrative of
this era.
Whereas canonical historiography considered the Wei dynasty the
orthodox successor to the Han dynasty, popular opinion increasingly
favored Liu Bei and his Shu-Han dynasty as the legitimate heir.10 The
popular imagination glorified the sworn brotherhood of Liu Bei and his two
friends, the impulsive and violent Zhang Fei (d. 221) and the
invincible and arrogant Guan Yu (d. 219). Guan Yu had acquired
divine status by the sixth century and would eventually become one of the
most powerful gods in the Chinese pantheon.11 Liu Bei’s advisor and field
marshal Zhuge Liang (181–234) was depicted not only as an
inspired strategist but also as a master of magical arts.12 As the story
continued to develop over the centuries the account of the wars became
increasingly focused on the initial cooperation of Cao Cao and Liu Bei and
their later enmity. In the process Liu Bei became the embodiment of
dynastic virtue and his opponent Cao Cao the evil mastermind (or “crafty
brave” jianxiong as he is called in Chinese).13 While we have
considerable anecdotal evidence for the popularity of Three Kingdoms lore
during the Tang dynasty (618–907), there are no independent texts on this
subject among the ballads and prosimetric narratives from the eighth to
tenth centuries discovered at Dunhuang.14 Among these latter manuscripts,
the war between Liu Bang and Xiang Yu at the founding of the Han is the
most popular historical subject,15 and we also find one story on the early
adventures of Liu Xiu, who restablished the Latter Han empire.16 By the
middle of the eleventh century, however, Kaifeng, then the capital of the
Northern Song dynasty (960–1127), had professional storytellers who
specialized in narrating the “events of the Tripartition.”17 {xvii} At the
same time the intellectuals of the time widely and heatedly discussed the
leading personalities and events of that era.18 All of these developments
merged in a narrative account that was published in the early fourteenth
century as Records of the Three Kingdoms in Plain Language. This fast-
paced tale was to remain the most popular account of the legend for the
next two centuries,19 was widely utilized by playwrights in the fourteenth
and fifteenth centuries,20 and then was finally supplanted in the early
sixteenth century by the much more detailed Popular Exposition of the
Records of the Three Kingdoms (Sanguozhi tongsu yanyi
), also known as Romance of the Three Kingdoms
(Sanguo yanyi). The epic narrative of this later 120-chapter “novel” has
remained immensely popular to this very day, not only in China, but also in
other East-Asian countries such as Korea.21

Plain Tales

Records of the Three Kingdoms in Plain Language was printed as part of a

series that included at least four other titles and may have included more.
The five preserved titles are nowadays collectively known as the Five
Completely Illustrated Plain Tales (Quanxiang pinghua wuzhong
). This series {xviii} was published by the Yu family of
Jianyang in the Zhizhi period (1321–1323) of the Yuan dynasty (1260–
1368).22 Apart from Records of the Three Kingdoms in Plain Language the
series includes A Completely Illustrated Plain Tale: The Book of King Wu’s
Campaign against Zhou (Quanxiang pinghua Wuwang fa Zhou shu
), which deals with the foundation of the Zhou
dynasty in the eleventh century BCE;23 A Completely Illustrated Plain Tale:
Yue Yi’s Attack on Qi—The Final Collection of the Springs and Autumns of
the Seven States (Quanxiang pinghua Yue Yi tu Qi qiguo chunqiu houji
), which deals with the wars between
the northeastern states of Yan and Qi in the early decades of the third
century BCE; The Completely Illustrated Plain Tale of Qin’s Conquest of the
Six States (Quanxiang Qin bing liuguo pinghua ),
which carries the alternative title of A Biography of the First Emperor of the
Qin (Qin Shihuang zhuan ); and A Completely Illustrated Plain
Tale: A Sequel to the Book of the Former Han (Quanxiang pinghua Qian
Hanshu xuji ), which carries the alternative title
Empress Lü Executes Han Xin ( ) and begins with Liu Bang’s
final victory over Xiang Yu, continues through the murder of the three
meritorious generals, and ends with the extermination of the Lü clan.
Five Completely Illustrated Plain Tales has been preserved in only a
single copy that is now kept at the Naikaku Bunko (Cabinet Library) in
Tokyo. In the twentieth century it has repeatedly been reproduced in
photographical editions,24 and recently the original text has been put online
in high-quality images. All individual texts in the collection are also
available in modern typeset editions,25 while a collective critical and
annotated edition has been provided by the contemporary scholar Zhong
Zhaohua .26 For his edition of Records of the Three Kingdoms in
Plain Language he has also utilized A Brief Account of the Tripartition to
collate the text. The single surviving (slightly damaged) copy of A Brief
Account of the Tripartition is kept in the library of Tenri University in Nara,
Japan; this edition too is nowadays easily available in reproduction.27
A series that is very comparable to the Five Completely Illustrated Plain
Tales is the History of the Five Dynasties in Plain Language (Wudaishi
pinghua {xix} ), which consists of five plain tales, each
recounting the history of one of the five short-lived dynasties that ruled
northern China during the years from the demise of the Tang in 907 to
the foundation of the Song in 960.28 In this case, each of these five plain
tales is divided into two parts, of which the first recounts the early career of
the founding emperor, while the second part is devoted to the rapid decline
and fall of his dynasty. We encounter a similar contrastive structure in An
Anecdotal History of Proclaiming Harmony (Xuanhe yishi ).29
This work has been transmitted both in a two-part and in a four-part edition,
but in both cases the first half of the work is devoted to the luxurious and
irresponsible behavior of Emperor Huizong (r. 1101–1126), while the
second half describes his sufferings at the hands of the Jurchen following
their conquest of northern China and capture of Kaifeng. The only text that
is also classified as a plain tale but is not divided into parts is A Brief
Account of Xue Rengui’s Conquest of Korea (Xue Rengui zheng Liao shilüe
).30 This anonymous work, which has been preserved in
one of the surviving chapters of the Grand Compendium of the Yongle Era
(Yongle dadian ) of 1407, narrates the heroic deeds of the
common soldier Xue Rengui during the campaigns of Emperor Taizong of
the Tang against the state of Koguryo during the second quarter of the
seventh century.31
The titles mentioned in the preceding two paragraphs have been grouped
together as “plain tales” by modern historians of Chinese literature upon
their rediscovery in the early twentieth century.32 As is clear from their
titles these works all provide accounts of exciting periods of Chinese
history; written in simple prose including some vernacular elements, they
tend to be of modest {xx} size.33 The examples of the genre often only
survive in single copies, as these texts had been replaced in the public’s
favor from the sixteenth century onward by the far more extensive
“historical novels” that were compiled in the Ming dynasty (1368–1644).
When these plain tales were rediscovered in the twentieth century, they
were primarily discussed as forerunners of the vernacular fiction of the
Ming. The pioneering scholars of traditional vernacular fiction identified
the plain tales as promptbooks of the professional storytellers of the Song
dynasty (960–1279), or claimed that these texts were based on such
promptbooks. When Records of the Three Kingdoms in Plain Language was
first reprinted in China in the late 1920s, its preface claimed: “This must
derive from a script that had been transmitted from teacher to pupil by
itinerant storytellers.”34 Because some modern genres of storytelling go by
the homophonous name of pinghua , this identification seemed
obvious.35 But in Song {xxi} sources storytelling on historical topics is
called “narrating history” (jiangshi ), and while we know the names of
many of its practitioners, we know next to nothing about the characteristics
of this genre. We also don’t know whether the professional storytellers used
promptbooks or not, and if they did what these promptbooks would look
like.36
More recent scholarship has started to question the close relation between
plain tales and (hypothetical) promptbooks. Not only are many plain tales
relatively well printed (with carefully planned and executed continuous top-
of-the-page illustrations in the case of the Five Completely Illustrated Plain
Tales and A Brief Account of the Tripartition),37 many of them also heavily
rely on works of canonical historiography for their own text. It has been
suggested therefore that these texts in their preserved printings should first
of all be considered popular reading materials for a literate audience who
might not have the scholarly inclination, time, or energy to work their way
through the voluminous works of canonical historiography or simply might
prefer a good read.38 In Chinese publications this audience is often
described as “common townspeople” (xiao shimin ) but probably
the audience was much broader. Full sets of the dynastic histories and other
works of canonical historiography were not always easily available even
after the invention of printing and still must have been quite expensive.
Many literati as well as military officers and members of the nobility,
educated merchants, and gentlemen farmers may have been among the
readers. During the Yuan, when the vernacular was widely used in
government documents, the readership may also have included members of
the Mongol elite and its Central-Asian allies. As far as their content is
concerned, it is obvious that the plain tales rely not only on written sources
but also take many of their materials from an oral tradition of some sort or
another, but to what extent we can identify that oral tradition exclusively
with the activities of the professional storytellers of the eleventh century
and later is not clear,39 because plays {xxii} on episodes from the Three
Kingdoms saga also were popular on the early stage and in other forms of
entertainment such as shadow theater.40

Records of the Three Kingdoms in Plain Language

Among the plain tales Records of the Three Kingdoms in Plain Language
stands out for a number of reasons. The first of these is its length: it is the
longest of the plain tales.41 The second is that despite its length it contains
no direct borrowings from canonical historiography; while its protagonists
and their adventures can of course be traced to canonical historiography, it
does not copy or paraphrase the language of these texts for its descriptions
of events. This also means that its language is consistent in register
throughout. Whereas other plain tales may switch from simple but pure
classical Chinese to a very vernacular style depending on their sources, the
language of Records of the Three Kingdoms in Plain Language is written
throughout in a simple semi-classical language full of repetitions, except for
the poems and letters that are quoted in the text, which are in classical
Chinese. It should also be stressed that this is one of the rare texts to have
been preserved in two different editions. Apart from the edition as part of
the Five Completely Illustrated Plain Tales, the text has also been preserved
in an independent edition entitled A Brief Account of the Tripartition
(Sanfen shilüe ). The latter edition looks very much like a later
and cheaper reprinting of Records of the Three Kingdoms in Plain
Language but carries a date that would suggest it was printed in the late
thirteenth century (1294 or 1295).42 While some scholars are willing to
accept this date, others {xxiii} insist that A Brief Account of the Tripartition
must have been printed at a later date, some suggesting as late as the
fifteenth century.43 Those who put their trust in the earlier date suggest that
both A Brief Account of the Tripartition and Records of the Three Kingdoms
in Plain Language may be reprintings (one low quality, the other high
quality) of an even earlier, now lost printing of the text.44
We should not expect Records of the Three Kingdoms in Plain Language
to provide us with a comprehensive account of all Three Kingdom
narratives that were available at the time of composition. The author made a
selection in view of his own conception of the narrative as a whole. This is
clear because on occasion certain events are only referred to in the text, but
not narrated in detail.45 This is further underlined by the existence of The
Story of Hua Guan Suo (Hua Guan Suo zhuan ), a prosimetric
epic on the life of Hua Guan Suo, a son of Guan Yu, who is mentioned only
once in the Records of the Three Kingdoms in Plain Language.46 This text,
which also dates from the period 1250–1450, does provide accounts of
some episodes that also occur in the Records of the Three Kingdoms in
Plain Language, such as the oath in the Peach Orchard and the death of
Guan Yu, that are quite different. The early Yuan-dynasty playwright Guan
Hanqing (c. 1240–c. 1320) in his play on the deaths of Zhang Fei
and Guan Yu, which has been preserved in a fourteenth-century printing,
provides an account that corresponds closely to the version of the tale that is
provided in The Story of Hua Guan Suo, indicating that this tradition of the
tale most likely goes back to at least the thirteenth century.47
{xxiv} The Records of the Three Kingdoms in Plain Language is divided
into three parts or “scrolls” (juan ). In this case each of the three sections
has a unique emphasis. The first begins with the judgment of Sima
Zhongxiang and then proceeds with a description of the origin of the
rebellion of the Yellow Scarves, setting the stage for the action to come.
The story then switches to the introduction of the three sworn brothers Liu
Bei, Zhang Fei, and Guan Yu. They first establish their merit by fighting the
Yellow Scarves, and later contribute to the war against Dong Zhuo and the
latter’s adopted son Lü Bu (d. 198). During this period they enjoy the
support of Cao Cao, who will step into the vacuum created by the death of
Dong Zhuo to become the most powerful man in northern China. By the
beginning of the second part, Liu Bei is invited by the last emperor to join a
plot against Cao Cao. But Liu Bei and his sworn brothers are quickly
defeated and dispersed. While Guan Yu agrees to serve with Cao Cao, Liu
Bei seeks the protection of Yuan Shao (d. 202), but leaves him to seek
his fortune in Hubei. In the meantime Zhang Fei has established himself as
a highwayman in Old City, and it is there that the sworn brothers meet each
other again. From there they move on and Liu Bei becomes the prefect of
Xinye thanks to the magnanimity of the governor of Jingzhou, his distant
uncle Liu Biao (142–208). While at Xinye, Liu Bei manages to attract
Zhuge Liang as his main advisor and field marshal. When Cao Cao begins a
southward push, Liu Bei eventually concludes an alliance with Sun Quan,
who controls the Jiangnan area, and together they inflict a devastating
defeat on Cao Cao at the battle at Red Cliff. This is all due to the superior
tactics of Zhuge Liang and of Sun Quan’s advisor Zhou Yu (175–
210), who is constantly bested by Zhuge Liang’s brilliance, and who
eventually dies of spite when he realizes he can never match it.
The third part starts with a description of Zhou Yu’s failed attempt to
conquer the area of the modern province of Sichuan. This is followed by the
account of Liu Bei’s conquest of this region. Following the death of Guan
Yu and the loss of Jingzhou, the death of Zhang Fei, and the death of Liu
Bei during a failed attempt to take revenge for the death of Guan Yu, the
majority of this final section focuses on Zhuge Liang’s attempt to maintain
the independence of the Shu-Han regime. To do this, he carries out
southwesterly campaigns against non-Chinese tribes and northeasterly
campaigns against the Wei dynasty. Following the death of Zhuge Liang,
the Shu-Han dynasty is eventually conquered when Liu Bei’s son decides to
surrender to the enemy rather than organizing a final, all-out defense of his
land.
In this way each part of Records of the Three Kingdoms in Plain
Language has its own set of characters, its own central conflicts, and its
own geographical focus as the action moves from northeast China to central
China and on to southwestern China. On closer reading it would appear that
each part can {xxv} be subdivided into a limited number of story cycles,
even though these are not marked as such in the text.48 For the benefit of
our readers we have inserted subheadings of our own making.49 These
should not be confused with the “content signposts” that irregularly appear
in the original Chinese text. In the original Chinese edition these signposts
are highly visible as they are printed in relief, in white in a black box, a
format we reproduce in the current translation.50 The fact that these
signposts occur in some sections of the text in close proximity and at other
places are not found at all for long stretches of text suggests perhaps that
the full text of the Plain Tales may have been partly composed by utilizing
preexisting versions, each with their own conventions of presentation.
The heterogeneity of the source materials used in the different parts of
our text is also suggested by the variations in the use of a limited set of
stereotypical narratorial phrases. These run the gamut, from “our story now
divides in its telling” (hua fen liang shuo , five times in Part I)
and “our story now divides in two directions” (huafeng liangtou ,
once in Part III, none in Part II), to a simple “speak of/explain” (shuo ).51
The most common phrase is “let us now talk about something different”
(queshuo ). This can be used to simply begin another line of the story,
but it is often used, like the classical narrative marker chu , to mean “let
us go back to talk about …”; that is, to go back in time and tell what
happens to a character involved in the same event during a simultaneous
time period. Another common narratorial address is “later speak of/and then
speak of “(houshuo ). This appears not at all in Part I, six times in Part
II, and fifteen times in Part III. This is perhaps the most interesting of
narrative markers, in the sense that it often introduces what were possibly
well-known and major scenes (that are left unexpanded in the text). While it
may simply function as a temporal phrase, “and then …,” there is a
directness to it that seems to imply a direct command, “Now go on and tell
about incident X.”
{xxvi} What the difference in use and frequency betrays is something
that is apparent in many colloquial texts: they are conglomerate and often a
mixture of circulating tales that are not composed from beginning to end,
but copied or adapted from available sources. The fact that Part I uses
essentially different forms of direct narrator address may seem only a
preference, but it is definitely related to the fact that the narrative episodes
in Part I are much more detailed and complex than in the other two parts;
the flow of the narrative itself is much more unified and does not demand
the constant narrative prods to move the story along. This difference
between Part I and the following two parts is also reflected in the use of the
phrase, “this is named” (mingyue ). This term is used only once in Part
I to designate the name of a pavilion; in Parts II (ten times) and III (eight
times), in addition to being used to identify place names and names of
material objects, it is also used to introduce or stipulate the names by which
famous episodes are recounted: “This is called ‘the Single Sword
Meeting,’” or “this is called ‘Beheading Cai Yang in Ten Beats of the
Drum,’” and so on. These phrases, in turn, are also associated with the
hurried pace of, particularly, Part III, and the quick movement from event to
event without any narrative ligatures except the intrusive voice of the
narrator himself.
Throughout its three parts the narrative of Records of the Three
Kingdoms in Plain Language is focused on action and dialogue; extensive
description and analysis are rare. The most commonly experienced
emotions are joy and anger, and when such emotions are mentioned they
tend to be extreme. In its characterization Records of the Three Kingdoms in
Plain Language lays great stress on Liu Bei’s descent from the imperial
house of the Han, even though at the beginning of the story he lives in very
reduced circumstances, making a living by plaiting straw sandals.52 Liu Bei
is a fine fighter himself by all accounts, but the anonymous author of
Records of the Three Kingdoms in Plain Language prefers to stress Liu
Bei’s qualities as an administrator: each time that he serves in an
administrative position, the population is said to benefit greatly from his
rule and venerate him accordingly. Liu Bei likewise often remains passive
in the story, sometimes to the extent of sulking rather than moving to action.
In the middle section, he rarely makes a move without the assent of Zhuge
Liang. His sworn brothers Guan Yu and Zhang Fei are primarily
characterized as formidable warriors. Both men have impressive physiques
—one is tall and the other is stout—but whereas Guan Yu is the very
embodiment of righteous virtue, {xxvii} Zhang Fei is an impetuous drunk
who brooks no authority. If Guan Yu has a fault, it is his overweening self-
confidence and irascibility, whereas Zhang Fei is distinguished by his love
of an honest fight and his somewhat paradoxical horror at the tactics of
mass destruction by fire and water as employed by Zhuge Liang and Zhou
Yu. In Records of the Three Kingdoms in Plain Language Zhuge Liang is
very much portrayed as a Daoist wizard who combines his superior tactical
and strategic insights with a variety of magical skills. Liu Bei’s
qualifications as a ruler are underlined by highlighting his humility in thrice
inviting Zhuge Liang to join his staff, and Zhuge Liang will reciprocate
when he supports Liu Bei’s unworthy son with unwavering loyalty until the
day of his death. As Liu Bei’s political star rises, he attracts an ever-
increasing number of heroic warriors to his cause, each with their own
character and ambition.
 In the first part of Records of the Three Kingdoms in Plain Language Cao
Cao is the most effective general in the struggle against the evil dictator
Dong Zhuo and his adopted son Lü Bu, and he is eager to ensure himself of
the service of Liu Bei and his sworn brothers for this purpose. But once Liu
Bei sides with the emperor against Cao Cao, the latter becomes his
implacable foe. As the most powerful warlord on the North China plain
who has exterminated all his opponents there, Cao Cao is distinguished by
his ruthless quest for power. While he at times also may display an
unexpected magnanimity, it is not enough to permanently win over Guan
Yu when the latter briefly serves under him.53 Despite their individual
qualities the generals who serve under Cao Cao all pale in comparison to
him and to Liu Bei and his sworn brothers. Only after the fall of the Wei
dynasty will Zhuge Liang have an opponent worthy of him in Sima Yi, even
though the latter attains his successes by his refusal to give battle.
Both Liu Bei and Cao Cao look down upon Sun Quan for his lowly
background (his father was a melon grower in Changsha),54 but the
successive generations of the Sun family, based in Jiankang (modern-day
Nanjing), securely dominate the Jiangnan region, and can rely on the
services of loyal and capable generals such as Lu Su (172–217) and
superior strategists such as Zhou Yu.
The sixteenth-century novel will mostly follow the characterizations of
Records of the Three Kingdoms in Plain Language but also make its own
changes, partly because of its desire for a closer adherence to canonical
historiography.55 {xxviii} For instance, Zhuge Liang becomes more of a
dignified Confucian scholar and loses some of his magical skills. On the
other hand, the novel greatly expands its description of Cao Cao’s fiendish
character.56 At the same time the sixteenth-century novel would greatly
develop the description of the battle of Red Cliff and turn Zhuge Liang,
against all fact, into the mastermind of Cao Cao’s greatest defeat.57

As Records of the Three Kingdoms in Plain Language is very much a tale of

continuous warfare and vicious politics, female characters play only a
limited role. But women, and men’s relationships to them, are more
important to the narrative than it would appear at first sight. The central
female character in the first part is Diaochan .58 Both Dong Zhuo and
and his adoptive son Lü Bu are bewitched by her charms, to the extent that
Lü Bu is willing to murder his adoptive father in order to regain his former
consort. Later in the first part, Lü Bu causes his own downfall when he
comes to a realization about the meaningless nature of conquest and fame,
ignores his generals’ pleading, and retreats to spend all his time to dally in
pleasure with Diaochan. While it is quite common to see women as
distractions from a man’s public life, this is one case where it is clearly not
lust or the machinations of an evil woman, but a kind of happiness that
turns Lü Bu into her constant companion when he realizes the fruitless
nature of vainglorious pursuits. This part of Records of the Three Kingdoms
in Plain Language shows how a tempting woman can destroy the fictive
kinship of adoption in the case of Dong Zhuo and Lü Bu. Diaochan is really
only a {xxix} pawn, a player in the chess game of ruthless men and patriots;
she is not evil, but is pliable to the demands of men.
The second part contrasts this weakness by demonstrating how, in the
case of Liu Bei, Guan Yu, and Zhang Fei, the fictive kinship of a sworn
brotherhood can withstand such temptations. When Guan Yu is serving
under Cao Cao, the latter tries to bring him over to his cause by offering
him ten beauties, whom Guan Yu refuses to touch. At this time Guan Yu
also finds himself in charge of Liu Bei’s wife and concubine and, whereas
other men might perhaps take advantage of this situation, Guan Yu behaves
most properly and avoids all suspicion.59 The second part of Records of the
Three Kingdoms in Plain Language also shows us the example of
possessiveness in Zhou Yu who, though happily married, is stirred into
action by the desire to save his young wife from the clutches of the
lecherous Cao Cao. These two examples, one positive and the other
problematic, create three distinct male types: Lü Bu and Zhou Yu are driven
by desire and Guan Yu is uniquely oblivious to female charm. At the same
time, the second part also presents us with models of virtuous womanhood
as foils to Diaochan. At decisive moments Sun Quan repeatedly receives
wise advice from his mother, while his younger sister, who is married to Liu
Bei in a plot to slay him, proves herself in the end a loyal wife who is
willing to turn against her own family in order to save Liu Bei’s life.60
When we reach the third part of Records of Three Kingdoms in Plain
Language women almost disappear from the narrative. When Guan Yu
arrogantly turns down a marriage proposal from the Sun family, he sets in
motion developments that will lead eventually to his own death. And, when
Liu Bei feels obliged by their oath of brotherhood to take vengeance for
Guan Yu, his campaigns result in both his and Zhang Fei’s deaths. When
Liu Bei places the particularistic homosocial bond of brothers over dynastic
interests (which are, after all, about successions of heirs), the resulting
barrenness is embodied by his son and successor who prefers to cavort with
eunuchs.61 In the eyes of our {xxx} anonymous author the perfect marriage
may well be exemplified by Zhuge Liang. Only on the eve of his death do
we learn that he had been married all along when he instructs his wife to
make sure that their muddleheaded son does not seek an official career. The
only conspicuous female character in this final part of the plain tale, in fact,
is the divine maiden who informs Zhuge Liang of his impending death.
Many heroes in traditional vernacular fiction meet with such divinity, but as
a rule such a meeting takes places at the beginning of their career when the
goddess instructs them in the martial skills and military tactics that will
ensure their career.
The last female character to make her appearance in Records of the Three
Kingdoms in Plain Language is the evil Empress Jia , whose conspicuous
abuse of power and lasciviousness ensure the speedy disintegration of the
Jin dynasty, thus echoing the evil machinations of Empress Lü that were the
ultimate cause of the dismemberment of the Han empire. The adulterous
Empress Jia, who despises her disabled husband, also echoes the character
of the wife of school teacher Sun whose expression of disgust at his
disease causes him to attempt suicide, after which he discovers the heavenly
book that will inspire the rebellion of the Yellow Scarves. As a proper
marriage is described as the “correct beginning” (zhengshi ) of a well-
ordered society, these disruptive women embody the chaos that will engulf
the empire.

Conclusion

Compared to the later novel on the same theme, Records of the Three
Kingdoms in Plain Language is in many ways a much simpler text. But we
should not simply read the plain tale from the later perspective of the
Romance of the Three Kingdoms. The plain tale covers far fewer episodes
than the later novel, and many of the episodes that are covered are dealt
with in a very cursory way. If the plots of the individual episodes are not
always as complicated as those in the later novel, however, they are often
more natural and convincing. The language is clear and straightforward,
and the story moves at a fast pace. In its own time the plain tale presented
its readers with a novel and exciting account of the events of a fabled period
of Chinese history, and its long popularity should cause no surprise. Even
today, we believe, Records of the Three Kingdoms in Plain Language merits
translation as a good read and as an introduction to fascinating aspects of
traditional and contemporary Chinese culture.

_____________________________
1. Adherants wrapped their heads in yellow headscarves in order to distinguish themselves from
government soldiers. In most studies on Chinese history in the West, they are called “Yellow
Turbans”; the name, however, is a misnomer since these scarves bore no resemblance at all to the
turbans worn by peoples of the Middle East or South Asia.
2. For a convenient survey of the political history of this period, see Mansveld Beck (1986) and De
Crespigny (1991a). For a detailed biography of Cao Cao, see De Crespigny (2010).
3. For an English-language introduction to Three Kingdoms culture, see Besio and Tung (2007). For
extended surveys in Chinese, consult Guan Siping (2009); Shen Bojun and Tan Liangxiao (2007);
Zhu Yixuan and Liu Yushen (1983). See also Kim Bunkyō (1993).
4. This story also circulated independently in many adaptations, both as a story and play. See Li
Fuqing (1997b, 52–60); Ogawa Yōichi (1982, 78–81); Ōtsuka Hidetaka (1998); Zheng Zhenduo
(1961, 171–76). As time went by, later versions increased the number of reincarnations.
5. In the early years of the fourth century the Jin dynasty was wracked by civil war. It then survived
for another century in the south, while northern China was ruled by various mostly ethnically non-
Chinese dynasties, such as the Han-Zhao dynasty (304–329) founded by Liu Yuan (d. 310).
6. Cutter and Crowell (1999); De Crepigny (1970); Ng and Wang (2005, 94–98).
7. The final decades of the Han dynasty are also covered in Fan Ye’s (398–445) Documents of
the Later Han (Hou Han shu ).
8. De Crespigny (1969; revised edition De Crespigny [1996]) and De Crespigny (1989) provide
translations of the annals for the years 157–220. See also Ng and Wang (2005, 147–55).
9. One of the issues that were hotly debated was whether the Wei or the Shu-Han had to be
considered the orthodox successor dynasty of the Han. Sima Guang had treated the Wei as such, but
the great Neo-Confucian philosopher Zhu Xi (1130–1200) treated Shu-Han as such in his
rewriting of the Zizhi tongjian as Tongjian gangmu .
10. For a survey of twentieth-century studies on the development of Three Kingdoms lore, see Wang
Lijuan (2007, 1–20).
11. Diesinger (1984); Duara (1988); Haar (2000); Hansen (1989, 88–90); Louie (1999); Moore
(2003); Yang (1981). In Chinese, see Li Fuqing (1997a); Liu Haiyan (2004); Ōtsuka Hidetaka
(1995); Wang Lijuan (2007, 213–364); Zeng Yongyi (2003, 509–28).
12. Henry (1992); Tillman (2002b). In Chinese, see Chen Xianghua (1990); Yan Chunxi (2003).
13. Kroll (1976).
14. Mair (1989).
15. For a French and English translation of one of these texts, see Mirabile (2003).
16. For an English translation of this story, see Waley (1960, 53–56).
17. Idema and West (1982, 27–28). In the process of oral transmission the story was enriched with
many “epic motives” and “epic situations,” which are analyzed in great detail by Li Fuqing (1997b,
65–97). The topics discussed include the sworn brotherhood of Liu, Guan, and Zhang, and the
animals slaughtered when they swear their oath; Liu Bei’s triple invitation of Zhuge Liang and
Zhuge’s role as advisor; the berserker warrior as exemplified by Zhang Fei; the specific weapons of
the heroes such as the Guan Yu’s curved-moon blade; the heroes’ mounts, such as Guan Yu’s horse
Red Harrier; and the battle scenes. In his analysis of these epic motives Li Fuqing not only draws
widely on Chinese materials from Chen Shou’s Records of the Three Kingdoms to modern folktales,
but also on the rich literature in Russian on the epic traditions of Central Asia.
18. McLaren (2006; focusing on the discussion on Liu Bei); also see McLaren (2011, 2012). For the
Song dynasty discussion on Zhuge Liang, see Tillman (1995, 1996, 2002a, 2004, 2007); Shen (2003).
One of the most famous and popular literary works of the eleventh century, Su Shi’s Red Cliff
Rhapsody (Chibi fu ), is a meditation on Cao Cao’s defeat at Red Cliff. For an English
translation, see for instance Owen (1996, 292–94). Also see Owen (1996, 579–80) for his translation
of Su Shi’s “Meditation on the Past at Red Cliff” (Chibi huaigu ), one of his most famous
lyrics. For a comprehensive selection of anecdotes and poems related to Three Kingdoms lore from
the fourth to the fourteenth centuries, see Zhu Yixuan and Liu Yushen (1983, 1–239); for a
comprehensive selection from the Ming and Qing dynasties, see Zhu Yixuan and Liu Yushen (1983,
526–944).
19. On the originality of Records of the Three Kingdoms in Plain Language as a structured narrative
and its focus on Liu Bei and his supporters (especially Zhang Fei and Zhuge Liang), see Tu Xiuhong
(2009).
20. Idema and West (2012).
21. For English translations see Brewitt Taylor (1925); Roberts (1991). For discussions and analyses
of the novel, see Hsia (1968, 34–74); Plaks (1987, 361–490). Chinese scholars disagree over the
extent to which the novel is indebted for its qualities to the plain tale. See Han Weibiao (2007).
22. After this text had been separately reproduced in Japan in the early 1920s, by 1930 it had also
been reproduced by the Commercial Press in Shanghai. Jiangsusheng shehui kexueyuan (1990, 26).
23. For a full translation of this text see Liu (1962, 6–75).
24. For instance Anonymous (1956); Anonymous (1971).
25. Anonymous (1959); Ding Xigen (1990).
26. Zhong Zhaohua (1990). See also Zhou Wen (2009). Records of the Three Kingdoms in Plain
Language is also available in two Japanese translations: Nikaidō and Nakagawa (1999); Tatsuma
Shōsuke (2011).
27. For facsimile editions, see for instance Anonymous (1990a, 1990b, 1999).
28. For a modern typeset edition of this text, see Anonymous (1954a). This edition is based on a
photolithographic edition produced in 1911 of a copy of a thirteenth-/fourteenth-century printing of
the text. The text is incomplete. For a brief discussion of this text, see Lu Hsun (1959, 144–47).
29. For a modern typeset edition of this text, see Anonymous (1954b). An English translation has
been provided by Hennessey (1981). See also Hennessey (1984).
30. For a modern typeset edition of this text, see Zhao Wanli (1957). See also Idema (2007).
31. The Yongle dadian has only partially been preserved. From its table of contents we know that this
huge compilation contained a substantial section devoted to pinghua but these chapters have been
lost. The story of Xue Rengui also appears in a fourteenth-century drama, Xue Rengui Returns Home
Clad in Brocade (Xue Rengui yijin huanxiang ), translated and introduced in West
and Idema (2014, 138–95).
32. Some scholars also treat The Nine Remonstrances of the Duke of Liang (Lianggong jiu jian
) as a plain tale. This text features the infamous Empress Wu Zetian (624–705)
who intends to appoint her nephew Wu Sansi (d. 707) as the crown prince, and the intrepid
statesman Di Renjie (607–700), who urges her to reappoint her own son as crown prince and
reinstitute the Tang dynasty. This text is included in Ding Xigen (1990), which, however, does not
include A Brief Account of Xue Rengui’s Conquest of Korea.
33. Other genres of printed vernacular narrative from the late Song to the early Ming rely more
heavily on verse: “poem-stories” (shihua ) are divided in short chapters, each concluding on a
poem spoken by one of the characters in the story; “ballad-stories” (cihua ) tell their stories in a
continuous alternation of prose passages and passages written in seven-syllable ballad-verse; and
“ballad-texts” (ciwen ) are completely written in ballad verse. Other prosimetrical genres of
period include “all keys and modes” (zhugongdiao ) and “precious scrolls” (baojuan ).
34. Jiang Dianyang (1996, 746). Crump (1951) combines this view with the suggestion of Zhang
Zhenglang (2004; originally published in 1948) that the plain tales derive from the commentaries on
the sets of poems on historical subjects by late-Tang authors such as Hu Zeng . In Hsia (1968,
35–36) the expectation that plain tales should reflect the superior artistry of the best professional
storytellers of the Song capital cities results in a very negative opinion on Records of the Three
Kingdoms in Plain Language. This plain tale is, in his words, “atrocious in style and often transcribes
the names of places and persons in wrong characters. Events are narrated most sketchily and history
itself is reduced to a contest in magic, cunning, and prowess…. It is possible that the publishers …
had entrusted the task of compilation to a hack of little learning and less writing ability. Based on the
promptbooks of provincial storytellers, it could not have represented the art of storytelling among its
famous practitioners in the capital cities. But with all its uncharacteristic crudities, this version must
have conformed to their repertoire in one respect at least: the application of the theory of moral
retribution to the workings of history.” Having summarized the opening scene of the underworld
judgment Hsia concludes by noting that the later novel “does away with all this kind of didactic
nonsense.” Hsia’s negative view of Records of the Three Kingdoms in Plain Language very much
echoes the verdict on this text by Zheng Zhenduo (1961, 170–71; 186–90; originally published in
1929). For recent studies that treat the plain tales as the promptbooks of storytellers, see Gao Mingge
(1986, 1–18) and Xiao Xiangkai (1997, 44–99).
35. For a summary of twentieth-century Chinese scholarship on plain tales, see Ji Dejun (2002, 15–
29). Tan Fan et al. (2013, 136–44) relies heavily on Gu Qing (2005). Gu points out that the term
pinghua is not encountered before the Yuan dynasty. He treats the term as both a designation of a
genre of literature and a form of storytelling, even though evidence for its use in that latter sense is
very meagre for the Yuan. For a bibliography of studies on Records of the Three Kingdoms in Plain
Language, see Nikaidō and Nakagawa (1999, 314–18).
36. Many modern scholars writing on storytelling of the Song dynasty apparently believe that
storytelling in Song and Yuan times must have been comparable to storytelling as a low-class popular
entertainment of late-imperial and Republican times, but as printing was still much less developed,
drama was in its infancy, and vernacular fiction had still to be invented, it appealed to a very broad
segment of the population, up to the emperors. See Guan Siping (2009, 115–16).
37. For a discussion of these illustrations, see Hegel (1998, 172–76). Mair (1988, 3–6) suggests the
existence of a kind of storytelling using pictures as the origin of this format.
38. Hegel (1998, 22–26); Idema (1974); Lu Shihua (2009); Luo Xiaoyu (2010). Ji Dejun (2002, 61
note 1) points out that the many homophonic substitutions for complicated and/or rare characters that
had been decried by earlier generations of scholars may well have facilitated reading for many
contemporary readers.
39. Many scholars who treat the plain tales as the promptbooks of storytellers first use the plain tales
to reconstruct the characteristics of Song-dynasty storytelling, and then conclude that the plain tales
reflect these characteristics. Basing himself on a broad comparison with other epic traditions and
modern Chinese traditions of storytelling, Li Fuqing (1997b, 120) concludes that “the theory that
Records of the Three Kingdoms in Plain Language is a direct record of storytelling is not correct.”
40. Idema and West (2012, xvi–xvii); Chen Xianghua (1995, 364–74).
41. If A Completely Illustrated Plain Tale: The Book of the Han on the wars between Liu Bang and
Xiang Yu would have been preserved alongside A Completely Illustrated Plain Tale: A Sequel to the
Book of the Former Han, their combined length would have easily surpassed that of Records of the
Three Kingdoms in Plain Language. This would correspond to the great popularity of episodes from
this period on the Yuan stage. See Idema (1990).
42. The date of printing is not necessarily the date of composition. Xiao Xiangkai (1997, 52)
considers Records of the Three Kingdoms in Plain Language a work of the eleventh century, but does
so because this is the period for which we know of the existence of storytellers specializing in “the
events of the Tripartition.” Other scholars have proposed a later date (the Jin dynasty, 1115–1234) or
even an earlier date (the Tang dynasty). The current text of Records of the Three Kingdoms in Plain
Language can only date from the twelfth century or later, because it includes a text by the famous
Song dynasty statesman and poet Su Shi (1036–1101). Lu Shihua (2009, 128) argues that the
present text of Records of the Three Kingdoms in Plain Language can only date from the Yuan
dynasty (1260–1368) because it includes a qu-song but that may be too strict. Some scholars who
date the composition of Records of the Three Kingdoms in Plain Language to the Yuan dynasty read
the text’s support for Liu Bei and its negative characterization of Cao Cao as an expression of
Chinese patriotism and anti-Mongol sentiment. See for instance Hu Shiying (1980, 727); Zhang Bing
(2005, 61–66). Kim Bunkyō (1993, 89–93) has pointed out the problematic nature of such an
interpretation by reminding us that Liu Yuan, whose Han dynasty (304–329) is hailed as a revival of
the earlier Han dynasties in the final pages of the Records of the Three Kingdoms in Plain Language,
was not ethnically Chinese but belonged to the Southern Xiongnu. See also Kim Bunkyō (2008).
43. Jiangsusheng shehui kexueyuan (1990, 28–29).
44. Luo Xiaoyu (2010, 140–49).
45. Luo Xiaoyou (2010, 150–51). The most obvious example is the summary account of the
“Meeting to Discuss Heroism,” which is encountered early on in the second part. We only learn that
Liu Bei is so scared that he drops his chopsticks, but not what scares him to such an extent. From
other sources we know that it is Cao Cao’s declaration that he only considers Liu Bei a hero on a par
with himself. Zhou Zhaoxin (1995a, 312–15).
46. For a typeset edition of The Story of Hua Guan Suo, see Zhu Yixuan (1997, 1–67). For an English
translation, see King (1989). Also see Inoue (1989).
47. For an English translation of Guan Hanqing’s In a Dream to Western Shu (Xi Shu meng ),
see Idema and West (2012, 296–315; a translation from the corresponding pages from The Story of
Hua Guan Suo may be found at pp. 367–73). Also see Ueda Nozomu (1995) on Yuan and Ming
stories not included in the plain tale and the novel.
48. Børdahl (2013, 41–42) points out that the expressions queshuo and shuo (see “A Note
on the Translation”), which often mark shifts of topic, are, in some cases, preceded by an empty
space in the text of the Sanguozhi pinghua as if to highlight the beginning of a new chapter or
paragraph. But not all occurrences of queshuo and shuo are marked in this manner, however, and
close scrutiny suggests that these empty spaces should rather be considered as belonging to the
category of those empty spaces used to set off the beginning and end of lines of verse (such poems
are often used to conclude a major episode).
49. Cf. Ashida (1974, 411).
50. There are three places in the text where the signpost either lacks the black box or is otherwise
embedded in the text.
51. These set narratorial phrases are in Western scholarship often called “storytellers’ phrases” and
are seen as a relic of the origin of vernacular Chinese fiction in professional storytelling. For an
exhaustive study of use of the phrases in early vernacular literature, see Børdahl (2013).
52. Li Fuqing (1997b, 97–114) analyzes in considerable detail how the description of physical
features and clothing is used to indicate status and character. Shōji Kakuitsu (1991) provides a survey
of the bewildering variety of names by which the main characters are indicated and their use in the
text, as well as the curse words and invectives that are used to describe them. He notes that only the
physical features of Liu Bei and his closest associates are described, and that only they are allowed to
recite poems to express their innermost feelings.
53. Records of the Three Kingdoms in Plain Language shows no interest in Cao Cao’s qualities as a
poet. Cf. Diény (2000). It does, however, ascribe a number of poems and songs to Liu Bei in order to
strengthen his characterization.
54. Zhuge Liang’s opponents will also often put him down as a mere farm boy, a “country hick” or
“village cowherd.” Even Liu Bei may be cursed as “a starving peasant” or a “crafty barbarian.”
55. Yang (1980). While the novel in outline follows the plain tale it also drops a few episodes. From
the first part of the plain tale the novel omits three episodes that highlight the heroics of Zhang Fei;
from the second part it omits Zhou Yu’s failed attempt on the life of Liu Bei at Yellow Crane Tower;
and from the third part it omits the rebellion of Pang Tong following his appointment as
magistrate of Liyang . See Sun Kaidi (1965, 114; originally published in 1934).
56. Plaks (1987, 407–76) provides a detailed discussion of the major personalities in (various
versions of) the novel, and consistently contrasts their characterization in the novel with that in
historiographical sources and in Records of the Three Kingdoms in Plain Language. While scholars
agree that Records of the Three Kingdoms in Plain Language had a formative influence on the later
novel, the novel did not directly borrow from the text of the plain tale. In this respect Sanguo yanyi is
different from the many other historical novels of the sixteenth century that often copy verbatim large
sections of earlier plain tales.
57. For those who have read the novel, the plain tale’s description of the battle at Red Cliff is quite
disappointing. When discussing Records of the Three Kingdoms in Plain Language, Lu Hsun (1959,
163–66) quotes its account of the battle and comments: “The brevity and crudeness of the language
are reminiscent of a prompt-book, for the story-teller would fill in the bare outline with dramatic
details to entertain the audience. But the fact that this book has illustrations shows that it must have
been printed as reading material.”
58. Wang Lijuan (2007, 63–212) provides an exhaustive study of the various versions of the legend
of Diaochan.
59. Lü Bu and Guan Yu are linked by the fact that the latter acquires Lü Bu’s superb horse, Red
Harrier. They are contrasted in some stories that show Guan Yu beheading Diaochan.
60. As a result, her final failed attempt to return to her own family and subsequent suicide strike one
as out of character.
61. Liu Bei’s preference for his generals over his family is foreshadowed in the famous episode of
Zhao Yun saving his son during Cao Cao’s campaign against Liu Bei and Sun Quan. As Liu Bei’s
troops flee from Cao Cao’s advancing army, Liu Bei’s dependents are separated from their guards.
When Zhao Yun risks his life to find them, he can rescue Liu Bei’s infant son. When he presents the
child to Liu Bei, as narrated in the second part of the plain tale, the father dashes it to the ground
because it has endangered the life of a fine general. In The Story of Hua Guan Suo the prevalence of
the sworn brotherhood over all other ties is highlighted by the detail that Zhang Fei and GuanYu
(who are married, in contrast to Liu Bei who is single at the time) kill each other’s dependents in cold
blood so none of them will have any second thoughts.
 {xxxi} A Note on the Translation

For our translation, we have used the original Yu Family printing, which is
available in high-quality images from the Digital Archives of the National
Library of Japan.1 The text is large and for the most part extremely clear.
We have keyed our translation to the original text; the original page
numbers will appear within single square brackets. The aim of working
from the original was to avoid the pitfalls that have plagued photographic
reprints of the original, which are invariably blurred (also because they are
reduced in size), as well as the miscopyings and mispunctuations one finds
in modern typeset editions. We have referred often to Zhong Zhaohua’s
emendations to the text, and we have followed his changes when they
seemed logical. Because he provides a complete list of changed characters
and words, readers who want to delve further into the language of the text
should consult his diligent work.
There are two types of word errors, generally, that stem from the original
text: mistranscriptions of characters and the use of homophonic variants.
The mistranscriptions are of various types. This is due in part to the fact that
the text uses full-form characters as well as short-form characters (many of
which are in use today in the simplified characters of the People’s Republic
of China), and to the fact that when the text was cut in the woodblocks,
there was probably a gap between the writer of the text and the cutter, who
was probably illiterate. Many mistakes are due to sloppy copying (ai for
wen , for instance). The homophonic variants really do not pose much of
a problem, if we remember we are dealing with a story cycle (not a text)
that adapts the conventions of oral performance; as long as the
pronunciation is accurate (when heard or read), it is completely
understandable.
Much of modern textual work on the Plain Tales has been involved in
trying to rationalize the words, phrases, and events of the narrative on the
basis of the different versions that precede it in historical sources, or
postdate it in other fictional forms. This is stimulated by a desire to restore
the tale to some hypothetical and virtual form of historical accuracy. While
checking against other sources can occasionally unearth information that
will help with understanding events, more often than not it proves a useless
enterprise: the Plain Tales are not works of historical scholarship.
Furthermore, the audience for which it was created was no more interested
in “real” history than audiences who watch films or read books that are
fictional re-creations of historical eras. The “feel” of reality was enough,
and as agents within a fictional text, the characters are {xxxii} not obliged
to operate by the rules of real history, whatever they may be. In this sense,
the Plain Tales are a fine read against the grain of historical accuracy that is
so valued in Chinese narrative. Rich in the use of formal elements of the
historiographical tradition (dates, home area, public office) the actual facts
of these elements are often wrong.

_____________________________
1. http://www.digital.archives.go.jp/
{xxxiii}
 {xxxiv}

{1} [1a] Newly Printed by the Yu Family at Jianyang

New and Illustrated: Records of the Three Kingdoms in Plain Language

Newly Printed in the Zhizhi Period

 Newly Printed in the Zhizhi Period: The Completely Illustrated
Plain Tales, Records of the Three Kingdoms, Part I

East of the River was the land of Wu, Shu’s was among the Streams,1
And Cao Cao, brave and heroic, held fast the Central Plain.
It is not that these three divided up the sub-celestial realm—
They returned to take vengeance for their murders.

Sima Zhongxiang’s Karmic Dream

Long ago there was a certain Liu Xiu, a man of Whitewater Village down in
Dengzhou, Nanyang; he was known as Wenshu, and his imperial name was
August Emperor Guangwu of the Han.2 Now Guang means the rays of the
sun and moon that shed their light into the subcelestial realm; wu is
“might,” and it was the way by which he had won the world. This was why
he was called Guangwu, “shining might.” He built his capital at Luoyang
and had ruled there for five years. Then, on a particular day, as he wandered
at leisure he went into the Imperial Park. Once he got inside there were rare
trees and exotic flowers and his pleasure of viewing them knew no end.
The emperor asked his high officials, “Must we be indebted to Wang
Mang for this garden’s construction?” His eunuchs replied, “This has
nothing to do with Wang Mang. It is in fact due to the pressure put on the
common folk to transplant, buy, take cuttings, and graft these flowers. We
owe everything to the labors of the people of Luoyang, the Eastern
Capital.”
{2} “Transmit Our edict,” said Guangwu, “Tomorrow is the Festival of
Clear and Bright, the third of the third month,3 so put this up on a yellow
plaque: ‘We will enjoy the pleasure of this garden with the common folk.’”
When the next day arrived, the Hundred Surnames all enjoyed the
flowers inside the Imperial Park, and they occupied all of the kiosks and
halls.
Suddenly a single student came on the scene. In a white robe, a horn-
studded belt, a gauze cap, and black boots—his left hand swinging a pot of
wine; his right carrying an earthen bowl; and his back bearing his zither,
sword, and book basket—he came to enjoy the sights of the Imperial Park.
But he got there late and all the kiosks and halls were so full there was no
place to sit. Our young burgeoning talent went straight ahead for a hundred
paces or so and saw a cypress that would block the wind. And there he put
his wine pot and earthen bowl down on the lush and green carpet of grass
and unslung his sword, zither, and book basket. He settled himself down
and poured some wine into the earthen bowl. After one drink he was thirsty
for more, and he drank three more bowlsful, one after the other. Before you
could snap your fingers, he was already half sloshed.

As soon as one bowl of Bamboo Leaf4 pierces through his heart, Two peach
blossoms appear on his face.

Now what was the name of our burgeoning talent? His surname was Sima,
and he was known as Zhongxiang. Because he became a bit dejected while
sitting there, he played a tune on his zither, and when done, opened up his
book box and [1b] took out a book. He opened it to read, and reached the
part about how the doomed Qin had pushed roads across the Five Ranges in
the south,5 built the Great Wall in the north, filled in the Great Sea in the
east, and in the west had constructed the Epang Palace, and how it had
buried the scholars and burned the books. When Zhongxiang saw this, he
could not suppress his fury and violently cursed, “The First Emperor was a
ruler without the Way. Had I, Zhongxiang, been the ruler, of course I would
have ensured that the common people of the whole world were overjoyed!”
He also said, “The First Emperor oppressed the common people until eight
or nine out of every ten died, none were given a decent burial, and the
stench offended Heaven and Earth! Since {3} the Lord of Heaven made the
First Emperor a ruler, even he must have some blind spots. Now in the
south the First Emperor feared that Xiang Yu had already turned against
him at Langya and then, in Xuzhou, Liu the Third6 of Feng in Pei had
‘roused righteous men’ to revolt. Blades and weapons suddenly sprang up
throughout the world—troops suffered the hardship of belting on armor, and
people suffered the misery of dirt and ashes.”
As soon as he had said this more than fifty men, clad in brocade gowns
and flowery caps, suddenly emerged from behind a trellis of wild-roses and
marched over to him. At the head were two rows of eight men in purple
vestments and golden belts, with ivory tablets and ravenblack boots. One
official of some rank or another, with a purple and gold fish7 hanging from
his belt, addressed him as follows, “At the behest of the Jade Emperor we
request Your Majesty to accept these six major ritual gifts.” Zhongxiang
saw that another person was holding a golden-phoenix plate, on which six
objects had been placed.8 These were the Equal-to-Heaven Cap, the
Coiling-Dragons Robe, the Without-Worries Shoes, a scepter of white jade,
a belt made of jade, and the precious sword of authority. After he was
persuaded to do so, Zhongxiang accepted all of these objects and
immediately put them on; he then sat down, holding the white-jade scepter
in his hands.
The eight men told him, “This is not a proper place for Your Majesty to
sit.” They had barely finished speaking when, all of a sudden, among those
fifty men in their flowery caps several lifted up and brought over a dragon-
phoenix palanquin which they put down in front of him. “May Your
Majesty ascend the chair!” Zhongxiang lifted the hem of his yellow gown,
ascended the chair and sat in a dignified manner. The eight men divided
themselves into two rows to head the cortege, while behind him the fifty
with flowery hats surrounded him in a dense group. They walked all the
way to a palace hall that was covered with glazed tiles, and someone said,
“We invite our king to dismount.”
He ascended the hall and saw a Nine-Dragon Throne. Zhongxiang sat
down there in a dignified manner to receive congratulatory hurrahs of
“Long live our Majesty,” and when that was done, the eight men addressed
him as follows, “Your Majesty knows the crimes of Wang Mang: he killed
Emperor Ping with poisoned wine, executed the infant Ying, did in the
empress, and cleaned out their palace apartments, killing who knows how
many palace beauties.9 These {4} were his crimes. Later he established the
house of Xin and became emperor. He took on the adult name Great Lord.
[2a] But eighteen years later Liu Xiu from Whitewater Village in Dengzhou
in Nanyang rose in righteous rebellion, smashed that Wang Mang, and
snatched the empire back again. He deposed Wang Mang, who is now
banished and locked away in a courtyard. Currently, His Majesty Guangwu
occupies the throne. For his ministers he has in support the lords of the
twenty-eight fixed constellations and the four Dipper stars to serve him as
generals and commanders. Guangwu is the Great Thearch of Purple
Tenuity.10 Now a sky cannot have two suns; a people cannot have two
rulers. But you, our king, have here accepted this appointment. Yet you
have neither troops nor generals. Not only do you lack wisdom and
cunning, you don’t even have the strength to truss up a chicken. If
Guangwu learns about this, leads his troop and officers and appoints a
grand marshal, you think he’ll let you off?”
Zhongxiang asked, “My ministers, what would you have Us do?”
The eight men said, “Your Majesty should try out the Nine-Dragon
Throne but if you look up at the plaque below the eaves, you’ll see this is
definitely not the Major Audience Hall with its nine bays.”
When Zhongxiang looked up, he saw a red-lacquered plaque with four
golden characters as big as dustpans: “Hall for Avenging Wrongs.”
Zhongxiang dropped his head and pondered the meaning but couldn’t figure
it out. So he asked, “My ministers, We do not understand what this means.”
The eight men replied, “Your Majesty, this is not the world of light, but
that of the shades. A moment ago when you were reading about the doomed
Qin in the Imperial Garden, you vilified the First Emperor and complained
about the intentions of Heaven and Earth. Your Majesty, is it not said that
those who follow the Buddha are reborn above into paradise, but those who
do not are reborn below into hell? Just consider the people who lived in the
times of Yao, Shun, Yu, and Tang: they deserved to be rewarded, just as the
people of Jie and Zhou deserved to be slaughtered.11 Our king does not
understand the meaning in all of this: a ruler without the Way has a people
who have committed a karmic sin. This is precisely by design of the Lord of
Heaven. By vilifying the First Emperor you displayed your resentment
toward the Lord of Heaven. {5} The Lord of Heaven ordered us to summon
Your Majesty and make you the Lord of the Underworld in the Palace for
Avenging Wrongs. If you can pass sentence on these underworld cases
without any partiality, he will make you the Son of Heaven in the world of
light, but if you judge them wrongly, you will be banished to the backside
of the Mountain of Darkness and never again see human form.”
Zhongxiang said, “Which cases do I have to judge?”
The eight replied, “Your Majesty, you only have to transmit your sagely
order and there will be people who submit a statement and make an
accusation.”
“Well, I’ll do as you say.” When he transmitted his sagely order, there
was indeed a man who loudly shouted, “I’ve suffered a wrong!” In his hand
he held a single-page writ of accusation.
When Zhongxiang [2b] had a better look he saw a man with a golden
helmet on his head, wearing golden chain-mail armor, dark red battle dress,
and shiny black boots.12 Blood flowed from his neck and stained his gown
below. He kept on shouting, “Injustice” and “I’ve been wronged.” When
Zhongxiang accepted his written statement and unrolled it on his desk to
read it, it turned out to be a case from 205 years past. “How in the world do
you think I can pass sentence on such a case?” And he swept the documents
from his desk. But the person lodging the accusation said, “I am Han Xin. I
suffered at the hands of Gaozu of the Former Han. I hail from Huaiyin and
achieved the rank of King of the Three Qi. I accumulated ten great merits. I
pretended to construct a trestle road as a diversion so I could secretly cross
Chencang and chase Xiang Yu to Raven River, where he wound up slitting
his own throat. But while I made this major contribution to the
establishment of the Han, Gaozu never even thought about ‘carrying the
axle, pushing the wheel, or speaking an oath.’13 He pretended to go off on a
visit to Yunmeng and had Empress Dowager Lü trick me into going to
Weiyang Palace where I was slain by a blunt sword. I died through
injustice, so please act on my behalf!”
A startled Zhongxiang exclaimed, “What should I do?”
“Your Majesty,” replied the eight men, “if you cannot quickly decide a
case like this, how can you ever become a Son of Heaven in the World of
Light?”
Before their words ended, he heard yet someone else shouting, “I, too,
have suffered an injustice.” He saw a person with unbound hair and a red
headscarf, dressed in a green robe under willow-leaf armor, and wearing
shiny black boots. In his hand was a writ of accusation, and every single
word that came out of {6} his mouth was “injustice” or “wronged.” When
Zhongxiang asked him for his name, he replied, “I am Peng Yue. I was
appointed King of Great Liang and was one of the liege lords under the
command of Gaozu of the Han who, together with Han Xin, established the
Han. But when peace finally reigned throughout the world, there was no
further need for me either. I was tricked into coming to the capital where I
was minced into a meat paste and fed to the liege lords throughout the
empire. That is the wrong I have suffered.”
Zhongxiang accepted his statement.
Then he saw yet another, also holding a statement in his hand who
shouted that he too had suffered injustice. Zhongxiang saw that this man
wore a lion-head helmet, a green battle dress under dragon scale armor, and
green boots. When asked for his name, Bu replied, “I am a vassal of Gaozu
of the Han, and my name is Ying Bu. I was appointed as King of Jiujiang.
The three of us—Han Xin, Peng Yue, and I—established the empire of Han:
twelve emperors who have reigned for more than two hundred years. Such
was our great merit! But in a time of peace they had no use for me either
and Gaozu cunningly betrayed the three of us, tricked us into entering the
palace, and had us all killed. Such are the wrongs we have suffered. May
Your Majesty act on behalf of the three of us.”
The emperor grew furious [3a] and asked the eight men, “Where is that
Gaozu of the Han?”
“Your Majesty has only to summon him,” they replied.
“Do that now,” said the emperor.
They transmitted his sagely order and summoned Gaozu of the Han. In
no time at all the latter arrived in front of the steps and threw himself
prostrate on the ground. Zhongxiang interrogated him as follows, “The
accusations of these three people are all the same. Han Xin, Peng Yue, and
Ying Bu established the empire of the Han, but you cunningly accused them
of rebellion and had them killed. What kind of principle is that?”
Gaozu replied, “The Yunmeng Hills have thousands of sights, so I went
there to amuse myself. Empress Lü was temporarily in charge of the
country and I have no idea whether these people rebelled or not. Please
summon the empress dowager and we’ll see what the truth is.”
When the empress dowager had been summoned, had made her bows
below the steps, and had wished Zhongxiang a myriad years, he
interrogated her as follows, “When you were temporarily in charge of the
country, you cunningly accused these three men of rebellion and
intentionally slew these meritorious officials. What should be your
punishment?”
The empress dowager glared at Gaozu and said, “Your Majesty,14 when
you had become lord in charge of the mountains of rivers and of the altars
of earth {7} and grain,15 I said to Your Majesty, ‘At present peace reigns, so
why are you so unhappy?’ And your sagely intent was thus expressed, ‘You
don’t know what’s bothering me. The Hegemon-King had a roaring and
booming voice but these three men pursued him until he slit his throat at
Raven River. These three are like sleeping tigers—what shall We do once
they awaken? Now We will leave for Yunmeng to amuse ourselves, leave
you to temporarily act as emperor, and you can trick these three into coming
to the palace where you can do away with them.’ Your Majesty, why don’t
you confess to this now instead of blaming everything on your lowly
handmaid?”
Zhongxiang asked Gaozu, “These three men did not rebel but were
deliberately murdered. Why don’t you submit a confession?”
“Your Majesty,” said Empress Lü, “it’s not my word alone. There is still
another witness.”
When Zhongxiang asked who that was, she said, “That would be Kuai
Che, also known as Wentong. If Your Majesty summons him, you will get
to the bottom of it.”
After Kuai Wentong was summoned, arrived at the hall, and finished his
dutiful ritual obligations, Zhongxiang asked, “Did these three men rebel?
You are the witness!”
Wentong replied, “There is a poem that describes this. The poem goes,

How pitiable, that lord of Huaiyin—

Capable of sharing the anxieties of Gaozu:
The Three Qin were rolled up like a mat,
And Yan and Zhao vanquished in a snap.
At night he dammed up a river with sacks of sand;16
In daylight he decapitated the rebel vassal.17
But because Gaozu was neither firm nor resolute
Empress Lü decapitated the liege lords all.

After each of their confessions had been taken, Zhongxiang wrote a

memorial to inform the Lord of Heaven. The Lord of Heaven immediately
dispatched a {8} divine warrior in golden armor who presented him with
the divine ordination18 to carry out the will of Heaven. That edict of the
Jade Emperor read:

For Zhongxiang to note:

Gaozu of the Han betrayed his meritorious ministers, so We will have

these three men share the empire of the Han: Let Han Xin take as his
share the Central Plain and become Cao Cao; let Peng Yue become Liu
Bei in Sichuan; let Ying Bu take as his share the area east of the River
and, as King Wu of Changsha, become Sun Quan. Gaozu will be reborn
in Xuchang and become Emperor Xian, and Empress Lü will become his
wife, Empress Fu. Let Cao Cao occupy the Moment of Heaven, imprison
 Emperor Xian, and kill Empress Fu to take revenge. East of the River let
Sun Quan occupy the Advantages of Earth—all those many mountains
and rivers! Let Liu Bei in Sichuan occupy the Harmony of Men. Liu Bei
will be able enlist the courage of Guan Yu and Zhang Fei, but he will
need a man of cunning and strategy. Let Kuai Wentong be reborn in
Jizhou (which is Langya Commandery) as Zhuge Liang, also known as
Kongming. His name in the Dao will be Master Sleeping Dragon and he
will build himself a hermitage and live on Sleeping Dragon Ridge in
Dengzhou in Nanyang. This place will be where lord and vassals unite
and together establish their state. They will proceed to Yizhou in Sichuan
where they will establish their capital and reign as emperors for over fifty
years. Let Zhongxiang be reborn in the world of light as Sima Zhongda.
He will gather in all three kingdoms and rule alone over the subcelestial
realm.

Thus ends the verdict of the Lord of Heaven.

The Origin of the Yellow Scarves19

Now we will speak about something else. Right now, in the year in which
Emperor Ling of the Han has ascended the throne, bronze and iron both
rang out. The emperor, startled, asked his high ministers, “Has such a thing
ever happened in past?”
{9} The Prime Minister Huangfu Song stepped forward from the ranks
and replied, “This has happened twice from the ancient times of Pangu to
the present. Long ago in the Spring and Autumn period, when the Son of
Heaven, who was King of Qi, ascended the throne, bronze and iron rang out
for three days and nights. The King of Qi then asked his great ministers,
‘What good or bad fortune is foretold by this ringing of bronze and iron?’
He asked three times but all of the high ministers were silent. The King of
Qi was furious and summoned the grandee Ran Qing, ‘You are a grandee,
why is it you cannot explain this? I will set a term of three days for you;
you must reveal the fortune it signals, good or bad.’ The King of Qi did in
fact not receive his ministers in audience for three days.
“But, when Ran Qing returned home, he was deeply depressed and
unhappy. A family tutor at his mansion noticed the sorrowful expression on
his face and asked the grandee, ‘Why are you so unhappy?’ The grandee
answered, ‘Teacher, I will tell you. All the bronze and iron in the world are
ringing, and when my lord and king asked me whether this predicted good
fortune or bad, I truly had no idea. Now the King of Qi has given me a time
limit of three days, and if I do not come up with an answer I will be charged
with a crime.’ [4a] The teacher replied, ‘This is easy!’ The great grandee
exclaimed, ‘If you know the answer, you will be appointed to office and
receive a substantial reward. What of the fortune, good or bad, of this
affair?’ The teacher replied, ‘It doesn’t predict any good fortune or bad. It
only predicts that a mountain will collapse.’ ‘How do you know?’ The
teacher explained, ‘Bronze and iron are the offspring of the mountains and
mountains are the progenitors of bronze and iron.’”
“The great grandee Ran got the meaning and immediately went to court
to report to the King of Qi. The latter assembled his ministers, and grandee
Ran stepped forward from the ranks and reported, ‘The ringing of bronze
and iron does not predict any fortune, good or bad.’ The King of Qi asked,
‘What?’ He replied, ‘It predicts that a mountain will collapse.’ The ruler
asked, ‘How do you know?’ And he reported, ‘Bronze and iron are the
offspring of the mountains, and the mountains are the progenitors of bronze
and iron. It is neither lucky nor unlucky.’ The King of Qi was highly
pleased and promoted Ran Qing to higher office and rank, to be held by his
sons and grandsons without interruption. Only a few days after Ran Qing
had reported to the throne, one of the peaks of Flowery Mountain collapsed.
So, Your Majesty, this affair does not predict good fortune and does not
predict misfortune.”
It was no more than a few days after he had finished speaking that a
memorial arrived from Yunzhou, stating that a hole had appeared at the foot
of Mt. Tai, as big as a cartwheel and of unknown depth. The court
dispatched an emissary to investigate whether this was a lucky or unlucky
event.

{10} Let us now talk about something else. At some distance from this hole
there was a mountain house, the mountain retreat of Old Master Sun. The
Old Master had two sons, the elder of whom took charge of the farm, and
the younger of whom studied his letters. He was going to be schoolteacher
Sun, but he suddenly contracted leprosy: all his hair fell out and his body
never stopped oozing pus and blood. The stench offended his father and
mother, and that’s why they built him a thatched hut more than a hundred
paces behind the farm.
His wife brought him his food each day. Now one day, his wife brought
him food early in the morning. It was the third month of spring and when
she arrived at the door of his hermitage and saw the full extent of his
illness, she could not bear to look at him. Covering her mouth and nose
with her hands, she gave him his food but leaned away from him.
The schoolteacher heaved a sigh and said, “A wife is supposed to share
your house when alive and your coffin when you’re dead. But—if even my
wife can’t stand me when I’m alive, how much less can others? What’s the
point of living even a day longer?”
After he had finished speaking and his wife had gone away, he came to
the conclusion that he should find a place to die. He took the crutch he used
in his illness, and put on his pus- and blood-stained shoes. After going
twenty or thirty steps straight north from his hut, [4b] he saw a hole. He put
down the staff, took off his shoes, and straightaway jumped into it. But
inside the hole it seemed like someone carried him on his back and laid him
on the ground. He completely lost consciousness. After a long time, he
suddenly came to and opened his eyes to have a look; straight above him he
saw one dot of blue sky.
The schoolteacher said, “A moment ago I was desperate to kill myself, I
never expected I would escape death!”
After a time in utter darkness, he gradually saw a bright light straight
north of him. About ten paces after he started walking in that direction, he
saw a staff of white jade. But when he tried to take hold of it, it turned out
only to be two leaves of a gate standing ajar. When he pushed that grotto
gate open with his shoulder, it was as bright as day. He saw a stone mat and
sat down on it to rest for a while. Tired, he lay down on the stone mat and
fell asleep. But when he suddenly stretched himself out, his feet touched
something soft. And when he arose with a start, what did he see? Doomed
to an end was the four-hundred-year-old empire of Han, just because this
schoolteacher reached this very spot!
The schoolteacher saw a huge python, a motionless coil—from fat head
to tapered tail—three foot tall. Immediately that python escaped into the
grotto. The schoolteacher followed the snake inside the cave, and although
he didn’t see the snake, he did see a stone casket. He lifted the lid of the box
with his hands and found one scroll of text. He took it out and read it from
beginning to end. It turned out to be a text to cure all 404 diseases. It made
no use of the eight {11} kinds of eight herbs of the Divine Husbandman. It
did not involve refining, matching, or curing with heat. Nothing was turned
into pills or powders. No activants were used to get it down. On every page
were prescriptions for cures; for every kind of symptom all you needed was
a cup of water over which the correct incantation had been spoken—you
would be cured as soon as you swallowed that! When he came to the
passage on leprosy, the method prescribed was a famous prescription for
treating the disease of our schoolteacher. When he saw this, he was filled
with joy. He took the heavenly book with him, left through the grotto gate,
and sat down on the stone mat.

Now our tale divides again. When the wife of the schoolteacher brought his
food again, she couldn’t find the schoolteacher. She came back and
informed her father-in-law and he immediately set out with the elder son
and others to search. When they came to the hole, they saw his staff and his
pus- and blood-covered shoes. The father and mother, elder brother, and
wife circled around the pit, weeping. After some time they could hear
someone calling from the pit. They fetched a rope and lowered it into the
hole with a branch at its end to save the schoolteacher. When he appeared
from the pit and father and son saw each other, they were deeply moved.
[5a] When they were done crying, the schoolteacher said, “Father, don’t be
sad and anxious anymore. I found a heavenly book that will cure my
symptoms.” They immediately returned to the farm together. He took one
cup of pure water and swallowed it into his stomach when he finished
reciting the incantation. His leprosy was immediately cured, and his hair
and skin went back to their original state! Later, no matter the distance,
people came to seek treatment and every one was cured. They offered him
as a contribution for his services cash and goods worth more than twenty
thousand strings20 and he ordained roughly five hundred or more disciples.
One of these was called Zhang Jue. One day he took his leave from his
teacher, “My old mother back at home is advanced in years, so I request a
leave of absence in order to take care of her.”
The schoolteacher replied, “When you leave I will give you a book with
famous prescriptions, so it doesn’t matter if you don’t come back.”
The teacher instructed Zhang Jue, “With these famous prescriptions you
will cure all complaints and diseases in the empire; but never ask people for
money. Abide by my words.”
After Zhang Jue had left his teacher and returned home, he treated
diseases in all places he passed through; everyone was cured but he never
asked for money. Zhang Jue said, “If I cure you, all of your young and adult
males will follow me as my disciples—there is no claim on the old.”
{12} Zhang Jue roamed through the four directions and ordained more
than a hundred thousand disciples. He recorded their surnames and names
and their places of registration, and also the cyclical year, month, and day of
their birth. “If I want you for a mission, when that written notification
arrives report with the speed of fire. And all of my disciples must abide by
the meeting time. Anyone who does not come upon receiving the
notification will certainly die. All those who do not follow me will be
visited by disaster!”
So suddenly, on that day the Yellow Scarves rose in revolt against the
Han, Zhang Jue’s notifications were dispatched throughout the whole world
and within a few days his disciples had all arrived at Zhang Family Village,
thirty li to the east of the capital of Guangning Commandery in Yangzhou
Prefecture. Zhang Jue and two of his nephews gathered the whole in this
village, and when they had all assembled, he shouted, “You two younger
brothers bring them over here!”
The two younger brothers brought out four bundles, and when these were
opened in front of Zhang Jue, they were filled with yellow scarves, which
they distributed to the troops and the captains wore … Yellow Scarves.
Zhang Jue instructed his troops as follows, “Today the empire of the Han
dynasty is bound to end and I am bound to rise. If one day I will be lord, the
greatest soldiers will be appointed as princes, the lesser ones will be
appointed as marquises, and even the bottom rung will be appointed as
prefects.”
When this meeting was over, they had no armor or weapons at all. In the
beginning they all wore soft battle clothing and carried only rakes and [5b]
clubs. But the leaders, Zhang Jue and the two others, led these one hundred
thousand men and first took Yangzhou to provide battle dress and armor,
bows and swords, saddles and horses, and all other weapons.
Setting out with their army, they started from Guangning Commandery in
Yangzhou Prefecture. Whenever they came upon some village, they took
that village; whenever they came upon some district, they took that district
—they took countless counties and prefectures. Whenever they came to a
place, whole families were enlisted in their rebellion. Those who did not
comply were either killed, conquered, or enslaved. Occupying two-thirds of
the Han empire, the Yellow Scarves had amassed three hundred sixty
thousand people in total.

Here our tale divides. One day Emperor Ling of the Han received his
ministers in audience and deliberated with the high ministers, saying, “Now
the Yellow Scarves number three hundred and sixty thousand in total. What
is to be done?”
Huangfu Song stepped forward from the ranks and reported, “This
humble minister now makes this request, ‘Your Majesty, if you will accept
my three conditions, the Yellow Scarves will disappear by themselves.’”
{13} When the emperor asked which three conditions, he replied, “The
first condition is that you promulgate throughout the empire an edict of
pardon for all violent criminals who rose in rebellion and gathered in the
mountain forests, who attacked and plundered fortified cities; secondly for
all those who killed or harmed imperial officials, attacked or robbed
granaries and storehouses, and wounded or harmed the common people;
and thirdly for all those who are willing on their own initiative to leave the
Yellow Scarves to become good subjects of the state—but should they not
leave the Yellow Scarves, they will be slain along with their whole family.”
The emperor said, “We will follow your proposal and on the day the
proclamation of pardon arrives, all will be pardoned and forgiven.”
Huangfu Song also reported, “At present the troops of the Han dynasty
are weak, their officers few, whereas the Yellow Scarves are so powerful in
numbers they cannot be defeated. Your Majesty can summon a volunteer
army throughout the empire, promising them high office and great rewards.
You should also appoint a grand marshal, and provide him with blank
patents of office21 and great rewards for the troops. ‘When great rewards
are offered, men of courage will come forward.’”
When the emperor asked, “Who should be the grand marshal?” the
answer was, “If there is someone else who can be grand marshal, then hand
the seal of office to him, but if there is no one else, I myself will go.”
The emperor said, “Well, then you take the seal.”
He provided him with blank patents of office and treasure, and made him
commander of the one hundred thousand men of the Imperial Guard. He
gave a royal order, “Even though you lack the Simurgh Conveyance,22 act
at your own discretion, as if it were Us in person.”
After Huangfu Song had received the golden seal and had become grand
marshal, he took his leave of the emperor and left the court leading his
army.

The Oath in the Peach Garden

Here our tale divides. A poem reads,

The dangerous tilt of the house of Han was surely serious,

The rebellious chaos of the Yellow Scarves spread all over the East.
If it hadn’t been for the lawless deeds of these bandit traitors,
How could those “true beams to support heaven” have ever appeared?

{14} The story goes that there was a man named [6a] Guan Yu, also known
as Yunchang. He hailed from Xieliang in Puzhou in Pingyang. From birth
he had the eyebrows of a god and the eyes of a phoenix, a curly beard and
face like purple jade; he was nine feet, two inches tall23 and loved to read
the Springs and Autumns and Zuo’s Commentary. When he studied the
biographies of rebellious vassals and evil sons, he was filled with a furious
hatred. He killed a district magistrate because the latter coveted wealth and
loved kickbacks and greatly harmed the common people. Fleeing for his life
he became a fugitive and went to Zhuo Commandery.

If he would not have fled for his life, drifting and roaming about,
How would he have met friends who prized righteousness over gold?

The story goes that there was a man named Zhang Fei, also known as Yide,
who hailed from Fanyang in Zhuo Commandery, in the princedom of Yan.
From birth he had the head of a panther and round eyes, the jowls of a
swallow, and the whiskers of a tiger; his body was more than nine feet tall,
and his voice resounded like a huge bell. He came from a very rich family.
Because he was idly standing outside, he saw Lord Guan pass through the
streets: his physique was extraordinary, but his clothes were in tatters—he
was not a local man. So he stepped forward and greeted Lord Guan with a
bow, which the latter returned.
 Fei asked him, “Sir, where are you going? And where are you from?” As
Lord Guan was being questioned by Fei, he saw that Fei too had an
exceptional physique, and said, “I hail from Xiezhou in Hedong. Because
the local magistrate treated the people most cruelly, I killed him. Not daring
to stay in my village, I came to this place to seek safety.” When Fei heard
this tale, he realized that Lord Guan had the ambition of a true man, and
invited him to a wineshop. Fei ordered up some wine, “Bring us two
hundred coins worth of wine.” The owner brought it promptly.
Lord Guan saw that Fei was a serious person. As they were talking and
speaking, they were in complete harmony. When the wine was finished,
Lord Guan wanted to buy the next round, but he had no money with him
and looked uncomfortable about it. Fei said, “How could that be?” And he
ordered the owner to bring more wine. The two of them toasted each other,
and as they were talking found themselves in such harmony that they
resembled old friends. Indeed:

The day that dragon and tiger meet with each other
Is the time when lord and vassal happily unite.

{15} Let us begin to speak about a man named Liu Bei, also known as
Xuande. He hailed from Fanyang in Zhuo Commandery and was the worthy
seventeenth-generation great-grandson of Emperor Jingdi of the Han and a
descendant of Liu Sheng, the Quiet Prince of Zhongshan. From birth he had
a dragon face, an aquiline nose, the eyes of a phoenix, the back of Yu, and
the shoulders of Tang;24 his body was seven feet, five inches tall, and his
hands hung down below his knees. When he was speaking, joy or [6b]
anger never showed on his face, and he loved to befriend heroes. As a child
he had lost his father; he lived with his mother and made a living by
weaving mats and plaiting sandals. At the southeastern corner of his house a
mulberry tree grew above the fence. It was more than fifty feet tall. If you
had a look at it from close up you saw the various layers of leaves
resembled the canopy of a little carriage. Passersby all marveled at the
exceptional nature of this tree, which was bound to produce a man destined
for greatness. When Xuande was still a child he would play below this tree
with other children in the family, and say, “I am the Son of Heaven, and this
is the Great Audience Hall.”
 When his uncle Liu Deran noticed him uttering these words, he said,
“Don’t wipe out our family with light-hearted words!”
Deran’s father was Yuanqi, and Yuanqi’s wife said, “He has his own
family. Chase him away from our gates.”
“But,” said Yuanqi, “If our family has such a boy, he is surely no
common person. Don’t speak such words!” When the boy turned fifteen, his
mother had him travel and study, and he studied at the house of Lu Zhi, the
former prefect of Jiujiang, whom he honored as his teacher. But Lord Liu
did not like the study of books very much; he loved dogs and horses and
fine clothes, and was fond of music.
On this day, after he had plaited his sandals and gone to the market and
had sold them, he also came into this wineshop to buy a drink. When Guan
and Zhang saw the extraordinary physique of Lord Liu and his thousand
kinds of indescribable blessings, Lord Guan offered him a drink. When
Lord Liu saw that these two people also had exceptional physiques, he was
very pleased and did not reject the offer, but took the cup and promptly
drank it. When he had finished it, Zhang Fei offered him a cup, which he
also accepted and finished. Fei invited him to sit with them, and after they
had finished three cups of wine, the three of them stayed together as though
old friends united in harmony.
But Zhang Fei said, “This is no place for us to sit. If you two gentlemen
have no objection, let’s go to my place and have a drink.” When the two of
them heard this, they promptly followed Fei to his house. In the back there
was a peach orchard, and in that orchard there was a little pavilion. Fei
thereupon {16} invited the two of them and brought wine to the pavilion,
where the three of them happily drank. While they were drinking, each told
his age: Lord Liu was the eldest, Lord Guan was the next, and Fei was the
youngest. And so the eldest became the eldest brother, and the youngest the
youngest brother. They slaughtered a white horse in sacrifice to Heaven,
and killed a black ox in sacrifice to Earth. They did not find it necessary to
be born on the same day, but they vowed to die on the same day. The three
of them would be inseparable in walking, sitting, and sleeping. They swore
to be brothers.
Lord Liu saw that the situation of the Han dynasty was as perilous as
piled-up eggs: robbers and bandits arose in swarms and the common people
suffered distress. [7a] He said with a sigh, “Should a real man live like this
in this world?” Time and again they discussed how they could save the
common people from this terrible situation, and how they could free the
Son of Heaven from his powerless situation. They saw traitorous ministers
ignore orders and bandits manipulate power, and were filled with
indignation!

Because dragon and tigers are filled with love and righteousness,
Evil sons and slanderous ministers are startled from their sleep.

Let us speak now instead about that one day Zhang Fei informed his two
elder brothers, “At present the Yellow Scarves rebels are spreading
everywhere, plundering the people’s money, and stealing their wives and
daughters. If these rebels come here, I may be very rich, but I won’t be able
to do anything about it.”
Xuande said, “So what should we do in such a situation?”
Fei said, “The best for us is to inform the Prince of Yan and hire some
volunteer soldiers. Then what do we have to fear even if these rebels show
up?”
Xuande and Lord Guan said, “Such an action makes sense.” And so they
got on their horses, left Zhang’s home, and came to discuss the situation
with the Prince of Yan.
In a snap of the fingers they had reached the steps before the palace of
the Prince of Yan, but when they dismounted, they were barred from
entering by the gatekeeper. Zhang Fei said, “I’ve come here for the very
purpose of seeing the prince as I have something to discuss with him.”
The gatekeeper replied, “Just wait here for a while and let me inform the
prince.” The gatekeeper reached the front of the main hall and stated,
“There’s someone outside the palace who wants to discuss something with
you, my prince.”
The Prince of Yan said, “Ask him in.” Zhang Fei immediately followed
the gatekeeper into the hall, and the Prince of Yan granted Zhang Fei a seat.
The Prince of Yan asked, “What is your business?”
{17} “The Yellow Scarves,” replied Zhang Fei, “are now spreading all
over the world. Should they come to this city and it is completely
unprepared, wouldn’t they trample the capital of Yan to dust?”
The Prince of Yan replied, “That may be so, but the government
storehouse is without money and the official granaries are empty, so I lack
the food and fodder to provision an army. And who could be their leader?”
 Zhang Fei said, “Even though I am only a lowly subject under your
command,25 I do have a bit of family property that can be used to provide
for troops.”
“But,” replied the Prince of Yan, “even if we could summon some
volunteers, whom could we appoint as their leader?”
Zhang Fei said, “There’s someone staying at my place whose name is Liu
Bei and he is also known as Xuande. He is a descendant of Liu Sheng, the
Quiet Prince of Zhongshan. This man was born with a dragon’s nose and a
phoenix’s eyes; his ears hang down below his shoulders and his hands hang
down beyond his knees. He can be the leader.”
The Prince of Yan immediately issued an order to raise the flag for
summoning volunteers. Their leader was Liu Xuande, and under him served
Guan Yunchang, Zhang Yide, Mei Fang, Jian Xianhe, and Sun Qian. [7b]
Within a month they had summoned an army of three thousand five
hundred volunteers.

The Campaign against the Yellow Scarves

The Prince of Yan was out one day with Liu Bei training troops on the
parade grounds. When the Prince of Yan inspected them he saw that all of
the troops and officers they had raised were strong and each of them was
dauntingly brave. The Prince of Yan was very pleased. But at the main gate
someone showed up who reported, “Disaster!”

Youzhou Commandery summoned braves who raised buckle and spear:

The mutinous Yellow Scarves had come to seek out their own deaths.

When the Prince of Yan asked, “What kind of disaster?” the answer was,
“Right now the Yellow Scarves are only a hundred li from this city and
have come to take Youzhou.”
The Prince of Yan said, “Leader of the volunteers, what shall we do?”
{18} “My lord, don’t worry,” said Xuande, “I want to lead this army out
to defeat the Yellow Scarves.” Having said this, Xuande took his leave of
the Prince of Yan and led the troops they had raised thirty li out of the city
where they stationed themselves.
 Xuande sat down in his tent and asked, “Who dares go forth to find out
the strength of the bandit troops?” Before he had even finished speaking
Zhang Fei, in front of the tent, spoke out, “I will. I want to go alone!”
Xuande replied, “Go, brother, but be careful!” When he had said this,
Zhang Fei mounted his horse and left the camp.
In no time at all, Zhang Fei returned and dismounted from his horse in
front of the tent, and reported, “Right now the Son of Heaven has sent out
the grand marshal, Huangfu Song, with a writ of pardon. If there are any
who have committed a crime, but who will summon troops and buy horses
and dare defeat the Yellow Scarves, they will be given the seal of vanguard.
And once they will have annihilated the Yellow Scarves, they will be
appointed to office and given rewards. Brother, so my proposal is this: here
we rely only on the lord of a single commandery, so it would be much
better to join the grand marshal of the Han and spend our efforts on behalf
of the state. Fighting in the east and extirpating in the west, conquering in
the south and campaigning in the north, we will manifest our merit in the
present and leave a name for the future.”
When Xuande had heard Zhang Fei’s words he was very pleased and
immediately led the men under his command out of camp to welcome the
grand marshal.
When the grand marshal arrived at the tent, he said, “Now the Son of
Heaven pardons all of you for the crime of raising an army of volunteers. If
you defeat the Yellow Scarves, you will be promptly given high office and
rich reward.” After he said this, the grand marshal granted Xuande a seat.
Guan Yu, Zhang Fei, and the others were just about to depart.26 And when
the grand marshal noticed the heroic looks of Xuande, Guan, and Zhang, he
was greatly pleased. “With such heroes as these, I see the Yellow Scarves
traitors as no more than grass or weeds.” The grand marshal immediately
told Xuande to assume the seal of vanguard and then dispatched fast riders
to go and determine [8a] the strength of the Yellow Scarves.
When the spies returned they reported, “The major force of the bandit
troops are in Xiqing Prefecture in Yanzhou, and their five hundred thousand
men are stationed in two places. Three hundred thousand are in Yanzhou. In
Apricot-Forest Village, thirty li from Yanzhou, two leaders, called Zhang
Bao and Zhang Biao, are in charge of the other two hundred thousand.” The
grand {19} marshal ordered the vanguard to lead fifty thousand troops to
assess the real situation in Xiqing Prefecture.27
 “I don’t need fifty thousand,” replied Liu Bei. “Using only the three
thousand five hundred men now under my command, I will go first to
Rencheng District and there make camp.” The grand marshal’s major force
followed behind and also made camp in Rencheng District.
The grand marshal once again asked his officers who would be willing to
go and find out the actual situation and persuade the bandits to surrender.
Liu Bei said, “I am the vanguard now and I want to go.” He was
immediately provided with proclamations of pardon. When Liu Bei had
been provided with these pardons, he took his leave of the grand marshal
and led his own troops to the eastern gate of the district capital of
Rencheng, where he made his way across the river to go to Ban Village.
Xuande asked, “How far is it from here to Apricot-Forest Village?” “About
fifteen li.” Xuande then asked his troops, “Who can take this proclamation
of pardon to Apricot-Forest Village and invite Zhang Biao to surrender?”
As soon as he had finished speaking, Zhang Fei replied, “I want to go.”
“How many troops do you need?” “I don’t need any,” Zhang Fei replied, “I
will go alone. I’ll take the proclamation of pardon to Apricot-Forest Village
and invite Zhang Biao to surrender.”
So Zhang Fei departed, a single rider on a single horse. When he reached
Apricot-Forest Village, soldiers guarding the gate tried, but were unable, to
block his way and he proceeded straight to the commander’s tent in the
middle of the army, where he halted his horse and rested his lance across his
saddle. Over fifty people were seated in that tent, and the one sitting in the
middle was Zhang Biao. Around the tent over five hundred men readied
their lances. Zhang Biao and his men were all surprised and Zhang Biao
asked, “Who are you? Perhaps a spy?” Zhang Fei replied, “I am not a spy. I
am a simple soldier in the vanguard command of the grand marshal of the
Han. I didn’t come here for any private business, but I bring you the sagely
edict of the emperor and a proclamation of pardon. Even if you have
committed the most defiant of crimes, plotting rebellion, or have killed
officials appointed by the Son of Heaven, you will all be pardoned. If you
join the Han, take off your Yellow Scarves, and raise the flags of our state,
your sons will be ensured an appointment and your wife will be ennobled,
and you will receive a high office and great rewards. But if you don’t join
us, you will all be slaughtered.”
When Zhang Biao heard this, [8b] he was furious and ordered his
underling to immediately set to … and they all came forward at once to try
and stab Zhang Fei. He paid them no heed but firmly closed his fingers on
the end of his eighteen-foot lance and twirled it in a circle so none of these
troops could {20} approach him. Who knows how many lances and
bucklers of the bandit troops he snapped? The bandit troops in the camp
cried out, and, frightened and scared, scattered on their own. On his single
horse Zhang Fei moved at liberty through the bandit army and not a single
one dared oppose him. Then the bandit troops heard the sounds of gongs
and drums, and Zhang Biao saw someone report at the tent, “Your Majesty,
a disaster!” Zhang Biao asked, “What kind of disaster?” “The vanguard of
the Han has been divided into six companies of five hundred men each.
With their bronze drums banging wildly, banners waving and troops yelling,
they have captured the gate and are bursting into the camp.” Zhang Biao led
his troops as fast as he could in a mass flight to Yanzhou. The Han troops
followed in hot pursuit for over fifty li.
Xuande then collected his troops, returned to Apricot-Forest Village, and
made camp. He ordered his soldiers to guard the gates of the camp and then
he checked on his officers. When he asked how far his troops had chased
those bandit troops, the answer was, “They all entered the city of Yanzhou.
The old and young were abandoned and we killed them all.” Xuande then
sent a report to the grand marshal and told him to hasten to Apricot-Forest
Village. When the grand marshal saw the report, he was very pleased and
immediately led his troops to Apricot-Forest Village. Liu Bei received the
grand marshal and they sat together in the tent for a banquet.28 The grand
marshal issued an order, “All of the the troops of the vanguard and the
officers and leaders under the command of the grand marshal shall be
rewarded.”
As they were banqueting, a spy arrived before the tent to report, “Zhang
Biao just entered Yanzhou and has combined his troops with those of Zhang
Bao; they have a huge force.” When the spy had finished, the grand marshal
issued an order, “Who dares take Yanzhou?” “I want to go,” Xuande
replied. The grand marshal was very pleased, “Since the bandit army is
huge in numbers, and ‘a few are no match for a crowd,’ you should take
some additional troops with you.” But Liu Bei said, “I don’t need many
troops. It will suffice to take only a mixed troop of brave soldiers under my
command.” “Then go,” replied the grand marshal, “but be careful.”
Xuande immediately took his leave from the grand marshal and, provided
with proclamations of pardon, rushed off to Yanzhou. At a distance of some
ten li from Yanzhou he made camp. Xuande asked, “Who will take these
proclamations of pardon and invite Zhang Biao and Zhang Bao to
surrender?” Zhang Fei replied, “I want to go!” Xuande asked, [9a] “How
many troops will you need?” “I will not need a single one,” Zhang Fei
replied, “I will go alone.” But Xuande said, “I’m afraid something might go
wrong. You should take five hundred troops with you.” “No need,” said
Zhang Fei, and he repeated, “No need.” {21} Liu Bei said, “Then take a
few less.” Zhang Fei then said, “I am summoning those of you who
willingly volunteer. If you follow me, the sons and grandsons of those who
attain success will enjoy a state salary forever.” At his first call, he got
seven men and seven horses; at his second call he got three men and three
horses; and at his third call he got two men and two horses, so all together
they were thirteen, and he said, “This is enough.”
Zhang Fei led the thirteen to Yanzhou, bearing the proclamations of
pardon. When they arrived outside the city wall, Zhang Fei had a good look
at the wall and moat, and the war towers and battle sheds on the wall. “Deer
antlers” had been buried deep in the earth29 and the moat had been dredged.
On top of the wall he saw “rolling logs”30 and catapult stones were
everywhere; the drawbridge was drawn up and the slide gates were
lowered. From outside the city wall Zhang Fei loudly called out, “Who’s up
there? Let’s talk!” After he spoke, a group of soldiers on the wall engaged
in conversation with him, and asked, “Who are you, soldier?” Zhang Fei
replied, “I am Zhang Fei, a soldier of the vanguard general under the
command of the grand marshal of the Han.” And he asked the man on the
wall, “Who are you?” “I am the captain that holds Yanzhou, Zhang Bao.”
Zhang Fei said, “I am now bringing proclamations of pardon. If you
surrender, you will be pardoned and everyone will be spared punishment,
appointed to an office, promoted in rank, and richly rewarded. But if you do
not surrender, you all will be massacred together.” When Zhang Bao heard
this he was enraged and immediately wanted to open the gate and engage
him in battle.
But Zhang Biao said, “No way! When I was at Apricot-Forest Village,
this guy rode right into my camp on a single horse; none of my troops could
stop him. That’s why Apricot-Forest Village was lost.” When Zhang Bao
asked, “What should we do in this case?” “Seal the gates tight,” answered
Zhang Biao, “And don’t go outside, lest Zhang Fei have some trick up his
sleeve. Let’s send a written report to Yangzhou to ask for relief.” Zhang Fei
yelled out at the foot of the wall, but the people on top kept silent. A furious
Zhang Fei circled the city cursing them loudly, but nobody reacted. He
made another circuit and reached the south gate, where he shouted from the
foot of the wall, “Who is guarding the gate?” But again nobody reacted.
When Zhang Fei saw no response, he said to his troops, [9b] “From the
time we became soldiers of the Han, our saddles have never left our horses,
and our armor has never left our bodies; pillowing on our bows, the sand
was imprinted with moons, sleeping in our armor, the earth grew scales. On
bitter campaigns in fierce battles, grappling with the enemy to see who lives
or dies, we have really suffered! But today, we reach these willow trees here
by the moat. {22} Let us shed our armor in the willows’ shade, and bathe in
the city moat while our horses rest under the trees.” While doing so, Zhang
Fei pointed to those on the city wall and cursed them once again.
Zhang Biao became enraged and, seeing that Zhang Fei was bathing in
the city moat leaving man and horse unprepared, said to his elder brother,
“If I do not kill this lout now, would I be capable of dying without shame?”
His elder brother Bao said, “We have roughly five hundred thousand troops
and a thousand officers. With a hundred thousand troops at its head, our
army has rampaged throughout the world and no one dared oppose us. We
have occupied two-thirds of the world of the Han. Look, soon all the land
will belong to us. Today Zhang Fei appears on the scene. Just because you
lost that little camp at Apricot-Forest Village, you are suddenly filled with
fear and trepidation. Whether it be the highest general or the lowest of
disbanded soldiers, if any among them dare to fight that Zhang Fei, I will
give him rich rewards, and to hell with you.” Zhang Biao said, “It was dark
in the evening that day, my troops were not dressed in armor, and the horses
were not saddled. And there was a great force behind him. That’s why I lost
the camp at Apricot-Forest Village. But today that Zhang Fei is one of only
thirteen men. After I lead a company of five thousand soldiers, I will surely
capture Zhang Fei!” Zhang Bao said, “Younger brother, what you say is
absolutely right.”
He immediately took command of five thousand troops, lowered the
drawbridge, and came out of the city. When Zhang Fei saw these troops
leaving the city, they quickly mounted their horses and while on horseback
put on their armor. Each held a weapon as they fled toward the south. They
reached Yao Family Village, just forty li short of Yanzhou. Zhang Biao
pursued them all the way to Apricot-Forest Village, where he saw a
company of soldiers of over a thousand men, and the head general was none
other than the vanguard commander Liu Bei. Holding his paired swords and
dressed in a brocade battle gown, he halted his horse below his battle flag
and shouted, “Who is the captain of these bandit troops?” “I am Zhang
Biao!” When Xuande heard this he wheeled his horse and the two men
began to fight. After some twenty rounds, five hundred troops launched a
surprise attack from the rear. Their leader was Jian Xianhe. In the melee
[10a] they inflicted a heavy defeat on Zhang Biao.
Zhang Biao turned his army toward Yanzhou and fled. Behind him, Liu
Bei pressed the attack. At his front was a large forest from which another
company of soldiers dashed out; there were over a thousand men. Their
leader halted his horse and rested his sword across his saddle. Zhang Biao
asked in a panic, “Who are you?” “I am just a soldier under the command
of the vanguard of the Han, a certain Guan Yunchang.” He went on, “Bandit
general, why don’t you dismount from your horse and surrender?” Zhang
Biao was alarmed. Yunchang came forward with his sword out, and Zhang
Biao was even less inclined to meet such an enemy, so he fled by the
backroads.
{23} Liu Bei’s troop caught up, and with Lord Guan they quickly
dispatched nine-tenths of Zhang Biao’s command leaving behind only a
mere hundred or so. The battle continued until evening, moving forward to
the walls of Yanzhou. In a panic Zhang Biao shouted, “Open the gate!
Behind is an ambush army that is about to overtake us.” On top of the wall,
Zhang Bao had the gate opened as fast as fire, and Zhang Biao and his
troops, merely fifty or seventy men, entered the city. Outside the moat in
the willow grove, Zhang Fei and his troops were lying in ambush and
quickly rushed the city. Of Zhang Biao’s troops who were killed, many fell
into the water. Leading a hundred men or so, Zhang Fei shouted out, “Cut
the cables of the drawbridge!” The whole pursuing army entered the city
walls. Zhang Bao and Zhang Biao had no clue how many Han troops there
might be, so in their panic they fled in the dark of night, out through the
north gate. Yanzhou had been recaptured.
The next day, when the grand marshal had arranged a banquet and while
they were deliberating what to do, a spy returned to report that the defeated
army had entered Guangning Commandery. The grand marshal said,
“Vanguard, tomorrow you lead your troops and go on ahead, then the main
body of troops will break camp and we will all go to Yangzhou.” He took
the road to Shengzhou, passed by Haizhou, followed the Lian River and
forded the Huai, passed Taizhou, and turned west to Yangzhou. The
vanguard of Liu Bei arrived together at a place no more than a bowshot
from the city, and there they made camp.

Let us speak now of Zhang Biao who did a roll call of his army. When
Zhang Bao could not be accounted for since he had died in the melee,
Zhang Jue was furious. On top of that a spy arrived to report, “We have
discovered that the army of the Han is quite close and the vanguard Liu Bei
has made camp a bowshot away from the city wall.” Zhang Jue summoned
his officers and gave them explicit instructions, “Tomorrow the whole army
has to empty out the city to go out to confront Liu Bei.”
At daybreak the next day Zhang Jue led his army out. Liu Bei had
divided his troops in three companies, and Guan Yu and Zhang Fei each led
[10b] one. As soon as first forces arrived, the two armies engaged in battle.
Guan Yu suddenly attacked them from the rear and Zhang Fei pressured
them from the sides. Liu Bei told his corporals to shout out, “If you bandit
troops take off your yellow scarves and throw down your weapons, you will
be covered by a pardon. If one of you captures Zhang Jue you will be
ennobled as a Five-Hegemon Liege Lord!” As he finished speaking, the
army of the grand marshal arrived. When the bandits saw this, they threw
down their spears and discarded their armor. Countless numbers took off
their yellow scarves and bowed down to submit. Zhang Jue and Zhang Biao
died in the melee.
{24} Once Liu Bei had captured Yangzhou, the grand marshal led his
army into the city and issued an order to comfort the common people so
they would not suffer in the slightest. Anyone who disobeyed would be
punished according to military law. So the common people were all happy.
The grand marshal also issued this order: that from the vanguard down, all
officers and troops should join him for a banquet the next day.

Humiliation at Court and in the Province

The following day all attended the banquet, and the grand marshal said,
“My officers, many thanks for all your efforts in defeating the Yellow
Scarves.” After giving each man a reward, he wrote a memorial to the court
and selected an auspicious date to return with the army. When they arrived
at Chang’an, the grand marshal ordered them all to make camp outside the
eastern gate. He told Liu Bei, “All of the merit from defeating the Yellow
Scarves is yours. After I have had an audience with the emperor, and I will
tell him everything about this defeat of the Yellow Scarves, and our lord
and king will clearly understand.” “Make camp outside the eastern gate,” he
told Liu Bei, “and wait for two or three days.”

One day when Liu Bei was seated with some liege lords, a corporal came to
report that an emissary of the Han wanted to see the vanguard. As soon as
Liu Bei heard this, he hurried out of the palace gate to welcome him. After
this emissary had taken his seat in the central commander’s tent and, when
Liu Bei was done with his formal greetings, Liu asked, “Constant
Attendant, why are you here?” “Don’t you know who I am? I am one of the
Ten Constant Attendants!”31 This person, Duan Gui, went on to berate him,
saying, “All of us have discussed this. Lord Xuande, you must have
collected a countless number of gold, pearls, and other precious goods when
you defeated those Yellow Scarves. If you are willing to offer us three
hundred thousand strings’ worth of gold and pearls, we will have you
enfeoffed as a marquis with full regalia—your belt will be gold and your
gown will be purple.” Liu Bei replied, “I have taken no more than cities and
military camps. All the gold and pearls and woven goods were collected by
the grand marshal. I never received the slightest portion.” Upon hearing
this, Duan Gui abruptly rose to his feet and, after he had taken a few steps,
turned his head to glare at Liu Bei, “You starving beggar from Upper-{25}
Mulberry Village! [11a] You have plenty of gold and pearls, but are
unwilling to give them to anyone else.” Zhang Fei was enraged, and with
flailing fists he stepped right up to Duan Gui, and before Liu Bei and Lord
Guan could pull him back by his clothes, his fist hit Duan full on his lips.
His back teeth fell out of his mouth and two front teeth were also knocked
out. His mouth was filled with blood. Duan Gui went back with his hand
covering his mouth. And Liu Bei said to Zhang Fei, “You’ve caused trouble
for our men!”
At daybreak the next day, the grand marshal came and invited Liu Bei,
“My report has already been submitted to the emperor. The merit is all
yours.” He instructed him to wait the next morning in a green robe and with
a sophora tablet outside the palace gate for the sagely edict.
 Liu Bei went to the palace gate but even after about half a month he still
had not been summoned, “I see that all of the generals under the command
of the grand marshal have been summoned, have all received an official
title, have been rewarded, and have gone to their place of appointment.” But
outside lingered Liu Bei, who waited for over a month and still was never
summoned. When the three of them were in their own camp, Liu Bei was
depressed and eyed Zhang Fei, “That one blow you landed on Duan Gui has
implicated the whole troop and brought them suffering.” When he was
pondering this, the troops of the Mixed Tiger banner all came to complain
to Liu Bei and to say goodbye to Zhang Fei, “We officers all see that those
who have merit are never called while those without merit receive rewards.
We can wait no longer and each of us will now head back home.” Liu Bei
told them, “Every iota of the merit belongs to our army. If troops without
merit receive a reward, how much more do we deserve it? The Han emperor
will make no mistake in this; he must be computing the greatness of our
merit. You should all wait for a few more days.”
The next day, Liu Bei once again went to the palace gate to wait for the
sagely edict. When the morning audience was finished and the civil officials
and military officers all left through the inner gate, he saw a four-horse
carriage with silver bells, gold stupas, and a brown canopy. After Liu Bei
shouted “Injustice” three times, the official in that carriage asked, “Who are
you, you who are crying that you have suffered an injustice?” Liu Bei stood
in front of the carriage and said, “I am the vanguard Liu Bei who defeated
the Yellow Scarves.” “And why do you claim that you have suffered an
injustice?” Liu Bei replied, “All of the other officers under the command of
the grand marshal have received rewards and, after promotion, have gone to
their place of appointment. Only I, Liu Bei, and my troops have attended
the court for over a month without ever being summoned. Now my soldiers
are all starving and are leaving me.” The man in the carriage was Dong
Cheng, an imperial relative, the father-in-law of the emperor, and he said,
“That’s yet another case of the Ten Constant Attendants creating disorder.
Vanguard, please wait outside the inner gate and let me go back to report
this to the emperor.”
{26} After some two hours he came back out of the palace and said,
“Vanguard, come along with me.” [11b] When they arrived at his house, the
emperor’s father-in-law invited Liu Bei to a simple meal. Liu Bei bowed
and showed his respects with folded hands as he asked, “Father-in-law of
the emperor, may I be allowed to ask what kind of memorial was submitted
by the grand marshal?” “Today it was already too late to ask. But tomorrow
during the morning audience the high ministers will discuss your case and
determine your office and rewards. Tomorrow you will hear the sagely
edict.”
The following day when he went again to the palace gate to hear the
sagely edict, the Ten Constant Attendants summoned him inside, “The
vanguard Liu Bei is called to hear the Sagely Edict!” When Liu Bei had
made his bows and had prostrated himself on the ground, he was asked,
“How many days have you been without provisions since you arrived here,
in Chang’an?” Liu Bei replied, “Thirty-seven days.” “From Chang’an to
Dingzhou is only a few days of travel. When you get to Dingzhou, you
calculate the total number of days and then ask for provisions. The grain
and straw that was earlier not paid out32 will all have to be made up then.
Liu Bei will take up the position of defender of Anxi District at Dingzhou.
Because the bandits and robbers in the Taihang Mountains are so numerous,
you will suppress them with the troops under your own command.”

Liu Bei set out and when he arrived in Dingzhou, he paid his respects to the
magistrate of Anxi district; when he visited the county office, a clerk read
out his visiting card addressed to the officials of Dingzhou, “The district
defender of Anxi district presents himself!” When he arrived before the hall
and had barely begun to make his bows, the enraged prefect shouted, “Liu
Bei, stop bowing!” He ordered his underlings to grab Liu Bei and said,
“Those Yellow Scarves that you failed to defeat are now hiding away in our
mountains and fields, terrorizing the common people!” And the prefect also
asked, “From here, Chang’an is quite close. How come you have surpassed
the set number of days for travel by more than half a month? Soused with
wine and proud of your merit you must have thought your office too small
and so on purpose have delayed your arrival.” Liu Bei replied, “Prefect,
with your permission, three thousand five hundred men with their
dependents are roughly twelve thousand people, all pushing carts or
carrying loads and carrying their children in their arms. The old and weak
also cannot proceed so quickly. So I beg Your Excellency to be merciful,
and I will ask for no additional rations at all.” The furious prefect
interrogated him again, “One way or another you should have sent the
soldiers on ahead first and let the old and young follow behind. Don’t try to
worm yourself out of this!” He ordered his underlings to lock him up and
{27} obtain a confession for “dilatory obstruction.” But the moment he was
about to put his brush to paper to formalize his decision, his underlings
suggested to Yuan Qiao, “In view of his merit in defeating the Yellow
Scarves spare him for the moment from caning!” So he ordered his
underlings to drag Liu Bei [12a] around the hall three times, but after the
subordinate officials to his left and right had once again pleaded with him,
the prefect shouted, “District defender, go back to your own office and be
very careful in what you do!”
When Liu Bei arrived at his office and greeted Guan, Zhang, and the
other officers, he invited them to the front hall. While they were having
their meal and sitting there, Zhang Fei asked Xuande, “Brother, how come
you are so distraught? Liu Bei replied, “I have now become a district
defender, but it’s only an appointment of the ninth rank. You, Guan, Zhang,
and the other officers while in the army defeated over five hundred
thousand Yellow Scarves, but whereas I became an official, you, my two
brothers, received no office. That’s why I am so distraught.” “Brother, that
can’t be the case!” Zhang Fei said, “You were not distraught during the ten
days on the road from Chang’an to Dingzhou. So why are you so distraught
after coming back from paying your respect at the county? It must be that
the prefect treated you badly in some way. Elder brother, you should tell
us.” But Xuande didn’t say a word.
After Zhang Fei had left Xuande, he thought, “If I want to know the
truth, I will have to make some inquiries.” He went to the back stables
where he saw Liu Bei’s two personal attendants, but when he asked them,
they refused to tell him anything. After Zhang Fei had questioned them, he
flew into a rage. When the second watch came that night, he left the office
of the defender with a sharp sabre in his hands. He reached the rear of the
county compound, jumped over the wall, and went on. As he reached a
flower garden in the back, he saw a woman and asked her, “Where are the
sleeping quarters of the prefect? If you don’t tell me I will kill you!” Her
body quaking and filled with fear, she said, “The prefect is sleeping in the
back room.” “And what are you to the prefect?” “I am the woman who
makes his bed.” Zhang Fei said, “Then take me to the back room.”
The woman led Zhang Fei to the back room, where he killed her, and
then he also killed the Prefect Yuan Qiao. There was a concubine in the
lamplight who cried out, “Murderer!” So he also killed the concubine. But,
because of this the yamen night guard was aroused, and about thirty men
rushed in to seize Zhang Fei. He slew more than twenty archers, leapt over
the rear wall, and escaped, returning to his own compound.
At dawn the next day all of the officials, high and low, called on the
District Defender, Liu Bei, to discuss the situation. Liu Bei was determined
to pursue the killer and immediately notified the court of his intention. But,
the Ten Constant Companions declared, “The murderer who killed the
prefect had [12b] to have been someone from the District Defender’s
group.”
{28} The court dispatched the Inspector General Cui Lian to go, in the
capacity of Censor, to settle in at Dingzhou Posthouse. All officials high
and low paid a visit to the envoy and asked him, “Sir, what assignment do
you have?” The Inspector General replied, “They have sent me here to
question you because of the murder of the magistrate. Is the District
Defender here?”
“The District Defender is outside but dares not pay his respects.” The
envoy then summoned the District Defender, who entered to make a formal
visit with three hundred soldiers, among whom were Guan, Zhang, and
twenty or thirty of the defender’s entourage. The envoy said, “Are you the
District Defender?” “I am,” replied Liu Bei. “Did you kill the magistrate?”
asked the envoy. Liu Bei replied, “The magistrate was in his rear
apartments; they were lit by lamps and candles, and there was a night guard
of thirty or so men. If you insist that the man who killed twenty or so of the
magistrate’s men and then escaped from such a well-lit place must have
been Liu Bei, then of course it must have been Liu Bei.”
The Inspector General spoke angrily, “In the past you were the reason
that your sworn brother Zhang Fei knocked out Duan Gui’s two front teeth.
Today the sage’s directive has sent me here to question you about the
magistrate’s killer. Earlier, when you paid your respects at the county, you
had failed to arrive within the prescribed number of days allowed for travel.
You should have been sentenced for that crime, but out of respect for all of
the officers, you were not. Because of this incident you bore resentment and
killed the magistrate. So don’t try to wriggle your way out of it!” He
shouted to his attendants, “Take him!”
On either side, Guan Yu and Zhang Fei were enraged, and each ran up
into the hall carrying a blade and frightened the host of officials, who all
fled. They captured the envoy and stripped him. Zhang Fei helped Liu Bei
sit on a chair, and then he bound the envoy to a hitching post at the front of
the hall, where he was soon dead after being bastinadoed more than a
hundred times. The corpse was split into six sections, the head was hung
outside the north gate, and the feet and hands strung from the four corners.
Then Liu Bei, Guan Yunchang, Zhang Fei, and all of the generals and
troops went to ground in the Taihang Mountains.
The court was informed of this. One day the emperor received his
ministers in audience, and asked the civil officials and military officers, “At
present there are still very many Yellow Scarves who have not yet been
defeated, and now Liu Bei has rebelled too. What should we do if these two
join forces?” The Imperial Father-in-law [13a] Dong Cheng stepped
forward from the ranks and said, “May Your Majesty live a myriad years.
At present Liu Bei has not rebelled. It is all because of the Ten Constant
Attendants who measure out on their scales the value of official posts in
order to sell them: those who have money and goods become officials, and
those who have merit are not rewarded. Your Majesty, if you follow my
advice, Liu Bei will not rebel.” The emperor said, “How can we invite Liu
Bei to surrender?” “Now kill the Ten Constant Attendants and take {29} the
heads of seven of them to the Taihang Mountains, then you can invite those
three brothers to surrender.” The emperor said, “We will follow your
advice.” And he asked, “Who can go?” Dong Cheng replied, “I will go.”
While Dong Cheng was going to the Taihang Mountains with the heads
of these seven men, he ran into a band of soldiers. Dong Cheng engaged in
conversation with these troops, and said, “I bring a sagely edict inviting you
to surrender. Because the Ten Constant Attendants squeezed the court and
the provinces for money and bribes, carefully calculating profit in order to
sell offices, they have been executed and killed. I now bring their heads to
show to you brothers, and you are also pardoned for the crimes of killing
the prefect and whipping the inspector to death—it’s all covered by the
pardon.” Liu Bei prostrated himself on the ground as he listened to the
proclamation of pardon. After Liu Bei had expressed his gratitude for the
imperial favor, he followed the Imperial Father-in-law back to Chang’an,
where he was received in audience by the emperor. The happy emperor
gave him rewards and promoted him to office, sending him to be the
assistant magistrate of Pingyuan district in Dezhou. The subordinate
officials to his left and right also received rewards.
Dong Zhuo and Lü Bu

Because Emperor Ling had passed away, Emperor Xian was immediately
elevated as lord. He left Chang’an and established his capital at the Eastern
Capital Luoyang. The prime ministers were Wang Yun, Cao Yong, and Ding
Jianyang. One day the emperor received his ministers in audience. Wang
Yun stepped forward from the ranks and reported to the emperor, “We have
received a written report from Xiliang Prefecture that the two Yellow
Scarves, Zhang and Li, and two other major miscreants have occupied
Xiliang Prefecture with over three hundred thousand troops.” The emperor
said, “What should we do now?” And the emperor also asked Wang Yun,
“Who dares go?” Wang Yun proposed, “You should summon Dong Zhuo as
grand marshal. Dong Zhuo has a courage to which ten thousand men cannot
stand up. He is eight feet, five inches tall; he is fat and well muscled and
has a huge belly, and can be recommended to capture those bandits.33 When
he joins the fray he wears heavy armor, runs as fast as a runaway colt, and
sitting, he can snatch a flying swallow right out of the air. He can do the job
as grand marshal. Under his command he has a thousand battle-tested
officers and he leads over five hundred thousand troops.”
{30} The emperor followed his advice and summoned Dong Zhuo to
court, where he promoted him in rank and nobility and appointed him as
grand master and grand marshal of the empire. The emperor asked Dong
Zhuo, “Now [13b] we have received a written notification from Xiliang that
over three hundred thousand Yellow Scarves are causing havoc there. Who
can defeat them?” Dong Zhuo replied, “I want to go!”
As he was about to set out with his army, they suddenly heard a great
commotion inside the city walls. The city gates were closed as,
immediately, thousands of soldiers were given their orders. All of the streets
in the front and alleys behind were guarded by soldiers who had covered
everything like a net-weave that was tied tight at the corners. They saw a
man on horseback who looked like a fierce tiger. He set the government
troops aflight—who knows how many he killed. The number of troops and
officers was increased and increased again, until there were enough to
finally subdue this man. The Grand Preceptor Dong Zhuo loudly shouted,
“Who are you?” But the man did not answer. The common folk all shouted
out at the top of their voices, “This guy is a slave of Ding Jianyang. He just
killed Minister Ding and the army subdued him just as he was fleeing on
the minister’s horse!” The Grand Preceptor was blessed with more troops
and officers and therefore could nab this man; after tying him up they took
him to the commander’s headquarters.
Dong Zhuo settled into his seat and then interrogated him, “Just who is
the one we just caught? What is your name?” As soon as he had finished
speaking came the reply, “I am Lü Bu, also known as Fengxian.” “Why did
you kill all the people on the street with your dagger-axe?” He was just
about to get into the details when someone from Minister Ding’s household
said, “He killed Prime Minister Ding for no other reason than this horse!”
When Dong Zhuo asked him what was so special about this horse, this
servant of Ding’s replied again, “This horse is out of the ordinary. The spots
of blood that appear all over it are bright red, and its manes and tail are like
fire, so it is called Red Harrier. The prime minister said that it was not
called a red harrier because it was bright red, but it was called a harrier
horse because it was used for hunting hares with a bow: when you were
riding on dry land and if it sees a hare, it will not start, so there is no need to
rein it in or to make it hold firm for the bowshot. That’s why it is called Red
Harrier.34 He also said that when this horse came to a river, it would ford
the water just as if it were on level land. When it reached the middle of the
river, it didn’t eat grass or straw but swallowed fish and turtles. This horse
can go a thousand li in a single day and can carry over eight hundred
pounds. This is no ordinary horse!” When he finished speaking, Lü Bu said,
“I did not {31} kill my master because of the horse.” Bu went on, “Over a
long period of time my master constantly shamed me. That’s why I killed
Prime Minister Ding.”
Dong Zhuo saw that this Lü Bu was ten feet tall and had a waist of seven
double handspans. Alone he had slain over a hundred people: such a hero
was rare in the world! [14a] “Right now is the time that such people as you
are needed. What if I pardon your crime?” “Grand Preceptor,” replied Lü
Bu, “I will be happy to present you your whip and hold up your stirrups.35
Allow me to honor you as my father.” A very pleased Grand Preceptor
thereupon released Lü Bu.
That day the Grand Preceptor took command of his troops of five
hundred thousand and a thousand battle-tested officers. To his left rode his
adoptive son Lü Bu, astride Red Harrier, dressed in golden armor and
wearing a xiezhi cap.36 He used a twelve-foot-long square-heaven dagger
axe;37 from its top dangled a yellow pennant and leopard tail. He could run
faster on foot than any cavalry mount. He served as General of the Left. To
Dong Zhuo’s right rode Li Su, a descendant of Li Guang38 of the Han. This
man wore a silver helmet and an armor of silver chainmail over a white
battle dress. He used a fifteen-foot spear with a sickle-shaped Wu hook with
a gathering of strings hanging from the base of its blade. He also carried a
bow and arrow. For those who excelled in the civil arts, he had the grandee
Li Ru, and for those who excelled in the martial arts, he had Lü Bu and Li
Su—these three people supported Dong Zhuo.
When Dong Zhuo had led his army to Xiliang Prefecture, he conquered it
at the first roll of the drum. He accepted the surrender of Zhang and Li and
those two other miscreants together with their three hundred thousand
troops. He then proceeded to the Eastern Capital Luoyang, and some twenty
li to the northwest of Luoyang he had corvée laborers construct a walled
city, which he called Meiyang.39 He ordered Zhang and Li to station their
troops there and {32} to request government provisioning. Dong Zhuo was
going to stage an armed rebellion and he was constantly plotting for the
empire of Han.
Dong Zhuo asked Li Ru, “Who can hold Xiliang Prefecture now that
those four major bandits have left Xiliang?” “Grand Master,” replied Li Ru,
“your son-in-law Niu Xin is suitable.” The Grand Master summoned Niu
Xin to lead one hundred thousand troops to Xiliang and garrison the place.

Let us return now to Emperor Xian, who secretly summoned the Imperial
Father-in-law Dong Cheng to the inner apartments. When the latter arrived
there, the emperor stated his sagely command, “At present Dong Zhuo
usurps my power. What can be done about it?” Dong Cheng replied, “My
king, summon the liege lords of the empire and let them take you to
Chang’an to establish your capital there. Then order the liege lords of the
empire to combine their forces to kill Dong Zhuo. In that way peace will
return to the empire.” The emperor asked, “Who is suitable to undertake
this mission?” “I have under my command a colonel in charge of
storerooms.40 He is right for the mission for he has the right bold mettle. If
he carries off this important affair then he can be made grand marshal.
Summon the Prince of Ji, Yuan Shao, and the Prince of Zhenhuai, Yuan
Shu, and as army supervisor employ the Prince of Changsha, Prefect Sun
Jian.” [14b]
 A man came before the steps and, after he had loudly shouted out “Ten
thousand years,” the emperor asked him, “Your name, sir?” “I am Cao Cao,
also known as Mengde.” When Emperor Xian observed this man closely, he
was a match for twenty Dong Zhuos. At this moment the empire of the Han
was at a loss what to do, so it had to employ this man! Emperor Xian gifted
Cao Cao with rewards and sent him off, but with fear in his eyes, “If you
succeed in this great mission, I will promote you to grand marshal of the
empire. Be very circumspect in what you do. If you achieve success, I will
promote you to Prime Minister of the Left.”
After Cao Cao had taken his leave from the emperor and left the city to
unite all of the liege lords, he then proceeded to Dingzhou to meet with its
prefect Gongsun Zan. As he was traveling, he noticed that the li markers
were properly arranged and that bridges and roads were in good repair; the
communities were populous and cattle and horses in good supply; no fields
were left fallow and the harvests were plentiful. Cao Cao called a farmer
over and asked him, “What is this place?” The farmer answered, “Let me
inform you, your honor: this is Pingyuan District in Dezhou.” A surprised
Cao Cao asked the farmer, “Who is the district magistrate here?” The
farmer replied, “The district magistrate pays {33} no attention to anything,
only the assistant magistrate does.” When he asked who the assistant
magistrate might be, the farmer answered, “It’s that Liu Bei who defeated
the Yellow Scarves a while back.” Cao Cao was greatly surprised and said,
“If I can unite the liege lords, this place will provide the executioner who
will behead Dong Zhuo!”
With thirty riders, Cao Cao waited outside the gates of the district yamen,
and had his servants report to Liu Xuande that he was there. The gate guard
told Liu Bei, “There is an imperial envoy of the Han outside of the yamen
gate. You, sir, should hurry out to receive him.” The various officers greeted
Cao Cao, led him into the yamen, and had him sit at the head of the hall.
When the ritual greetings were finished, each took their place at the feast
mat. After they had gone through several courses, each accompanied by
wine, Cao said, “I bear the Sage’s directive to summon the liege lords of the
twenty-eight garrisons. Now Dong Zhuo wields the power of the throne and
has long plotted to seize the world of Han. I am to direct all the liege lords
to protect His Majesty, pacify the empire, and smash Dong Zhuo. But there
are Lü Bu and Li Su, each of whom has unmatched courage—no one can
match them. Because I was on my way to inform Han Fu in the Henghai
Command in Cangzhou, I passed by Pingyuan District, and heard that
Xuande was here. So I came particularly to pay you my respects. Please
don’t throw up any barriers to this, Lord Xuande. For the sake of the world
of Han, if you go to Tigerkeep Pass and smash Dong Zhuo and Lü Bu,
[15a] I will recommend you, sir, to be invested as a myriarch liege lord and
be placed into the ministerial offices.”
Cao Cao took up his cup and toasted Liu Bei, who said, “I, this humble
officer, have no skill in the martial arts and am unfamiliar with bow and
horse; I fear I will ruin this affair of state.” At his side Zhang Fei spoke up,
“Brother! From the time we bound ourselves in righteousness at the Peach
Orchard, together we have smashed the Yellow Scarves and made a name
for ourselves in history. Now, for the state, this is precisely the juncture to
utilize men. Let us follow all of the liege lords to Tigerkeep Pass and do
battle with Dong Zhuo and Lü Bu. Relying on the emperor’s great
beneficence, after we kill Dong Zhuo and Lü Bu we will have our names
inscribed in the Lingyan Gallery.41 And that is so much better than being
just a magistrate in Pingyuan District. We will be able to wear golden belts
and robes of purple, to offer protected privilege to our sons, and to have our
wives invested with noble title. If you don’t want to go, brother, I do.” Cao
Cao thanked him as soon as he heard this utterance. When the feast was
done, Cao Cao reminded them twice and then once again, {34} “General
Zhang has promised to go. But if he arrives late, I will send an envoy to
request the three of you.” Cao Cao withdrew and started down the road.
Xuande returned to his lodgings where he discussed it all thoroughly with
his brothers. He explained, “If we go and we wind up unused after we get
there, where can we return?” “Relax, brother,” said Zhang Fei, “I’ll go
alone to smash Dong Zhuo and execute Lü Bu.” Xuande said, “Wait until
the envoy comes before you leave.”

The Battles at Tigerkeep Pass

Let us go back now to speak about Emperor Xian in Luoyang, who was
weak and incompetent as a ruler. The Grand Preceptor Dong Zhuo wielded
all power. Dong weighed three hundred pounds and was set on usurping the
state. He carried his sword when he entered the palace42 and everyone—
civil and military—was terrified of him. He constantly bullied and
suppressed the liege lords of the empire, and he relied on these
subordinates: his adopted son Lü Bu, the civilian Li Su, the four bandits,
and the eight strong generals.

Let us now speak instead of the prefect of Qiao Commandery, Cao Cao,
who had gone to court a second time to have an audience with the emperor.
Seeing how Dong Zhuo used his power to bully others, he found the
situation even more unbearable. When court was finished, he again sent up
a memorial to the emperor to discuss how he might, in a hidden way, put a
secret edict into effect to assemble all of the liege lords in the empire in
front of Tigerkeep Pass, there to join together to smash Dong Zhuo. The
emperor decreed that on the third day of the third month of the fifth year of
Zhongping43 the multitude would assemble before Tigerkeep Pass.
Immediately he ordered him to summon all liege lords across the empire
and to arrive as soon as possible before the pass.
The soldiers of Changsha were the earliest and the prefect of Changsha,
Sun Jian, was the first to reach the pass. Yuan Tan of Qingzhou did not go.
When all the armies and horses of the empire were in front of the pass, they
lacked [15b] fodder and provisions. In order to press for grain, Cao Cao
went to pressure Yuan Tan to go. In a few days, Cao had gone as far as
Pingyuan District where he, when he finished greeting Xuande, said, “All
of the liege lords are at Tigerkeep Pass, what about you three generals?”
Xuande said nothing, but Zhang Fei spoke, “I see that the world of Han is
now without a proper ruler, and that we should slay that traitorous official,
the Grand Preceptor, to reestablish the {35} house of Han.” The First Ruler
Liu Bei44 finally relented. Cao said, “The Prince of Ji, Yuan Shao, is now
the generalissimo, and you can take a letter to him.” The prime minister
then wrote a letter and turned it over to the First Ruler. After Lord Cao
departed, he went straight to Qingzhou.

But let us now speak of Guan, Zhang, and Liu, who mobilized three
thousand brave cavalry from their subordinates and selected a day on which
to begin their journey to the southwest. They had been on the road for
several days when they set up their tents about five or six li from the main
camp at Tigerkeep Pass. On the next day the three put their battle raiment in
order and went first to see the generalissimo, arriving at the gate of the
camp.
Let us return now to Yuan Shao, Prince of Ji, who had assembled the liege
lords in his tent, and asked them, “The house of Han is now without a ruler
and a traitorous official is wielding power. Emperor Xian is in Luoyang but
is incompetent and weak. Dong Zhuo is at Tigerkeep Pass, where he has a
hundred noted generals. The best of those is the unmatchable Marquis of
Wen, Lü Bu, who is nine feet, two inches tall and employs a ‘square-heaven
halberd.’ You many liege lords: how can you set a plan to execute the
traitorous minister to repay the court and leave a name for those who
follow?” The whole group of officers was silent.
Suddenly they heard the sound of a commotion outside the camp gates.
The gate guard reported, “There are three generals outside the camp gate to
see you.” The Prince of Ji quickly ordered them to be brought before him.
The host of officers all looked at the general who was the leader. His face
was like a full moon, his earlobes hung past his shoulders, his arms drooped
below his kneecaps, and he had an aquiline nose and dragon face. He truly
had the features of an emperor and king. The general below and to his left
was nine feet, two inches tall, a man of Xieliang in Puzhou, called Guan Yu,
also known as Yunchang. Below and on his left was a man of Zhuojun in
Youzhou, Zhang Fei, also known as Yide, who had a leopard head and
round eyes, the neck of a sparrow, and the whiskers of a tiger. The Prince of
Ji asked, “Who are you three generals?” The First Ruler replied, “This
useless one is a man of Dasang Village in Zhuo Commandery, in Youzhou. I
am Liu Bei, currently District Magistrate in Pingyuan.” “Are you the ‘green
robed one with [16a] sophora screed?’”45 {36} “Yes,” replied the First
Ruler. “Because the prefect of Qiao Commandery passed by and left a letter
for me, I’ve now come to the pass to smash Dong Zhuo together with you.”
The Prince of Ji was elated.
The First Ruler took out the letter and turned it over to Yuan Shao. After
Yuan Shao finished reading it, he asked the host of liege lords, “What about
this?” In a thundering voice one of the generals in the tent shouted out,
“The liege lords have assembled here at Tigerkeep Pass and will cut off the
heads of that traitorous minister Dong Zhuo and Lü Bu within days.” The
officers looked and it turned out to be the Grand Protector of Changsha, Sun
Jian. Song Wenju said, “We don’t need any ‘green-robed esquire’ to help us
kill Dong Zhuo at the pass.” When the host of officers heard this, they were
all happy. The Prince of Ji asked again, but none of the officers spoke.
 The three generals bade goodbye to the Prince of Ji and went out of the
camp to their own bivouac about five or six li to the northeast. “If we had
been in Pingyuan,” said Zhang Fei, “we would never have suffered such
shame because of another.” They had an audience with Yuan Shao at dawn
on the following day, but the host of officers expressed their displeasure
again. The three generals went back out again, and the next day they hit the
road directly back to Pingyuan. They had gone but a few li when they
encountered Cao Cao, and they told him truthfully everything that
happened. Cao Cao laughed and said, “Follow me back again. If you smash
this traitorous official and establish great merit, no office is out of your
reach.” The next day they returned with their army and reached the grand
camp of Yuan Shao.
Two days later, Cao Cao spoke in the camp, “Xiao He recommended Han
Xin three times, and this gave rise to the Han, which has lasted for four
hundred years.” The Prince of Ji was setting out a grand feast and invited
Prime Minister Cao and the liege lords. Just as the main banquet was
progressing, someone reported that the Marquis of Wen, Lü Bu, was
challenging them to battle at Tigerkeep Pass. The Prince of Ji asked, “Who
dares battle to death with Lü Bu?” He hadn’t finished speaking when
everyone saw a general come forth, and they recognized him as the Infantry
General Cao Bao, who was in the employ of Tao Qian, the prefect of
Xuzhou. He spoke of his own volition, “I will battle to death with Lü Bu,
and I want to capture him.” The assembled officers were all delighted. He
got on his horse and arrayed his troops against Lü Bu, but he was quickly
taken by Lü. In less than two hours his defeated troops had returned,
explaining that the Marquis of Wen had seized Cao Bao after a single
round. The Prince of Ji was alarmed. Someone then said, “But they have
released Cao Bao to return!” When Cao Bao entered the camp, the host of
officers all said, “Lü Bu is undefeatable and wants only to capture us, we
liege lords of the eighteen garrisons.” Every one of the officers was filled
with fear.
At dawn of the next day, a spy reported, “Lü Bu has left Tigerkeep Pass
with an army of thirty thousand [16b] and challenges us to battle.” The
Prince of {37} Ji asked the host of officers, “Who will do battle with the
Marquis of Wen?” Before he had finished speaking, Sun Jian, prefect of
Changsha, had led out his army and horse to face off with Lü Bu. He and
Lü Bu had only fought for three rounds before Sun Jian was mightily
defeated. Lü Bu chased him into a great forest and launched an arrow that
struck Sun Jian. Sun Jian then employed “the golden cicada husks off its
shell” stratagem—that is, he hung his armor and clothes on a tree and fled.
Lü Bu sent the strong general Yang Feng off to Tigerkeep Pass with Sun
Jian’s helmet and battle garb to turn over to Dong Zhuo. But on his way, he
ran smack into Zhang Fei, who wrestled the helmet and battle garb away
from him.
At day’s light, Zhang Fei reached Yuan Shao’s great camp and got off his
horse. He went to see the First Ruler and Lord Guan. Xuande explained,
“Sun Jian said that we were nothing but cats and dogs, just sacks to stuff
with food and bone racks on which to hang clothes.” The First Ruler said,
“He is the prefect of Changsha, and I am just a green-robed esquire. How
can I even hope to get the best of him?” Zhang Fei laughed and shouted, “A
real man doesn’t worry about life or death, but plans a name for later
generations!” Neither the First Ruler nor Lord Guan could stop him, and
Zhang Fei took off straight for the Prince of Ji’s tent, where he presented
the helmet and battle garb to the prince. The Grand Protector Sun Jian and
the other officers were silent. In a voice like a huge bell, Zhang Fei said,
“Earlier the prefect called us the likes of cats and dogs. But when Lü Bu
came out of the pass, the prefect got to escape by husking off his battle
garb.” Sun Jian was outraged when he heard this, and pushed Zhang Fei out
with the intent of cutting off his head. All of the liege lords stood up, but
Yuan Shao, Prince of Ji, Liu Biao, Prince of Jing, and Cao Cao of Qiao
Commandery said, “Lü Bu’s might cannot be matched. If we decapitate
Zhang Fei, who will smash Dong Zhuo?” Sun Jian was silent, and Zhang
Fei offered, “When Lü Bu comes out of the pass, we three brothers will cut
the head off that slave.” The host of officers was delighted and Zhang Fei
managed to get out of it.
On the third day, Lü Bu came out to battle again, and all the liege lords
went out of the encampment to face off with Lü Bu. Zhang Fei rode out
holding his spear

The Three Battle Lü Bu

and battled with Lü for more than twenty rounds, but there was no clear
winner. Lord Guan flew into a rage, let his horse run free, and twirling his
blade battled twice with Lü Bu. The First Ruler couldn’t stand it anymore
and employed his double blades, riding three times against Lü Bu, who was
greatly defeated and fled, returning back up Tigerkeep Pass to the
northwest.
{38} The next day Lü Bu came down out of the pass and shouted, “Send
out the big-eyed fellow!” [17a] Zhang Fei, greatly enraged, came out on his
horse, holding his divine eighteen-foot spear, and with round eyes glaring
went straight away to seize Lü Bu. The two horses met for more than thirty
rounds, but there was no clear winner.

Zhang Fei Battles Lü Bu Alone

Zhang Fei had always loved battle and he smashed into his opponent and
battled him for thirty more rounds, and in that fight one of Lü Bu’s battle
flags wrapped around his face. Zhang Fei was like a god and Lü Bu quailed
in his heart, and spurred his horse back up into the pass, closed it tightly,
and did not come out again. Lü Bu had the four miscreants tightly guard the
pass. These four miscreants were Li Jue, Guo Si, Zhang Ji, and Chu Chou.

Diaochan

Let us go back now to speak of Grand Preceptor Dong, who had intercepted
the royal chariot in Luoyang and taken the emperor west into Chang’an.
The emperor took a seat in the Palace of Eternal Peace and ordered the
Grand Preceptor to lay a banquet. When it got late, the emperor, feeling the
effects of the liquor, returned to his rear chambers. Dong Zhuo spied
Consort Four,46 and began to flirt with her in suggestive language. There
was a prime minister there, Wang Yun, who in pique said to himself, “There
is no ruler in the empire!”
Wang Yun went back to his residence and dismounted, and sat glumly in
a small courtyard. He told himself that Emperor Xian was weak and
powerless; now that Dong Zhuo had grasped power, the empire was in deep
peril. Suddenly he saw a woman burning incense, remarking that she would
not be able to return home and see her master again. She burned incense
and made two bows. Wang Yun said to himself, “I am troubled by state
affairs, but what’s this woman praying for?” He had no other recourse but to
go and ask her, “Why are you burning incense? Tell me the truth.” He
scared Diaochan so much that she fell quickly to her knees, daring not to
hide anything. She truthfully revealed her feelings, “This humble concubine
was originally surnamed Ren, and my child name was Diaochan. My master
was Lü Bu, but we were separated at Lintao and haven’t seen each other
since. This is why I’m burning incense.” The prime minister was overjoyed,
“This woman is the one who will bring peace to {39} the Han empire.” He
returned to a hall and summoned Diaochan, “I will look upon you and treat
you as my own child.” He then gave her gold, pearls, and bolts of silk and
sent her on her way.
Several days later, the prime minister invited Grand Preceptor Dong
Zhuo to a banquet. As the day drew late, the Grand Preceptor was feeling
the effects of the wine and the candles and lamps appeared to be flickering
and shimmering. Wang Yun gathered dozens of beautiful women in a
cluster, and placed Diaochan in the middle with the others around her. In
her chignon were stuck short golden pins with green-tinted white jade; on
her body she wore a chemise of crimson silk woven with golden threads.
She was a veritable state-toppling, city-toppling beauty! Dong Zhuo [17b]
was greatly taken aback, and his gaze moved over her awhile before he said
to himself, “My rear chambers simply lack a woman like this!” Wang Yun
had her sing, and the Grand Preceptor was delighted. Wang Yun said,
“She’s a person from Lintao, west of the pass;47 her surname is Ren, and
her child name is Diaochan.” The Grand Preceptor became infatuated with
her, and the prime minister assented to the match. When the feast ended, the
Grand Preceptor also arose.
At dawn the next day, the prime minister thought to himself, “I have
eaten my lord’s salary as a minister, but now I have come up with a plan to
make the house of Han secure once again. If I am not successful, I will at
least earn a reputation through my death.” Immediately he invited Lü Bu to
a meeting and fêted him until late in the day, when the minister once again
had Diaochan come out and sing at the banquet. Lü Bu looked at her and
thought to himself, “Ding Jianyang rebelled at Lintao in those days past,
and I didn’t know where my wife Diaochan ended up. But here she is
today!” Wang Yun took up a cup and spoke, “Marquis of Wen, your face
has taken on a look of anxiety, but why?” Lü Bu rose from his seat and told
everything in precise detail. The prime minister was overjoyed, “Now there
is a ruler in the empire of Han!” The prime minister spoke again, “I didn’t
know she was your wife. There’s nothing happier in the world than the
reunion of husband and wife.” And then he went on, “I have treated her as
if she were my own daughter. Let’s select an auspicious date and propitious
hour, and I will send Diaochan to the residence of the Grand Preceptor,
where she can become your wife again.” Lü Bu was extremely happy, and
as it drew late, he announced he was going home.
Within a few days Wang Yun dispatched Diaochan, accompanied by a
young serving girl, in a four-in-hand, bearing rich gifts to the Grand
Preceptor’s residence. That day, the third day of the third month of the
seventh year of the Zhongping reign,48 the Grand Preceptor was sitting
silently when someone {40} reported, “Prime Minister Wang Yun has sent
someone here in his four-in-hand and with rich gifts.” The Grand Preceptor
scurried out and welcomed him in the reception hall, remarking, “Is it
Diaochan?” “Yes, it is,” said Yun. The Grand Preceptor had wine put out.
Wang Yun spoke, “I am feeling a little ill, so I won’t tarry here.” He bade
the Grand Preceptor goodbye and left.
Late that night, Dong Zhuo and Diaochan drank together. Now Dong
Zhuo was a lecher and a drunk. About two days later, when Lü Bu returned
from the Serpentine,49 he dismounted at the front of the residence, and his
eight strong generals all scattered. Late that night the Marquis of Wen heard
the sound of music tinkling and ringing in the residence, and he asked his
attendants why it was happening. All of them explained, “He’s got a woman
from the prime minister; it’s that Diaochan!” Lü Bu was greatly shaken and
walked to a place underneath the gallery corridor, [18a] but there was no
way he could see inside. Suddenly he saw Diaochan push aside the curtain
and come out. Lü Bu was incensed and asked, “Where is that miscreant?”
“He’s already drunk,” replied Diaochan. Lü Bu raised his sword and went
into the hall, where he saw Dong Zhuo snoring like thunder, lying there like
a mountain of flesh, and cursed him, “You, miscreant, you have no morals!”
A single swipe of the sword cut his neck, and the fresh blood spurted out.
He stabbed Dong Zhuo, who then died.
Lü Bu went quickly out of the house and fled to the prime minister’s
residence. Wang Yun quickly asked him what was happening. Lü Bu told
him the whole story from the start. The prime minister, overjoyed, said,
“You will be the most famous man of this age! If you had not slain Dong
Zhuo, the Han empire would be in as much danger as a stack of piled-up
eggs!” As they were speaking, a gate guard reported, “Li Su is outside,
sword raised, looking for Lü Bu.” The prime minister went outside with the
speed of fire and saw Li Su approach, who said, “Lü Bu has killed the
Grand Preceptor. If I see Lü Bu, a thousand slices will cut his body to
shreds.” Wang Yun said, “You are mistaken, general. The house of Han has
lasted for four hundred years. Your ancestor Li Guang supported the house
of Han. Dong Zhuo has recently monopolized all the power and Lü Bu has
extirpated him. You say you ‘will slay Lü Bu,’ but if you do your name will
be cursed throughout the world—unlike your ancestors. One who can
dismiss the dark to let the light shine is truly a great man.” Li Su threw his
sword on the ground, clasped his hands, and bowed, saying, “You are right,
Prime Minister. I request to speak with the Marquis of Wen.” When the two
met, Lü Bu told him all about Dong Zhuo’s immorality. Li Su said in a rage,
“I never knew the truth of the matter!”
{41} Lü Bu had taken his leave of Wang Yun and returned to his house
when the gate guard reported, “Defender-in-Chief Wu Zilan has surrounded
the residence with ten thousand soldiers.” Lü Bu thought to himself, “I
cannot stay in Chang’an any longer.” He summoned the eight strong
generals, and with three thousand men, he took the eastern gate and then
departed. Defender-in-Chief Wu Zilan was catching up behind him and
another ten thousand men blocked the way ahead. But when the dead Dong
Zhuo’s four grand marshals—Li Jue, Guo Si, Fan Chou, and Zhang Ji—
cursed him as a “slave,” the Marquis of Wen gave no response and smashed
through their formation.

Lü Bu and Liu Bei

Ahead, he reached Tong Pass, where the prefect of Qiaojun, Cao Cao,
blocked his way and this set the two armies against each other. Lü Bu took
the pass and went out. After he had gone eastward for many li, he came
across the prefect of Suiyang [18b] Guo Qian, who said, “Marquis of Wen,
don’t enter my city, I will give you gold and pearls.” Lü Bu went on in a
northeastern direction. After a few days he came to a place that was very
rich in mulberry and hemp. When he asked which place this was, people
told him, “This is the area of Xuzhou.” And when he asked who the prefect
of Xuzhou might be, they told him, “That was the old general Tao Qian. But
on his deathbed he thrice ceded Xuzhou to Xuande.” Lü Bu thought to
himself, “In front of Tigerkeep Pass we became enemies for life.” But he
also thought, “I have not even a square inch of land to call my own.” At his
side Cheng Gong said, “Guan, Zhang, and Liu Bei are all tigerlike
generals.” When the marquis of Wen kept silent, Chen Gong continued,
“Liu Bei is a man of humanity and virtue. You should write him a letter.”
Lü Bu immediately wrote a letter for Chen to take into Xuzhou to show
Xuande. Xuande invited Chen Gong to sit down. Chen Gong presented the
letter to Xuande, and he read its contents.

Filled with shame, your younger brother Lü Bu kowtows and addresses

the general’s banner of Lord Xuande, warden of Xuzhou.
At present the weather of the first month of summer is clear and
pleasant, now that the plum rains have just cleared away. Humbly I
consider that Your Honor is advancing in rank with each action and from
his tiger tent conducts his administration with ease, and I therefore have
the temerity to implore your divine intelligence to rescue and protect me.
The battles at Tigerkeep Pass were not my crimes, but all the fault of
Dong Zhuo. But I am only too well aware of my own crimes and am
filled with worry on that account. I should have visited your abode earlier
to pay {42} my respects and offer my apologies for transgressions of
former days. Since I have left Chang’an, my men are worn out and my
horses lack fodder, so we cannot proceed any further. If you would be so
kind as to forgive me, I would be unable to contain my joy. Take good
care of yourself until the day we may meet.

In haste.

Lü Bu Submits to Xuande

When Xuande had read the letter, he was very pleased, and after he had
treated Chen Gong to wine and a meal, the latter took his leave and left.
One general stepped forward and said to Xuande (this general was Jian
Xianhe), “My lord, haven’t you heard about Prefect Ding Jianyang from
Lintao? Lü Bu addressed him as father but killed him because of that Red
Harrier. Just recently in Chang’an he killed Dong Zhuo because of
Diaochan. What to do if this Lü Bu, while the two generals Zhang and
Guan are not in this city, would betray us and rob us of Xuzhou?” The First
Ruler said, “Lü Bu may lack humanity, but he is now without fangs and
claws, and he also begs us piteously in this letter, so he can rest for a while
in this city.” Liu’s officials could not change his mind.
The next day at break of dawn, the First [19a] Ruler invited Lü Bu into
the city to the music of drums, and banqueted him in the big hall for a few
days. To the consternation of his officers, Xuande addressed Lü Bu as elder
brother. A flustered Jian Xianhe immediately secretely dispatched a trusted
follower to get Guan and Zhang and bring them back into the city.
The next day, at break of dawn, Xuande and his two younger brothers
met with Lü Bu. A few days later, Lü Bu raised a question with his officers,
saying, “From the time we crossed Tong Pass we have not found a single
square inch of land to call our own.” Chen Gong said to the Marquis of
Wen, “You must have heard that the world consists of nine regions and that
Xuzhou is the top commandery. It is a place from which kings rise. Once
you obtain Xuzhou, you can consider the rest of the empire as nothing.” Lü
Bu replied with a smile, “Of course I want to take Xuzhou, but Xuande has
treated me extremely well. On top of that, Guan and Zhang are generals
who are as fierce as tigers and wolves. What would we do if we fail?”
A few days later, when Lü Bu and Xuande were sitting together, the First
Ruler said, “Fengxian, you have no place to stay. It is only my humble
opinion, but eighty li to the northwest is Xiaopei. What about stationing
your troops there to build up your strength?” Lü Bu was very pleased and
the next day he took his leave of the First Ruler and led the troops under his
command to Xiaopei.

{43} Half a year later, more or less, someone reported to the First Ruler,
“Yuan Shu in Shouchun, four hundred li south, has sent out his Crown
Prince Yuan Xiang at the head of an army that is on its way to take
Xuzhou.” The First Ruler immediately appointed Zhang Fei as a reception
envoy to welcome Yuan Xiang in the south. Some thirty li of travel brought
Zhang to a pavilion called Stone Pavilion Posthouse, where he received
Yuan Xiang. When the two had exchanged ritual greetings, Zhang Fei set
out three rounds of wine, and when this was finished, Yuan Xiang discussed
the matter of Xuzhou. Zhang Fei did not accede to his demands, so Yuan
Xiang rudely swore, “Xuande is a hick who weaves mats and plaits
sandals!” Enraged, Zhang Fei cursed, “My brother is the son of a whole line
of emperors and kings, the seventeenth-generation grandson of Emperor
Jing of the Han, and a descendant of the Quiet Prince of Zhongshan. When
you curse him as ‘a hick who weaves mats and plaits sandals!’ you insult
my brother. Truly, it’s your ancestors who are nothing but farm boys.”
Zhang Fei was about to leave abruptly when Yuan Xiang began to strike
him.

Zhang Fei Hurls Yuan Xiang to the Ground

Zhang Fei grabbed him tight, lifted him up with his hands, and hurled him
down to the ground at the Stone Pavilion. None of the officers exhorted him
not to, so he killed Yuan Xiang by smashing him on the ground.
Those who accompanied Yuan Xiang went back and saw Yuan Shu. Yuan
Shu wept, [19b] “That damned Zhang Fei!” He immediately ordered his
major general Ji Ling to take Xuzhou with three hundred thousand troops.
The First Ruler left Zhang Fei in charge of Xuzhou, while he and Lord
Guan and the other officers went south to confront Ji Ling and they stayed
away for a month.

But let’s now tell how Zhang Fei was drunk every day and never once
sobered up. He did not attend to business. Cao Bao, one of two officials
who served Zhang Fei, vilified the deceased Tao Qian, “Couldn’t you
entrust Xuzhou to me? No, you had to cede it to Liu Bei! Liu Bei has gone
south to confront Ji Ling; no one is sure how the battle will turn and Liu Bei
has placed this nobody in charge of the prefecture! All the common people
are filled with resentment.” Cao Bao tried to coax Zhang Fei through
rhetorical persuasion, and when the latter did not heed him, he vilified
Zhang Fei. Zhang Fei flew into a rage and said, “I have been the first in
giving my all for the state. Since my brother has taken Xuzhou, it’s right
that he puts me in charge in the interim.” Then he whipped Cao Bao. When
Cao Bao went to his eastern residence, he came up with a plan that would
pay back the injustice he had just suffered. He had his son-in-law Zhang
Ben secretly write a letter and go to Xiaopei to see Lü Bu, who not only
wined and dined him, but also gave him gold and pearls. After {44} Zhang
Ben went back, Lü Bu asked his officers, “What shall we do now?” Chen
Gong replied, “Xuande went south to confront Ji Ling, and Zhang Fei is
totally drunk every day.”
 Cao Bao Offers Up Xuzhou

The Marquis of Wen led his troops to Xuzhou where Cao Bao immediately
offered up the west gate, and Lü Bu entered the city. Zhang Fei was drunk
as a skunk when someone advised him, “Her Ladyship is coming.” This
was Xuande’s wife. Her Ladyship said, “Uncle, your elder brother has gone
south to defeat Ji Ling and the outcome of that battle is still unclear. But
you are ‘under the weather’ every day. What will happen to us if Xuzhou is
lost?” But Zhang Fei replied, “Who would even dare glance at Xuzhou?”
Before he had finished speaking they suddenly heard war cries shaking the
earth and someone explained to Zhang Fei, “Cao Bao has seduced Lü Bu
into action and led him into the city.” Zhang Fei was flabbergasted and Her
Ladyship looked up to heaven and wept. Zhang Fei mounted his horse and
engaged Lü Bu in battle, and the confused struggle lasted until evening,
when Zhang Fei took the gate and made his escape. Two hundred li down
south he met up with the First Ruler and explained the incident in detail.
Lord Guan was furious with Zhang Fei.
The next day the First Ruler marched his army back and at some twenty
li from Xuzhou he made camp. Xuande also thought, “Lü Bu is bound to
kill [20a] my wife and son, so let me write a letter to him in order to save
my family.” He immediately wrote a letter and had Jian Xianhe take that
missive into the city and deliver it to Lü Bu. When Lü Bu read it, it turned
out to reveal that Liu Bei was willing to abandon Xuzhou and retire to
Xiaopei. Very pleased, Lü Bu sent Her Ladyship Mi and the Crown Prince
Aji50 out of the city to meet with Xuande. Xuande promptly started to lead
his troops to Xiaopei to live in retirement.
But someone then reported, “Ji Ling had brought thirty thousand troops
and demands Xuzhou.” Now Ji Ling was a famous general of Yuan Shu.
The First Ruler immediately led his troops and made camp on the western
side, while Ji Ling made camp on the southern side, since their plan was to
starve Xuzhou into submission. Lü Bu then also led his troops out of the
city and made camp on the eastern side. Lü Bu wrote a letter to Ji Ling and
Liu Xuande, in which he set a day for a banquet, “To which I invite the two
of you.”
{45} Lü Bu was seated in the tent that he had set up on a high hill. When
the banquet was over, he said, “The emperor of the Han is a coward and a
weakling, and the empire is still in turmoil. Yuan Shu in Shouchun should
stick to his eastern garrison. As for Xuzhou, when Tao Qian was still alive
he originally ceded it to Lord Xuande. But recently Yuan Shu has demanded
Xuzhou. Let me now solve both of your problems.” At a distance of one
hundred and fifty paces he had his men plant a square-heaven dagger axe in
the earth, and he said, “I will shoot one arrow to hit the hole in the coin on
top of the dagger axe. If I hit it, you two end your campaign. If I don’t hit it,
Ji Ling still will march his army back, and if he doesn’t do so, I will help
Xuande attack Ji Ling. And if Xuande doesn’t send his armies back, I will
assist Ji Ling in attacking Liu Bei.” The two generals agreed to the
proposals, and Lü Bu released his arrow. A poem reads,

The merit of a single arrow achieved the establishment of great peace:

Thirty thousand heroic soldiers threw down their lances and spears.
In those days his daring and courage were without equal among men,
And so we in later generations still praise his pure name.

Lü Bu’s single arrow hit the hole in the golden coin, so Ji Ling marched his
army back. The First Ruler treated Lü Bu to a banquet. After three days he
returned to Xiaopei, while Lü Bu returned to Xuzhou.

About a half-year later when Liu Bei one day was seated in his office the
gatekeeper reported, “Some elders have reported to me that the countryside
is swarming with bandits.” The First Ruler ordered the two generals Guan
and Zhang to go and arrest these bandits. Zhang Fei led a mixed group of
one thousand brave horsemen twenty li directly east of Xiaopei. When he
arrived at the edge of a forest, [20b] he dismounted and sat down. His
underlings brought wine and offered a cup to Zhang Fei, who said with a
smile, “What I love is this good brew!” He finished it in one gulp and then
fell asleep, leaning against a tree. When it came to the second watch,
straight east the sound of bells could be heard. His aide alerted Zhang Fei,
who mounted his horse and went due east. After a few li he came across a
thousand soldiers, including their leader, who were escorting who knows
how many boxes and bags, crates and baskets. Zhang Fei thought, “This
must be those bandits.” With one single loud shout he scared those people
away and stole their money and goods. But their leader Hou Cheng51 said,
“The Marquis of Wen has sent me to Yanjing to buy horses.” Zhang Fei
didn’t believe him and had his soldiers take the booty to Xiaopei and
present it to the First Ruler. Hou Cheng told Liu Bei, “Those are the money
and goods for buying horses and belong to the Marquis of Wen.” {46}
When the First Ruler looked at them more carefully, he was frightened and
cursed Zhang Fei—all those goods did belong to Lü Bu. The First Ruler
and Lord Guan wanted to send Zhang Fei to Xuzhou and offer him up to Lü
Bu, but then they thought of their oath in the Peach Garden.
A few days later Lü Bu led thirty thousand troops and his eight stalwart
generals and made camp twenty li from Xiaopei. The next day he led his
troops to the city walls and engaged in a conversation with Xuande, and
said he only wanted Zhang Fei, but the First Ruler refused. Lord Guan said,
“Zhang Fei, you whipped that inspector general in Anxi and we lost half
our troops and had to live as bandits for three years. Just now Xuzhou was
lost. That was all your fault. And now you have seized Lü Bu’s money and
goods, and that is your fault too!” Enraged, Zhang Fei mounted his horse,
saying, “Those who dare die follow me!” Thirty-eight horsemen lined up
for battle.

Zhang Fei Thrice Leaves Xiaopei

After they had gone for some twenty li they arrived at a large forest where
they dismounted. Yide said, “I lost Xuzhou and now Xiaopei is endangered;
it is all my fault. If I don’t achieve merit, I will be too ashamed to face my
brothers.” And Zhang Fei also explained, “Lü Bu committed a crime in
Chang’an and then fled east through Sword Pass to Xuzhou. Recently it’s
come to light that Cao Cao, under imperial orders, is encamped at Suishui
in command of an army of a hundred thousand with a thousand famed
officers, solely to track down and arrest Lü Bu. With my eighteen horsemen
I will go to Suishui, see Lord Cao, and borrow troops to defeat Lü Bu.”
After a few days on the road they arrived in Suishui, where he paid court
to Cao Cao and told him the whole story, asking for troops to save his
brothers. [21a] But Cao Cao said, “I haven’t seen Xuande from the time he
left Tigerkeep Pass, so I cannot know whether you speak the truth when you
want to borrow troops.”
“Prime minister, you are right,” said Zhang Fei, “I will return to my
brother and get a letter.” Too hurried to take proper leave of Cao Cao, he
immediately mounted his horse and returned with his eighteen horsemen to
Xiaopei. When Zhang Fei saw that Lü Bu had encircled the city as tightly
as an iron bucket, he had to really make an effort before he could open up a
bloody passage into the city. His two brothers asked him, “Where have you
been these last few days?” And Yide explained, “I fought my way through
the battle line and was able to reach Cao Cao in Suishui to ask for relief.”
The First Ruler was greatly surprised and asked, “And didn’t you get any
troops?” Zhang Fei replied, “The prime minister said that I wasn’t carrying
any proof, so I’ve come back to get a letter.” The First Ruler immediately
wrote a letter, which he entrusted to Zhang Fei.
{47} The next day Zhang Fei once again left the city with his eighteen
horsemen and fought Lü Bu. The latter thought, “That bandit general has
been coming and going a number of times, so he must be seeking a relief
force.” But the Marquis of Wen was unable to block his way and Zhang Fei
and his eighteen men smashed through the battle lines. After a few days he
reached Cao Cao’s major camp. When the prime minister heard this, his
pleasure was boundless. Zhang Fei delivered the letter to Cao Cao, and the
letter read,

Filled with shame, your friend Liu Bei kowtows and addresses the banner
of the prime minister.
At present it is the middle month of autumn. Humbly I consider that
Your Excellency with each action he takes rises in rank. But not shying
away from your power and authority I have the temerity to inform you of
my distress.
Presently there is that bandit Lü Bu, who executed Dong Zhuo and
then fled from Chang’an. Once he obtained Xuzhou through surprise
attack, he is now besieging Xiaopei. Alas, my army is small and my
officers are few, the moat is shallow and the walls are low. Our situation
is as urgent as if we were hanging upside down, and as perilous as that of
piled-up eggs. I have therefore ordered Zhang Fei to take a letter and visit
you despite the distance. If you would show us the kindness of your great
grace, and especially if you would end the siege for us, not only would I,
Liu Bei, receive your favor but the common people would benefit from
your grace as well. If we can capture Lü Bu alive, the emperor will see
Great Peace. Humbly I beg you to consider this request.

In haste
When Cao Cao had finished reading this letter, he was overwhelmed by joy.
And he also said, “Zhang Fei’s bravery caps the world. None of the officers
under my command are his like!” He also explained, “Zhang Fei, you are
nonofficially appointed General of Chariot and Horse! If I return to court
after this campaign in the east against Lü Bu, I will have you formally
appointed!” He ordered that Zhang Fei and his eighteen riders be given
wine and meat. [21b] He ordered people to carry the wine out of the camp.
From a tent to the southeast two officers appeared, and one of them called
Zhang Fei to dismount so they could meet, and when these two met each
other, they were very happy. Lord Cao said, “This is Xiahou Dun.” Xiaohou
said, “I see that the prime minister intends to go north and save Xiaopei, so
who will be vanguard?” So he immediately appointed Xiahou Dun
vanguard.
Within a day or so the prime minister broke camp and set out with all his
men and after a few days they reached Xiaopei. Lü Bu and his troops came
out {48} to confront them and Xiahou Dun rode out to do battle with Lü
Bu. After only a few rounds Lü Bu feigned defeat, and when Xiahou Dun
hotly pursued him, Lü Bu released an arrow that struck Xiahou Dun right in
his left eye. Xiahou Dun dropped from his horse and pulled out the arrow.
Xiahou said, “This eye is the seed of my father and the blood of my mother:
it cannot be discarded!” Holding his eye in his mouth he mounted up and
continued the fight. Lü Bu said, “This is no ordinary man!” Lü Bu was
utterly defeated. Seven li from camp on his return, Xiahou Dun saw Zhang
Fei who had also employed his troops. The latter hastily joined Xiahou Dun
and they returned to see Cao Cao. Cao Cao treated Xiahou Dun’s wound
with ‘metal arrowhead medicine.’
Three days later Lü Bu once again issued a challenge to battle. Zhang Fei
fought more than three hundred rounds with him but the outcome remained
undecided. But when the First Ruler of Xiaopei, Lord Guan, and the other
officers together with the thousand of mixed brave horsemen inflicted a
huge defeat on Lü Bu, he fled in an easterly direction toward Xuzhou. Ten li
from the city, he heard a great commotion in front of him. Someone told the
Marquis of Wen that there were defeated troops ahead.
Among them was Diaochan, who came to see him awash with tears, and
who told him that Cao Cao had ordered Xu Chu to occupy Xuzhou. Lü Bu
thought to himself, “Xuzhou is already lost; there is also Cao Cao who will
have an overwhelming force when he unites with Liu Bei, Lord Guan, and
Zhang Fei.” So he fled eastwards toward Xiapi. When he had arrived in that
city, he did not leave its walls for several days. Someone told Lü Bu, “They
are coming again.” When he had asked about their numbers, Chen Gong
spoke up and said, “Marquis, you should divide your troops in two
companies. Eighty li to the northwest from here is Ram’s Head Mountain, a
place that can be easily defended. While you stay here at Xiapi, I will go to
Ram’s Head Mountain. In case Cao’s troops attack Xiapi, I can protect you,
and in case Lord Cao attacks Ram’s Head Mountain, you can protect me.”
Chen Gong added, “Master Sun Wu has said….52 Even I cannot oppose the
power of Zhang Fei!” Lü Bu replied, “Chen Gong, what you propose is
right on the mark!”
Lü Bu met with Diaochan in the back room. When he explained it to her,
[22a] she wept and said, “Fengxian, don’t you remember how we were
separated when Ding Jianyang rebelled in Lintao and the troops of Ma Teng
arrived on the scene? We were separated and for three years could not see
each other. After you killed Dong Zhuo you had no place to turn and fled
east of the Pass. But now Xuzhou is lost. If you divide your army into two
companies, the two forces will be separated. If we are separated, when will
I see your face again?” Diaochan added, “‘In life we share a room, in death
we share a grave.’ {49} I will never leave you ‘til the day I die.” “You are
right,” a happy Lü Bu replied. The Marquis of Wen enjoyed his happiness
with Diaochan every day. When someone came to tell him, “Lord Cao’s
army has arrived, and the city is in imminent danger,” he seemed not to care
at all, and none of his officers could talk sense into him. A few days later
someone knocked on his window in the fourth watch of the night, shouting,
“Xiapi is on the verge of being lost!” When the Marquis of Wen put on his
clothes and came out, he saw his stalwart general Chen Gong, who said,
“Cao Cao has opened the dikes of the Yi and the Si Rivers, inundating the
area all around Xiapi.” At daybreak all the officers followed Lü Bu as he
climbed the wall, and Chen Gong also said, “Marquis, when I earlier
suggested that you divide your army into two companies in order to protect
Xiapi, you didn’t listen to me. Now Minister Cao has inundated the fields
outside Xiapi, and there are no plans left to consider.” The Marquis of Wen
did not say a word, but descended from the wall and went to his compound,
and again enjoyed his happiness with Diaochan every day, leaving his
officers fuming with rage.
About half a month later he suddenly saw several men pull aside the curtain
and enter. Among them Lü Bu recognized Chen Gong, Hou Cheng, and
Zhang Liao. Hou Cheng was the one who addressed him, saying, “Marquis,
we have followed you all the way from Lintao, but now after several years
we still have not a square inch of land to call our own. Now Cao Cao and
Liu Bei are camped outside the city with their two huge armies, the waters
of the Yi and the Si are seeping into Xiapi, and our provisions are almost
gone. Any day now Xiapi will be forced to surrender and then we all will
die, but you are just enjoying each day with Diaochan.” Lü Bu laughed and
said, “Those outside are Cao Cao and Liu Bei, they know me well! If the
city is flooded by the water of the Yi and the Si, I have a horse called Red
Harrier and Diaochan and I will flee on the back of that horse. That horse
can cross moats, so what should I fear as I float away with Diaochan?” One
of those men loudly cursed him out, “Lü Bu, you are a lowly born cur! You
may say you will get away with Diaochan afloat on the water, but what
about our troops and officers who number thirty thousand and the thirty
thousand families of the common people inside the city?” He had barely
finished speaking when he cursed him again. Lü Bu saw that it was Hou
Cheng and ordered him shoved outside and beheaded. The other officers
pled on his behalf and were able to save his life but he received thirty
strokes with the cudgel. Lü Bu went back to his room, and the officers
dispersed.
Three days later the officers still couldn’t let go and a drunk Hou Cheng
cursed Lü Bu. That night he went straight to the back courtyard,

{50} Hou Cheng Steals the Horse

and when he saw that the grooms were drunk as skunks, he stole the horse.
When he arrived at the west gate he ran into the stalwart general Yang Feng
who said, “Hou Cheng, you are stealing the horse.” After he was killed by
Hou Cheng, the latter breached the west gate and crossed the flood floating
on the horse. At the fourth watch Guan Yu was on his rounds and captured
Hou Cheng, and he obtained the horse. At daybreak he visited Cao Cao and
told him the whole story. Minister Cao was very pleased.

Let us now go back to speak about Lü Bu who was sitting across from
Diaochan. When someone told him that Hou Cheng had stolen his horse, Lü
Bu was greatly surprised. The person went on, “He has killed Yang Feng
and joined Cao Cao. What shall we do now?” None of his officers said a
word.
In just a few days Cao Cao gave orders to block the upstream part of the
river with boards, and he opened a riverway downstream. He released all of
the water, and had the moat filled with sand and stone, and bushes and trees.
He erected catapults to bombard the city walls. Cao Cao brought his army
forth and issued a challenge. Lü Bu came out of the city gate on a different
horse to confront the enemy. Engaging in battle with Xiahou Dun he
feigned defeat. But when Lü Bu took flight, Cao Cao led his troops in a
massive attack as soldiers lying in ambush rose on all sides. Lü Bu fled
west in a panic but ran smack into Lord Guan. Then Lü Bu had an idea to
go east to Xiapi but he ran straight into Zhang Fei.

Zhang Fei Captures Lü Bu

Together the generals captured Lü Bu and made him prisoner. Cao Cao sent
someone to shout out loudly to the eight generals and other officers, and
they all came to surrender. Cao Cao marched his troops back. Upon
entering his camp, he took his seat in his tent and questioned these officers.
Then, he ordered that the shackled Lü Bu and Chen Gong be brought before
him. He asked Chen Gong, “You first served me, later joined Gongsun Zan,
and then secretly fled to cast your lot with Lü Bu. What to do now this
enterprise has failed?” Chen Gong replied with a smile, “It’s not my fault. I
first joined you, Prime Minister, but you harbored the intention to usurp the
throne. I later saw that Gongsun Zan messed up [23a] completely, so I
joined Lü Bu. But who could have known that this bandit would rebel?
Now that I have been captured, only death will be appropriate.” Cao Cao
said, “What if I would spare your life?” But Chen Gong said on his own
initiative, “That won’t do. Prime Minister, if I first joined Gongsun Zan and
then served Lü Bu and if I cast my lot with you a second {51} time, people
of later times would consider me a man without principle, so I prefer to
accept death.”

Cao Cao Beheads Chen Gong

The prime minister said, “It is fitting to behead Chen Gong, but we should
free his dependents.” Chen Gong loudly shouted, “Prime Minister, you
make a mistake! As long as you allow my son to live, you are bound to
cause yourself trouble in the future. But please pardon my mother and my
wife.” After Cao Cao had given the order for their beheading, he allowed
his mother and wife to live.
Next he ordered that Lü Bu be led before him and said, “He who stares a
tiger in the eye does not speak of ‘danger.’” When Lü Bu saw that Cao Cao
and Xuande were both seated in the tent, he said, “Prime Minister, if you
will spare my life, I will pay you back with my death. I hear that you are
good at commanding infantry and I am good at commanding cavalry. Now
if cavalry and infantry would work in tandem, conquering the empire will
be as easy as turning over one’s hand.” Cao Cao didn’t say a word, but
looked at Xuande, and the First Ruler said, “You must have heard about
Ding Jianyang and Dong Zhuo.”

Beheading Lü Bu at the White Gate

So when Cao Cao said, “Have him beheaded!” Lü Bu vilified Xuande,

“You big-eared bandit! You really want to do me in!” Cao Cao had Lü Bu
beheaded.

Alas, the day he ate the blade below the city wall
Was quite unlike that time he shot at the battle-axe in his camp.

After he had beheaded Lü Bu he consoled Xiapi. Of the generals who had

surrendered, Cao Cao especially appreciated Zhang Liao as the equal of Liu
Bei, Guan Yu, and Zhang Fei. Holding hands, the prime minister each day
drank wine with Xuande, as he hoped to make use of the First Ruler’s
support. What did it look like? There is a poem that offers a description.
The poem reads,

Liu Bei’s two eyes could see the lobes of his ears:
Arms so long they fell below his knees—he was an extraordinary man.
He was in origin a descendant of the Prince of Zhongshan—
Would he be willing to be a minister under the ministers of Lord Cao?
Newly Printed in the Zhizhi Period: The Completely Illustrated Plain Tales
—Records of the Three Kingdoms, Part I. Twenty three pages, the end.

_____________________________
1. That is, modern Sichuan (“Four Streams”). We have followed the practice that the word “River”
when standing alone and capitalized refers only to the Yangzi River.
2. On the revival of the Eastern Han and Emperor Guangwu, see Bielenstein (1986).
3. The third of the third month celebrates the Shangsi sacrifices, an ancient ablution rite that had, by
this time, become primarily a festival to celebrate spring’s return and enjoy the blessings of the
season.
4. A conventional name for high-quality rice wine.
5. The First Emperor of Qin had dispatched some five hundred thousand penal laborers into the
modern area of Guangdong and Guangxi to build roads, passes, and posthouses in the territory
occupied by the Viet peoples. This was one of the four massive cardinal-point construction projects
supposedly undertaken by the First Emperor.
6. Liu Bang; the name used here refers to his earliest days before he was on the road to the imperial
throne. He was called either Liu the Third (the third in the rank of his male cousin cohort) or Liu the
Youngest. He was from the small village of Feng in the County of Pei.
7. In the Tang and Song dynasties officials of rank five and higher wore fish-shaped tallies at their
belts.
8. These are the traditional six accoutrement of an emperor.
9. This violates a prohibition about not killing people you usurp.
10. This is a circular area that surrounds the Pole Star, and is the heavenly analogue to the imperial
seat. It is called Purple Tenuity partially because the current Pole Star was not visible as a pole star in
the earliest days of astronomy; while they understood that there was an axis, there was also this
tenuous area circumscribed by the wobbling axis.
11. Yao, Shun, Yu, and Tang are exemplary good rulers from Chinese earliest history. Yao ceded the
throne to Shun because of his virtue; Shun in his turn ceded the throne to Yu. Yu founded the Xia
dynasty and was succeeded by his own son. Tang founded the Shang or Yin dynasty, which later
succeeded the Xia. Jie and Zhou are two prototypical bad last rulers. Jie was the last ruler of the Xia
dynasty and was responsible for its collapse, and Zhou was the last ruler of the Shang dynasty.
12. The text says “polished green,” but refers to highly polished black boots that have an oily sheen,
in precisely the same way people use the term “green hair” to refer to oiled and shiny black hair.
13. All signs of great respect and gratitude shown by a ruler to his generals. The axle and the wheel
refer to the axle and wheel of the carriage in which the person so honored is riding.
14. Now speaking to Han Gaozu.
15. All metonymy for the state.
16. This refers to Han Xin’s strategy in the battle at the Wei River ( ), where he lowered the level
of the river by damming it with sandbags; afterward he forded the depleted river and attacked his
rival Long Ju ( ); he then staged a retreat, and when the opposing forces chased him, he loosed
the sandbags, drowning a considerable number of his foes. See “The Marquis of Huai-yin, Memoir
32,” in Sima Qian (Ssu-ma Ch’ien) (2008, 87).
17. Zhong Zhaohua (1990, 402 note 46) takes this as a reference to Xiang Yu, who actually slit his
own throat when surrounded.
18. Literally, “Document of Buddhist ordination.” In early colloquial texts, this can mean simply a
divine document.
19. In Western historical scholarship this movement is usually described as “Yellow Turbans.” As
described later in the narrative, adherents of the movement wore yellow headscarves to distinguish
themselves from government troops. Their headdress was, however, quite different from the turbans
worn in the Middle East and South Asia.
20. Traditional Chinese copper coins were round with a square hole. Larger amounts were counted in
strings of nominally one thousand coins.
21. To be filled out at the proper time with the proper number or wording.
22. The imperial chariot; i.e., the symbolic status of the emperor.
23. When heroes are described in the text, they are given outlandish size, strength, and build. It is
doubtful that Guan Yu was actually 2.2 meters or 7’ 3” tall.
24. Yu was the mythic founder of the Xia dynasty (twentieth–sixteenth century BCE); Tang was the
founder of the Shang dynasty (fifteenth–eleventh century BCE).
25. A tentative rendering of , which we understand as an equivalency of
.
26. Zhong Zhaohua (1990, 380) emends “about to depart” ( ) to “stood in attendance” ( ),
although the original text very clearly writes the former phrase.
27. This is one among many anachronisms in the text. Xiqing Superior Prefecture ( ) did not
come into existence until the Song dynasty, when it supplanted Yanzhou prefecture.
28. The reader will notice a large number of banquets in the text. These are normally ritual occasions
for greeting people, for celebrating victories, etc.
29. These are forked and sharpened branches that are set in the earth as a defense against cavalry.
30. Raised and lowered along the outside of the wall to crush attackers.
31. These were a group of twelve eunuchs who held considerable power under Emperor Ling, who
actually called two of them his father and mother. Duan Gui was one of the twelve.
32. The Chinese text says “discarded” or “abandoned.”
33. The Chinese texts here write “ju tao wang zhi zuo ,” which makes no sense. One
possibility is that the word “king” (wang) is a mistake for zei “bandit,” although the mistake
would neither be a scribal miscopy nor a phonological replacement.
34. Following the reading of Nikaidō and Nakagawa (1999, 68). “Harrier,” while usually referring
only to foxhounds, is used here to avoid the mistake of thinking the steed resembles a large red hare,
rather than being an excellent mount for chasing hares.
35. A humility, “to serve you in the meanest position.”
36. This was a cap worn by censors and judicial officials, which was usually square with a long
horizontal nail through it. Its name comes from that of a mythical beast, the xiezhi, that could root out
evil with its single horn.
37. The “square heaven” dagger axe had two crescent-shaped blades set opposite each other on the
staff, below the point. The tips of the crescents are at the right angles of a perfect square.
38. A famous general of the Han dynasty.
39. Zhong Zhaohua (1990, 409 note 178) suggests that Meiyang ( ) may stand for , which is
the name given to a site west of Chang’an in Dong Zhuo’s biography in the Documents of the Later
Han (see Fan Ye 1965, 2320). On his return from Xiliang, Dong Zhuo made a walled encampment
here to “guard the imperial mausoleum.” While this may be true, it is more likely that it is a loan for
the homophone , a walled and fortified site that Dong Zhuo created for himself and his family just
east of Chang’an, known as Meiwu . See Fan Ye (1965, 2029). None of these historical sites are
near Luoyang.
40. While the text clearly writes dianku , it is likely that this is a scribal error for one of the
“Eight Colonels of the Western Garden” ( ), known as “The Colonel of the Rear Guard”
(dianjun xiaowei ).
41. An anachronistic reference to the palace of the founding emperor of the Tang, where he had
portraits painted of twenty-four people who aided him in establishing the dynasty. Here it simply
means “we will become noted men who have aided the continuation of the Han.”
42. Forbidden to any, except the imperial guard.
43. April 15, 188.
44. Liu Bei is often referred to as the First Ruler, as eventually he would become the first ruler of
Shu-Han. He is distinguished in this way from his son, the second and last ruler of Shu-Han, who is
often called the Young Ruler or Later Ruler.
45. A lower-level official; so named because of the green robe and official plaque made of sophora
wood. Here the use is a denigrating designation for Liu Bei, who stood outside the palace gates in
such attire for weeks awaiting an audience.
46. Emperor Xian’s consort.
47. In modern Gansu.
48. This date does not in fact exist. The Zhongping reign ended in the sixth year. If this is the first
year of the subsequent reign, it would be April 25, 190 CE.
49. This was a park with a twisting waterway that was called the Plain of Happy Wandering during
the Han (formally named the Serpentine later, in the Tang), and was the site of outings for the
Shangsi festival; see note 3.
50. The text constantly miswrites the name of the Crown Prince, Aji ( ), as Adou ( ); this
could be a simple scribal error of mistranscribing the simplified form of ji as dou .
51. One of Lü Bu’s “eight stalwart generals.”
52. Zhong Zhaohua (1990, 397) suggests that some words have dropped out of the text following this
line.
 {52}

{53} Newly Printed in the Zhizhi Period: The Completely

Illustrated Plain Tales— Records of the Three Kingdoms, Part II
Dashed Hopes and New Friends

[1a] Cao Cao led the troops of Lord Guan, Zhang Fei, and Liu Bei back,
marching due west for several days until they reached Chang’an. Within
three days he was received in audience by the emperor where he reported
that he had beheaded Lü Bu. Pleased, the emperor wanted to promote him
in office, but Cao Cao reported, “This was not my merit.”
“Whose was it?”
“The three from Zhuojun: Liu Bei, Guan, and Zhang.”
When the emperor summoned the three, they borrowed court gowns so
they could be received at imperial audience. Emperor Xian saw that the
First Ruler’s face was like a full moon, that his earlobes hung down on his
shoulders, and that he bore a distinct resemblance to Emperor Jing. So he
asked Xuande, “How are you related to our ancestral clan?”
“I am a seventeenth-generation grandson,” replied the First Ruler, “a
descendant of the Quiet Prince of Zhongshan. Because the Ten Constant
Attendants monopolized power under the former emperor, Emperor Ling,
our status was reduced to that of commoners.”
The emperor was taken aback and summoned the prime minister in
charge of the Office of the Imperial Genealogy to check the imperial line of
descent. The Imperial Father-in-law, Dong Cheng, informed the emperor,
“Liu Bei belongs to the imperial clan of the Han.” The emperor was very
pleased and immediately promoted Xuande to Warden of Yuzhou, General
of the Left, and Imperial Uncle. He also summoned the two generals Guan
and Zhang; he gifted them each with his grace and rewards and entertained
them at an imperial banquet. After several days, the emperor grew greatly
pleased and thought to himself, “There is the Imperial Uncle, the Prince of
Jing, Liu Biao, and there is Liu Bi of Cangzhou.53 But they have long been
absent from my presence. Now I have this Imperial Uncle Xuande; the
empire of Han has its ruler!”

{54} For a few days at that time, must we now also tell, Cao Cao claimed to
be ill and did not appear at court. When Cao Cao smashed Lü Bu at Xiapi,
how could he have forseen that Xuande belonged to the imperial house of
the Han? He was at loss for a plan.
One day as the emperor was seated in the Emerald Canopy Hall he
summoned the Imperial Father-in-law. The emperor said, “Your family,
fathers and sons, will enjoy Han stipends for generations.” And he
bestowed upon him a jade belt. The emperor returned to the rear palaces.
When Dong Cheng came out of the inner palace, he ran into Cao Cao who
said, “Do you have the jade belt that the emperor bestowed on you?” Dong
Cheng gave the belt to Cao to inspect, and when Cao finished looking at it,
he said, “You belong to the imperial house, so why shouldn’t he bestow a
belt upon you?”
When Dong Cheng took it back with him to his mansion, he told his wife
what happened. She saw that he was soaked in sweat front and back—it had
saturated several layers of clothing! His wife asked him twice, “Why are
you sweating?” The Imperial Father-in-law answered her, “The empire of
Han is about to be toppled any day.” [1b] “What do you mean?” asked his
wife. He said, “It’s Lord Cao. The palace directors and imperial eunuchs in
the inner palace all serve as Cao Cao’s eyes and ears. Else, how could he
have known that the emperor had offered me a belt as a gift?” When his
wife took the belt from him, she saw the end of a tuft of red silk, and when
she pulled it out with a golden needle, it held an imperial edict. Frightened,
the Imperial Father-in-law and his wife both said, “Our whole family would
have been finished if Cao Cao had discovered this in front of the inner
gate!”
Dong Cheng saw that the proclamation was addressed to the Imperial
Uncle Liu Xuande, the Great Defender before the Palace Wu Zilan, to him
and to the two generals Guan and Zhang, as well. When he saw this, Dong
Cheng invited Liu Xuande and Wu Zilan so the three of them might sit
together and read the edict. The edict stated,

Since We have “let our robes fall into place”54 to rule the world, buckler
and spear have arisen all over the land. Those who grow prickers and
thorns55 will of course have to be cut down and eradicated; those who
give rise to treason and flattery truly cannot be borne with tolerance.
Long ago when Dan of Yan {55} was held in ransom in Qin, a horse was
born with horns in Qin and so he could escape.56 When Gaozu was
besieged in Xingyang, Ji Xin displayed his loyalty and filiality.57 Even
though We lack virtue We are moved in Our heart by these examples now
that We are confronted with the present crisis. As far as the execution of
crafty vassals is concerned, Dong Zhuo has already been put to death, but
now there is this treacherous hero Cao Cao who holds Us “under his
 arm” to achieve his own purposes. You must know this. At present the
situation for the empire of Han is as urgent as if it was hanging upside
down and the situation for the altars for the earth and grain is as perilous
as that of piled-up eggs. I encountered no loyal ministers nor yet obtained
fine generals. If you receive this edict, you have to eliminate this
unscrupulous hero with great decisiveness and announce it everywhere
throughout the empire so everyone will fully understand it.
This edict is issued to the Imperial Father-in-law Dong Cheng, the
Great Defender before the Palace Wu Zilan, and the Imperial Uncle Liu
Xuande, as well as the two generals Guan and Zhang.
On such and such a day of such and such a month of the ninth year of
the period Zhongping.58
An imperial missive.

When these officials had read the edict, written in the emperor’s own hand,
the Imperial Uncle said, “We should deliberate carefully. If the two generals
Guan and Zhang come to know of this, they surely will go and fight Cao
Cao. But no matter what Cao Cao embarks on, he is always accompanied
by a hundred thousand troops and a hundred generals, so if both sides
confront each other, they will turn Chang’an into a mountain of corpses and
a sea of blood.” Before he had finished speaking, they heard someone shout
outside the window, “You all are quite daring! I will inform Cao Cao!”
When the Imperial Uncle opened the door to have a look it turned out to be
the Chief Doctor of the Great Court of Medicine, Ji Ping.
The three of them invited him inside the pavilion and discussed how best
to kill Cao. Ji Ping said, “The migraines that Cao Cao suffers are called
‘tiger headaches.’ As soon as that disease manifests itself, I can do him in
with a poisoned drug.” Dong Cheng replied, “At night Cao Cao sleeps on a
headrest [2a] {56} stuffed with poison pills and during the day he drinks
three cups of wine stirred with the poisonous feathers of the Zhen bird. Can
we do him in?” But, said Ji Ping, “My drug is so poisonous that his
intestines will all rupture as soon as he swallows it.” The officials were
pleased.
A month later Cao Cao’s disease manifested itself and he sent someone
to ask Ji Ping to cure it. But Lord Cao refused to take the drug, saying that it
tasted different. Ji Ping then vilified Lord Cao, “You usurping traitor, don’t
you deserve to die?” He splashed the drug [in his face], but Cao evaded it
and immediately arrested Ji Ping and quickly submitted him to torture.

Cao Cao Interrogates Ji Ping

Lord Cao asked him, “Who made you do this?” but Ji Ping didn’t say a
word. Cao Cao thought to himself, “This must have been a scheme of the
Imperial Uncle Liu Bei.”
That day he laid out a banquet and invited the Imperial Uncle to his
mansion. Cao Cao brought out Ji Ping and asked him again, “Who made
you do this?” Ji Ping vilified Cao Cao once again, “Cao Cao is a traitor who
has his eyes on the house of Han! Heaven had me poison you.” Once again
Cao ordered him interrogated under torture but Ji Ping still said, “Nobody
made me poison you.” He ordered him tortured once more but Ji Ping died.
A poem reads,

Such a treacherous hero as Cao Cao is without precedent in the past;

Using a drug, Ji Ping tried to murder that traitor.
Severly tortured under interrogation, he lost his life,
But to the end he never confessed—a true hero he!

After Cao Cao had beaten Ji Ping to death, he became deeply suspicious of
the Imperial Uncle. He said to himself, “My mistake. I should never have
brought Liu Bei to court. These three brothers are like tigers and wolves;
there is no way to deal with them.”
A few days later, Minister Cao invited Xuande to a feast, which was
called “A Meeting to Evaluate Heroes.” That scared the Imperial Uncle so
much he dropped his chopsticks.59
{57} The meeting disbanded.60
One day Cao Cao suddenly made a request of the emperor, “The traitors
in the east are too widespread.” The emperor responded, “How can we
control this?” Cao said, “Send the Imperial Uncle off to guard Xuzhou.”
The emperor assented to the request.
Xuande left and had been on the road for a month when he reached the
inn at Tiekou, about thirty li from Xuzhou. All of the officials, yamen
personnel, and commoners from Xuzhou came out to greet him.
Let us go back now to tell how Cao Cao had backhandedly also dispatched
Che Zhou to be prefect of Xuzhou, with the intent of wresting away the
First Ruler’s position. Che Zhou also arrived at the inn and asked the First
Ruler, “Do you have a proper letter from the prime minister?” The Imperial
Uncle said, “I have only the order of the August Emperor; why would I
need to have Lord Cao’s letter?” Che Zhou immediately went down the
stairs and hurried off to Xuzhou by himself. The First Ruler said, “If Che
Zhou gets to Xuzhou first and does not come out, what shall we do about
it?” Lord Guan said, [2b] “I will go on ahead.”
Lord Guan got on his horse and applied the whip, then drew near
Xuzhou,

Lord Guan Makes a Surprise Attack on Che Zhou

and attacked Che Zhou by surpise. Che Zhou made one feint, but Guan’s
“blade dropped and the head fell.”
When the First Ruler arrived, the host of officers and the aged notables
all welcomed him into the grand yamen. After the banquet given by the
officers was over, Xuande said, “My brothers Guan and Zhang, and you
officers, prepare your battle garb and armor. Sooner or later Lord Cao’s
troops will arrive.” The host of officers discussed this, and then each of
them put their garb, armor, and military weapons in order.
Within a month Cao Cao’s army indeed arrived. Lord Guan proposed to
the First Ruler, “We should divide our troops in three companies. Let me
take your dependents to Xiapi before the fighting starts.” The First Ruler
agreed to the proposal and Lord Guan took the Imperial Uncle’s dependents
with him to garrison Xiapi in the east.
{58} Zhang Fei said, “In my eyes these one hundred thousand troops of
Cao Cao are nothing at all!” A messenger informed him, “Cao Cao’s army
has made camp ten li from the city.” Zhang Fei laughed and said, “With this
scheme of mine I’ll send Lord Cao back without a single piece of armor!”
When Xuande asked him what kind of scheme, Yide replied, “According to
the book on warfare of Master Sun Wu, when fording a river or attacking a
wall an army cannot be attacked, but troops in distress can be attacked. So
tonight at midnight I will carry out a surprise attack on Cao Cao’s camp
with three thousand troops and first of all kill Cao Cao.” The First Ruler
said, “Right!”
But unknown to them in their unit was Zhang Ben, the commander of a
company of infantry, who thought to himself, “Earlier my father-in-law Cao
Bao told Lü Bu to conduct a surprise attack at night on Xuzhou and he was
later killed by Lord Guan. As a son, shouldn’t I take revenge for the
injustice suffered by my father?” Zhang Ben stealthily left Xuzhou and
entered Cao’s large camp, where he alerted him about the plan.
About midnight that night, Zhang Fei and the First Ruler led thirty
thousand troops to raid the camp. But it was empty and they found
themselves surrounded by Cao Cao’s army. The troops of Liu and Zhang
fought until daybreak and then got out, but not a single piece of armor
returned. Nobody knew whether the Imperial Uncle and Zhang Fei were
still alive. After Minister Cao had occupied Xuzhou, he comforted the
population.
When Cao Cao had taken his seat in his tent, he said to himself, “Liu Bei
and Zhang Fei may have died, but at Xiapi there’s still Lord Guan. I love
that Lord Guan, but how do I obtain him?” Someone in his command said,
“Let me go to Xiapi and coax Lord Guan with fine words.” The prime
minister recognized that it was Zhang Liao and he was very pleased, saying,
“If Lord Guan will visit me, all others will surrender.” Zhang Liao then took
his leave from Lord Cao and soon arrived at Xiapi.
[3a] Her Ladyship Gan as well as Miss Mei, with Aji in her arms, looked
up to heaven and wept openly, imploring Lord Guan, “What will become of
our family now the Imperial Uncle and his younger brother have died in
such a miserable way?” Tears dripping, Lord Guan said, “Sisters, as long as
we live we will live together, and if we die, we will die together.” Suddenly
someone reported, “At present Cao Cao’s officer Zhang Liao has reached
the city wall and shouted out, ‘Open the gate, I have something to say.’”
Lord Guan sent someone to invite him in.
When Zhang Liao arrived at the front of the hall, the Lord of the
Beautiful Beard61 asked him, “Has Xuzhou been lost? Do you know the
fate of the Imperial Uncle and Zhang Fei?” Zhang Liao replied, “They were
killed in the melee.” The Lord of the Beautiful Beard wept and said, “I am
not afraid of {59} dying. You must have come here to persuade me [to do
so].” Zhang Liao replied, “Not at all. Now the Imperial Uncle and Zhang
Fei have been killed by mutinous troops, you don’t know how to deal with
the family and, should Cao Cao’s army arrive below the walls, wouldn’t
you be at a double loss? Lord Guan, you have studied books since your
youth and read the Springs and Autumns with the Commentary of Mr. Zuo,
how it promotes the wise and good—so how could you not understand our
meaning? Cao Cao deeply loves you.” Lord Guan said, “But how would
Cao Cao treat me were I to join him?” Zhang Liao replied, “He will appoint
you to the high rank of general, with a monthly salary of four hundred
strings and four hundred stoneweight.”62 Lord Guan then said, “I will
submit if he follows my three conditions.” “General, just tell them to me,”
Zhang Liao replied. “Her Ladyship will have one house divided into two
courtyards. If I learn any information about the Imperial Uncle, I will visit
him. And I submit to the Han but not to Cao Cao. Later I will establish
great merit for the prime minister. If he will accept these three conditions, I
will immediately submit. If he will not accept them, I would rather fight to
death.” Zhang Liao laughed and said, “These three conditions are all minor
matters.” Zhang Liao then returned and saw Lord Cao, to whom he told the
whole story.
Within five days Cao Cao’s army arrived below the walls. Cao Cao
shouted, “Yunchang, come down from the wall so we can talk.” “What
about my three conditions?” Lord Guan asked. Minister Cao replied, “This
is the world of the Han. If you can join me, I will appoint you as Marquis of
Shouting with a monthly stipend of four hundred strings and four hundred
stoneweight. One house will be divided into two courtyards. If the Imperial
Uncle is still alive, you can take his wives and child and go and visit your
elder brother. You say you will establish great merit, so you are my trusted
friend!” Lord Guan then descended from the wall and met with Cao Cao.
Within a few days he had taken the dependents of the Imperial Uncle
westward with him to Chang’an, where he was received in audience by the
emperor. When the emperor saw that Lord Guan’s curly beard covered this
stomach, [3b] he was greatly pleased in his heart and appointed him as
Marquis of Shouting with a monthly stipend of four hundred strings and
four hundred stoneweight; when “he got on his horse it was gold, when he
dismounted it was silver”; one house was divided into two courtyards;
every third day there was a small banquet, every fifth day a great banquet.

{60} Liu Bei and Zhao Yun

Let’s go back now and tell how the Imperial Uncle found himself at a place
some fifty li from Xuzhou in a forest at the entrance of a valley at Ninemile
Mountain. He had in total only a few men with him. In the middle of the
group, the Imperial Uncle drew his sword and was about to slit his own
throat but his men talked him out of it. Xuande wept, “Xuzhou is lost, and I
don’t know whether Zhang Fei is still alive or not. And on top of that my
beloved younger brother Lord Guan has taken my wives and child to cast
his lot with Cao Cao.” After he finished speaking, he looked up to heaven
and wept with great sorrow.
The Imperial Uncle had nowhere to go, so on the next day he advanced in
a northeasterly direction. After traveling for a few days he saw dense groves
lit by the sun, and gardens and rice paddies without number. When Xuande
asked what this place was, people told him, “This is part of Qingzhou, and
our official is Yuan Tan.” When the Imperial Uncle arrived on horseback at
an inn inside the town, he settled in. The next day, he visited Yuan Tan, who
fêted him for several days. The Imperial Uncle said, “Xuzhou is lost, I don’t
know if Zhang Fei is alive, and Lord Guan has taken my wives and child to
cast his lot with Cao Cao. Prefect, allow me to borrow fifty thousand troops
so I may kill Cao Cao and retrieve my wives and child.” Yuan Tan acceded
to his request. A few days later Xuande again raised the topic and Yuan Tan
assented but did not ready any troops. About a half a month later, when he
returned at night to the inn, the Imperial Uncle was drunk and recited a
short song. The song reads,

All under Heaven is in utter disorder—

the Yellow Scarves are everywhere;
All within the seas are filled with fear—
traitors are as numerous as ants.
Cao Cao has no principles—
he intends to become ruler;
Emperor Xian is bereft of power—
he has nothing for support.
It is right I have the ambition—
to restore the house of Liu—
Yuan Tan lacks all human feeling—
there is no end to my sighs!
When he had finished singing, a general in the western corridor gallery,
hearing Xuande’s song, immediately replied with a perfect match,

{61} I have a long sword—

which I vainly brandish as I deeply sigh;
When the court is not upright and true—
bandits resemble vicious dragons.
If stalwart fighters stay hidden—
there will never be any wind or thunder;
If you wish to raise buckler and spear—
the court will have that on which to rely.
When heroes meet one with another—
they will uphold and support the state of Liu;
Beheading and extirpating that traitor Cao—
they are one body with our lord!

The Imperial Uncle descended the steps and learned that that guest was
Zhao Yun, also known as Zilong from Hengshan. After he had met Zhao
Yun, he invited him up the stairs where Xuande related to him all the
wrongs he had suffered. Zhao Yun said, [4a] “This Yuan Tan of Qingzhou
makes decisions but does not follow through. We should go to Xindu and
pay our respects to Yuan Shao.” The Imperial Uncle and Zhao Yun jumped
on their horses and went off, west to Xindu, which nowadays is Jizhou.
Within three days Zhao Yun and the Imperial Uncle had reached Xindu.
When they had settled in an inn, Zhao Yun went ahead to see Yuan Shao
and told him everything about the Imperial Uncle. The Prince of Ji was
greatly pleased and speedily summoned the Imperial Uncle to his presence,
so he might meet with the Prince of Ji.
After they had banqueted for a few days, the Imperial Uncle said once
again, “Cao Cao bullies the liege lords of the empire, so I would like to
borrow some troops to kill Cao Cao and reestablish the house of Han. What
do you think, Your Majesty?” Yuan Shao acceded to his request and then
went on, “I have a brave general, Yan Liang. When he arrives, he will
certainly slay that traitor Cao.” One grandee, Xu You, reproved him, saying,
“Your Majesty, you are mistaken. What gain is there for you to send these
troops to their death? Haven’t you heard that Cao Cao has a hundred
thousand troops and a hundred generals at his side at all times? If you
achieve victory you may leave your name to posterity, but if you lose, even
Xindu cannot be protected. Your Majesty, please consider this carefully.”
Xu You said again, “I have recently learned that in the western Taihang
Mountains there is bandit general Black Tiger who causes problems for
Your Majesty day and night, but you still are unable to even control him.”
The Prince of Ji was silent. Xu You then went on, “If the Imperial Uncle is
to start a campaign you should first take the time to discuss this in detail
with your officers. It won’t be too late to set out after that.” But Yuan Shao
could not pardon Cao Cao. He appointed the Tiger-fang Generalissimo {62}
Yan Liang as grand marshal; he appointed the Left General Wen Chou as
the commandant of the rear guard and Xu You as the campaign advisor.
Leading a hundred thousand troops they arrived to defeat Cao Cao and
made camp.

Now let us go back to speak about Cao Cao who was seated in audience
when someone reported, “Yuan Shao’s army is here and issuing a battle
challenge.” Astonished, quick as fire the prime minister held a roll call of
his army. He immediately appointed Master Bag-of-Tricks Zhang Liao as
his field marshal, Xiahou Dun as vanguard, and Cao Ren as generalissimo.
That very day Cao Cao set out with a hundred thousand troops. In a few
days he had lined his troops up opposite those of Yuan Shao. Cao Cao and
Yan Liang engaged in conversation, and a furious Yan Liang said, “Bandit
Cao, don’t flee!” Holding his lance he gave his horse free rein and attacked
Lord Cao head-on. Xiahou Dun rode out on his horse to engage him, but
after thirty rounds of battle Xiahou Dun was soundly defeated. Both sides
pulled their troops back and, as evening fell, set up camp.
The next day Yan Liang once more issued a challenge. Xiahou Dun again
rode out and was defeated once more. [4b] Then Cao Ren rode out to battle
Yan Liang, but he too was defeated. Yan Liang made use of the situation to
launch an all-out attack, and Cao Cao’s army suffered the loss of half of its
men. From noon until evening—only then did Yan Liang return to his camp
with his troops. When he met with the Prince of Ji, he told him the full story
of his victory. Yuan Shao was greatly pleased and rewarded the troops.

Now let us back up and tell how Minister Cao led his defeated troops back
to Chang’an. He invited Lord Guan to join him for a banquet and told him
about the might of Yan Liang. Even before the banquet was finished,
someone reported, “Yan Liang, at the head of his troops, challenges us to
battle.” Cao Cao said, “The main army will go out first.” And he also said,
“Lord of the Beautiful Beard, you will follow behind escorting the grain
and straw.” The prime minister also left and mounted his horse. With his
troops he went ahead until they made contact with Yuan Shao’s army.
Arrayed for battle, the two forces faced each other. Yan Liang rode out to
issue a challenge, and Xiahou Dun also rode out. The two of them fought a
fierce battle for thirty rounds, but then Xiahou Dun was defeated and
returned to his own formation.
Sighing, Lord Cao said, “Yan Liang is a hero. What’s to be done about
him?” In the midst of his depression someone reported, “Lord Guan is
here.” Lord Cao hurriedly received him and brought him to the hall, where
he explained the awesome power of Yan Liang. Lord Guan laughed, “This
guy is a nothing.” Lord Guan went out of the camp, got on his horse with
his broad blade, and from a high position observed all of the flags and
canopies of Yan Liang until he {63} recognized Yan Liang’s own parasol.
Seeing that a hundred thousand soldiers surrounded and guarded the camp,

Lord Guan Skewers Yan Liang

brandishing his blade, Yunchang spurred alone on his mount toward the
encampment. Seeing Yan Liang in the middle of the camp, he caught him
completely off-guard, and in a single stroke, he chopped off his head, which
fell to the earth. Then he used the tip of his blade to pluck up Yan Liang’s
head and went out of the encampment and back to his base camp. He met
with Lord Cao who was flabbergasted and stroked Yunchang’s back, saying,
“You plucked Yan Liang’s head right out of an army of a hundred thousand
as easily as looking at the palm of your hand. You are the bravest of brave
generals.” “I am not strong,” said Yunchang. “My brother could pluck a
person’s head from an army of a million as easy as looking at the palm of
his hand!” Lord Cao said, “So Zhang Fei is even stronger?”
There is an encomium for Guan Yu’s shrine that says,

His brave aura traversed the clouds;

Truly he was called “A Tiger Officer”;
His bravery equaled that of an entire state of men,
Called by the enemy “an army of ten thousand.”
 Shu and Wu were his wings,
And yet Wu finished off this magic beast.
Oh, so cherished! Such bravery—
Unmatched in the past or future.

Now we speak of Yuan Shao. When the defeated army returned to camp
and explained that Lord Guan had slain Yan Liang, Yuan Shao was enraged
and cursed the Imperial Uncle, “You and Lord Guan were in
communication to make this plan to behead my beloved general Yan Liang.
You have destroyed [5a] one of my arms!” He ordered his men to take the
Imperial Uncle out and behead him. “Cease your anger my lord,” requested
Wen Chou, “I want to go out and do battle with Lord Guan to repay this
injustice to Yan Liang.” Wen Chou led his army forward to face off with
Cao’s troops. Wen Chou shouted, “Come out, bearded one!” Without
uttering a word, Lord Guan went to seize Wen Chou. Wen Chou was
defeated in fewer than ten rounds of battle, and he spurred his horse to flee.
Angrily, Lord Guan said, “How can you not give me battle!” He pursued
him for thirty li or more until they reached a ford called Official Ford. As
they approached it Lord Guan twirled his blade,

{64} Lord Guan Punishes Wen Chou63

spied Wen Chou, and hacked, cutting him into two pieces with arms and all.
Wen Chou fell from his horse and died. Minister Cao led his troops in an
all-out attack, and seventy or eighty percent of Yuan Shao’s army was lost.
The defeated army returned to see Yuan Shao and they related in detail how
Lord Guan had slain Wen Chou. Yuan Shao was mightily shaken, “He has
taken away my second arm. That damned Liu Bei intentionally said that he
did not know where Lord Guan was, and now he’s destroyed my two
generals.” He sent his men to round up Liu Bei with the intent of having
him decapitated. But unexpectedly someone approached to kneel before
him and it was that man from Changshan, Zhao Yun, who said, “In reality,
Lord Guan does not know Liu Bei is here. If he knew the First Ruler was
here, he would come straight away to join you, great king. The three
brothers once swore an oath, ‘We need not be born on the same day, but we
wish to die on the same day.’” And he went on, “I will guarantee that if Liu
Bei and I appear together in front of Cao’s battle formation, Lord Guan will
immediately cast his lot with us should he see Liu Bei.” Yuan Shao was
silent. “If you do not believe me, my king, let me leave my family as
pawn.” Only then did Yuan Shao assent and spare the life of the First Ruler.
The First Ruler and Zhao Yun mounted up and went out of the camp. “If
it were not for Zhao Yun,” thought the First Ruler to himself, “my life
would not have been vouchsafed. Now that brother Yunchang has received
a noble title as Marquis of Shouting and has a Han official title, he must
have lost his fraternal heart. I have nowhere to turn now. I know that Liu
Biao is now the Prince of Jing in Jingzhou. Should I get there, it would be a
place to find some security.” Without looking back at Zhao Yun, he gave his
horse its head and applied the whip to flee off to the southwest.
Zhao Yun pursued him aggressively and asked him, “Where are you
going?” Liu Bei was silent. “You have but to say where,” said Zhao Yun,
“and I will follow.” Zhao Yun thought to himself, “The First Ruler is not the
image of a common man; [5b] he will eventually rise to an eminent
position. And he is also the seventeenth-generation descendant of Gaozu.
How can I abandon him?” He caught up with him again and asked him once
more. Seeing how aggressively Zhao Yun was pursuing him, the First Ruler
told the whole truth and said, “Now there is Yunchang, but he has accepted
a salary from the Han without even considering the heart that bound us in
righteousness. Now the Prince of Jing, Liu Biao, is residing in Jingzhou.”
“Since you will stay in Jingzhou,” said Zhao Yun, “I will go there with
you.” “But your family is held as ransom by the {65} King of Ji,” said the
First Ruler. “How can you bear to leave them?” “You are a man of humane
virtue,” replied Zhao Yun, “and will rise to an eminent position in future
days.” They went on toward the southwest.

The Reunion of Brothers

Let us go back now to speak of how delighted Cao Cao was, “In a rare act
Lord Guan went out on a single horse into an army of one hundred
thousand to skewer Yan Liang, and he caught up with Wen Chou at Official
Ford. If I can get him to help me, then it’s nothing to take on the empire.”
Cao Cao treated Lord Guan with profound courtesy, giving him a small
banquet every three days and a major one every five. He was gifted with
gold when he mounted his horse and with silver when he dismounted. He
also gave ten beautiful girls to Lord Guan as his personal servants. Lord
Guan, upright as always, never paid any attention to them, but lived in the
same compound, in two separate courtyards, with his sisters-in-law Gan and
Mi. Lord Guan performed morning and evening rituals every day in front of
the spirit tablet of the First Ruler.
As that day drew toward evening, he went into the compound of his
sisters-in-law where he saw them wailing as they burned incense and
offered up sacrificial wine. He laughed, saying, “Don’t cry, sisters; my elder
brother is alive.” “Are you drunk?” said ladies Gan and Mi. But Lord Guan
replied, “I have just heard that brother is with Yuan Shao, the Prince of Ji.
Pack up your luggage now, sisters. We will bid Minister Cao adieu
tomorrow and head off to Yuan Shao’s camp.” Lord Guan then returned to
his own quarters.
The next day Lord Guan went to take his leave from Minister Cao, but
when he got to his headquarters, this sign was hung out—Tenth Day: At
Rest.64 Lord Guan returned to his quarters, but when he went back on the
second day, the same plaque was hanging there, so he returned to his
quarters. When he went on the third straight day and the plaque was still
there, he became angry, “Minister Cao is purposely keeping me from seeing
him.” So he returned to his quarters again, packed away and sealed up all of
the gold and silver he had been given over time, made an official account of
their number, sealed them up and turned them all over to the ten beautiful
girls. [6a] He had someone prepare the carts and saddle the horses,65 and
then he requested that his two sisters-in-law get on a cart, and he went out
of Chang’an bound for the northwest.

{66} Let us now go back to speak of how angry Minister Cao was, “I can’t
believe, after I showed Lord Guan how much I relied on him and valued
him, that he would be unwilling to stay with me but would go off to Yuan
Shao instead.” The reason that Minister Cao did not open up his office for
three days was because he knew that Lord Guan wanted to go to Yuan
Shao’s camp to find Liu Bei. He had trusted spies in Guan’s quarters, all of
whom acted as Cao Cao’s eyes and ears. In the few days that the office was
not open, Cao Cao deliberated with his officers. One of his advisers, Bag-
of-Tricks Zhang Liao, said, “First set out troops in ambush on both sides of
Baling Bridge. If Lord Guan reaches there, you offer him a stirrup cup.
Lord Guan has but to dismount and you can have Strong-as-Nine-Bulls Xu
Chu take Lord Guan into custody. If he doesn’t get off his horse then,
minister, give him a gift of a ten-patterned brocade silk robe. He has to get
off his horse to thank you properly for the gown. Then Strong-as-Nine-
Bulls Xu Chu can seize him.” Cao Cao was overjoyed, and first sent a
company of soldiers to wait in ambush at Baling Bridge. Then Cao Cao, Xu
Chu, and Zhang Liao all went to Baling Bridge to wait.

Lord Cao Bestows the Robe

Lord Guan arrived in no time at all, and the minister offered him a stirrup
cup. Lord Guan said, “Please do not take offense, minister, but I am not
going to drink.” He also did not get off his horse. Then the brocade robe
was brought out, and Xu Chu was ordered to present it. Again, Lord Guan
did not get off his horse, but used the tip of his blade to pluck it up, and then
he left, saying, “Thanks for the robe! Thanks for the robe!” Although there
were fewer than a hundred men in Guan’s retinue, it frightened Lord Cao so
much that he dared not strike. Yunchang escorted the carts of sister Gan and
sister Mi and went off to the Prince of Ji’s camp.
In a few days he had reached the Prince of Ji’s camp. The gate guards
reported, “A Lord Guan is at the gates.” The King of Ji was stunned, “First
he destroys my two generals and then he comes here!” Then he thought to
himself, “Well, Lord Guan has shown up here, and if I should obtain his
services then what worry do I have that Xindu will not be secure?” He
ordered someone to ask Lord Guan to come into the camp.
When Yuan Shao met him, he received Lord Guan in the headquarters’
tent. The Prince of Ji pressed wine on him, but Lord Guan would not drink
it, saying, “I do not see my brother. Where is he?” “He is drunk,” replied
the King of Ji.
Lord Guan thought to himself, “My brother isn’t here.” Then he said, “I
have my two sisters-in-law outside the gate, we will still have time to drink
after they enter the camp.” The Prince of Ji [6b] was delighted by this. Lord
Guan went out of the camp, mounted up, and then quickly summoned the
gate guard. {67} He grabbed the guard’s hair with one hand and brandished
his sword with the other. “Is the First Ruler here?” he said. “If you don’t
answer truthfully, I’ll kill you.” He scared the gate guard so much he
repeated over and over, “Not here! Not here!” And when Lord Guan asked
where he had gone, the gate guard replied, “He went off to Jingzhou with
Zhao Yun.” Only then did Lord Guan release him.

Let us now speak of how Lord Guan, with his two sisters-in-law, went south
into the Taihang Mountains in order to go to Jingzhou. It was Lord Guan,
alone, who led sister Gan and sister Mi over a thousand mountains and ten
thousand rivers.

Lord Guan Travels Alone for a Thousand Li

Let us now go back to speak of how the First Ruler and Zhao Yun, leading
three thousand troops southward, suddenly heard the sound of gongs and
drums and saw a band of robbers. The one in front wore a crimson
headscarf, had armor of tempered brass, and held a “mountain-splitting”
axe. He cried out, “You must leave a toll for this road.” The First Ruler
approached him on horseback and said, “What is your name?” When the
bandit saw the First Ruler, he quickly dismounted and performed a ritual
obeisance, saying, “Xuande! You have been well since our last parting. I am
the Han official Gong Gu. I became a brigand here because Dong Zhuo had
usurped power.” Then he invited the First Ruler, Zhao Yun, and all of their
troops to return to his mountain stronghold, where he treated them to beef
and wine.
They were just drinking a round when a lieutenant reported, “An envoy
from the grand king is here.” Gong Gu went out to meet with the envoy.
The envoy said, “Now receive the sagely command of the grand king. Since
you have offered no payment for three months, I originally wanted your
head gone, but I’m temporarily letting you off this time. If you do not send
payment again, I will certainly carry it out to the end. But for the time
being, I am letting you off.” When Gong Gu went back to the tent and saw
the First Ruler, the latter asked, “From which state did this envoy come?”
Gong Gu replied, “If you reach to the dead center of the mountains ahead, it
can be said that I control this little paradise. But recently, someone else with
ten riders came here and defeated me, so I have to pay a monthly offering.
He is in an old city south of the mountains; he calls himself ‘The Grand and
Nameless King,’ he has built a palace in the city, called Prime Musical
Mode, and has instituted a reign title named ‘A Bang-up Time.’ He uses a
magic spear eighteen feet long that ten thousand men cannot match.” When
the First Ruler heard this, he thought to himself, “Must be Zhang Fei!”
{68} Now Zhao Yun employed a spear that was named “Corners of the
Sea and Edge of Heaven Spear,” and it was unmatched to the very corners
of the sea and to the edge of heaven. [7a] Except for that spear of Zhang
Fei’s, this was the number one spear mentioned in Records of the Three
Kingdoms. Zhao Yun wanted to see this Grand and Nameless King, and he
rode down the mountain with the First Ruler and all of their troops. When
they drew near Old City, Zhao Yun purposely had the gongs and drums
sounded.

Let us now speak of how Zhang Fei was sitting in his palace in Old City,
when a foot soldier reported, “Someone is outside the walls, challenging
you to battle.” As soon as Zhang Fei heard this, he gave out a shout, “Who?
Which one wants to die?” He quickly ordered his horse prepared, and quick
as fire he donned his armor, and then took his spear and mounted his horse.
He led several of his cavalry out of the northern gate and saw the First
Ruler’s army far off.
He flew closer until they were squared off, and Zhang Fei said, “Who is
it who dares challenge me to battle?” Zhao Yun came out on his horse
holding his spear and Zhang Fei, enraged, wielded his eighteen-foot steel
spear to take on Zhao Yun. The two horses joined and the two spears went
back and forth like pythons as they joined in hard battle for thirty rounds.
Angrily, Zhang Fei said, “Now I’ve seen plenty of people wielding a spear.
But this guy really is a tough one.” They joined in battle for thirty more
rounds, when Zhao Yun had no more energy, and quit the field to return to
his battle line. Zhang Fei spoke angrily, “We were just getting to the fiercest
part of the battle—how could he leave off so early?” And giving his horse
its head and holding his spear, he chased Zhao Yun.
When he reached the front of the army, and the First Ruler recognized
that it was Zhang Fei, he shouted, “Brother Zhang Fei!” Zhang Fei looked
at him, and it was his elder brother, so he rolled off the saddle and
dismounted, lowered his head, and offered obeisance, saying, “Brother, how
did you get here?” Then he remounted and welcomed him, “Come on in the
city and be emperor.” Everyone entered the city together.
Zhang Fei invited the First Ruler to sit in the main hall, and they held a
banquet. Zhang Fei asked, “Where is elder Brother Two?” The First Ruler
spelled it out in detail, “Lord Guan aided and abetted Cao Cao, he was
enfeoffed as the Marquis of Shouting, he slew two generals of Yuan Shao,
and he nearly caused my death. He just has no feelings left for our Peach
Orchard oath.” After Zhang Fei had listened, he grew enraged, “That good-
for-nothing bastard! He said, ‘We do not seek to be born on the same day,
but we seek to die together.’ And now he receives honor and nobility from
Cao Cao! If I see him, there’s no way he’ll get away with it.” He urged
more wine on the First Ruler.

{69} But let’s speak no more about the First Ruler at Old City, but talk
instead about Lord Guan who, coming ever nearer Old City, sent someone
to report to Zhang Fei. Zhang Fei listened and then shouted, “You bearded
son-of-a-bitch! You have some kind of nerve!” [7b] He pressed his men to
prepare the horses and strap on armor, and he issued forth with the First
Ruler and all the rest.
When Zhang Fei saw Lord Guan, he set his horse galloping, seized his
spear, and went straight for Lord Guan. Lord Guan said, “Brother Zhang
Fei!” But Zhang Fei didn’t heed him and used his spear to thrust at Lord
Guan, who quickly parried and blocked it. Seeing that Lord Guan was not
going to fight, Zhang Fei pulled up his horse and said, “You are a man of no
trust, for you have forgotten the heart that bound us together in
righteousness.” “Brother,” said Lord Guan, “you don’t understand. I have
come a thousand li, bringing my two sisters-in-law and Aji to find you two
brothers. Why do you want to kill me now?” “You have received riches and
nobility from Cao Cao,” replied Zhang Fei, “but have purposely hidden it
from us and now pursue the First Ruler.” Just as the two were talking, they
saw that dust was covering the sun just like rain obscures the sky. As it
drew nearer, there were also battle standards with a family name, on which
was written “The Han General Cai Yang.” Zhang Fei replied to Lord Guan,
“You didn’t submit to Cao Cao? Now here we have the Han general Cai
Yang whom you led to this place on purpose to attack us.”
Cai Yang transmitted an order to his multitude to open in formation to
strike, then rode out on horseback and said, “You ungrateful soul. I have
received the prime minister’s order and have come to track you down.”
Enraged, Lord Guan said, “I forgot no grace, but led my relatives back to
find my brother. The great merit that I established for Minister Cao is
enough to repay his grace.” Then he ordered his men to wave their flags and
sound their drums. Cai Yang took up his spear to take on Lord Guan, but
Lord Guan gave his horse its head while twirling his blade.

Lord Guan Beheads Cai Yang

By the time the drum had sounded once, Cai Yang’s head had been lopped
off by Lord Guan’s single blade. Cai’s army fled in disarray. This is called
“Beheading Cai Yang in ten drumbeats.”
Seeing that Lord Guan had beheaded Cai Yang, Zhang Fei rolled off his
saddle and dismounted, performed the proper rituals, and came forward,
saying, “You were not at fault, Brother Two. When I said you were in
league with Cao Cao, I never considered your chaste and incorruptible
heart.” He then lowered his head and paid obeisance. After the ritual was
complete, he then invited Lord Guan into the city.
{70} When Lord Guan saw the First Ruler and greeted him, the latter
said, “Brother, when you did in those two generals of Yuan Shao, I almost
lost my life too. How could I have escaped if it hadn’t been for Zhao
Zilong? I never thought we would meet each other today.” Guan Yu replied,
“Brother, I had no idea you were here.” He thereupon invited his two
sisters-in-law and Aji to come down from the cart. [8a] The three brothers
had been reunited. The First Ruler touched his forehead with both hands
and said, “If it hadn’t been for that pre-ordained meeting I can’t imagine
how I would have obtained general Zhao Yun. Together with the three
thousand troops of Zhao Yun, we have five thousand troops in total.” The
three of them were very pleased and each day set out a banquet. This is
called

The Assembly of the Righteous in the Old City

Moving South

One day the First Ruler said, “Old City is no place to linger long. What
would we do if Cao Cao’s armies reached here? But now Liu Biao, who is
at present Prince of Jing, is in Jingzhou.66 If I can have an audience with the
Prince of Jing and get just one prefecture from him, we could settle there.”
Guan and Zhang replied, “You are absolutely right!” So they promptly
gathered their luggage and selected an auspicious day to start on their
journey.

Let’s not talk about the ten days spent on the road, for they had already
arrived in Jingzhou and had someone go ahead and report their arrival. Liu
Biao, Prince of Jing, came out of the city to welcome the First Ruler, and
invited them inside, where they were accommodated in a hostel. The Prince
of Jing laid out a banquet and said, “I never expected that you, Imperial
Uncle, would come here. Here in Jingzhou I have no other relatives, but
now I have you and Guan and Zhang to be my trusted companions.”
{71} Also present were Liu Biao’s in-laws, Kuai Yue and Cai Mao, who
were very much displeased. When the Prince of Jing had gone inside and
the officials had all dispersed, Kuai Yue and Cai Mao deliberated, “Now
there is this First Ruler Liu to wrest away our power, so we have to do away
with him!” Cai Mao said, “Let’s get him out of here.” The two of them
therefore promptly went to court to see the prince, and said, “At present
Xinye lacks a prefect. We fear that if Cao Cao’s armies arrive, they will first
take Xinye and next take Fancheng, and that it will be difficult to stop them.
Our advice is to have the Imperial Uncle, along with Guan and Zhang,
defend Xinye as prefect, to intimidate Cao Cao so he will not cross its
borders.” The Prince of Jing followed their advice. The two of them
delivered a royal command to the Imperial Uncle and Guan and Zhang that
ordered them to choose a day for their departure. Kuai and Cai said, “First
have Guan and Zhang go there with the members of your family. You,
Imperial Uncle, should stay here for a while. Tomorrow is the third day of
the third month.67 First enjoy with us the banquet at the riverside.” The
First Ruler indeed stayed behind while the two generals left with the
members of his family.
Now tell that these two royal in-laws had designed a plan to murder the
First Ruler. The two men had decided on a plan to invite the Imperial Uncle
to the feast and have him killed by strongmen halfway through the banquet.
When the two of them had settled on this plan, they invited the Imperial
Uncle because on the third day of the third month all people in the city [8b]
would go out and enjoy a riverside banquet. Kuai Yue and Cai Mao took the
Imperial Uncle along with them to a banquet outside the walls of
Xiangyang. When Kuai Yue secretly gave his orders to the strongmen, one
of them noticed that the Imperial Uncle had a face like the full moon, with
an aquiline nose and the countenance of a dragon, so he secretly hurried to
the Imperial Uncle and whispered the whole truth in his ear. Frightened, the
Imperial Uncle had people bring his horse to a thicket of willows.
Pretending that he had to relieve himself, the Imperial Uncle left the
banquet and got on his horse in the shade of the willows. When people
shouted, “The Imperial Uncle is fleeing!” Kuai Yue and Cai Mao were
greatly surprised. They quickly ordered their men to bring their horses
about and set out in pursuit with their troops.
Fleeing, the First Ruler arrived at a river, namely Sandalwood Creek. The
First Ruler looked up to heaven and cried, “Behind of me are enemy
soldiers, and in front is this big river—I’m bound to die here in this
river!”68 The First Ruler’s horse was called Rogue. The First Ruler leaned
forward on his horse {72} and said, “My fate depends on you, your fate
depends on this river. If fate is with us, then jump across this river!” The
First Ruler whipped his horse forward, and in one jump it leaped across
Sandalwood Creek. When Kuai Yue and Cai Mao arrived in their pursuit
and saw how the First Ruler jumped across Sandalwood Creek, they
exclaimed, “A true Son of Heaven!” There is a poem that describes this,

In the third month in Xiangyang the grasses spread evenly;

All the young nobles go out to Sandalwood Creek.
Where are the dragon bones of Rogue now buried?
As before the flowing waters circle the great dike.

Another poem goes,

On the banks of Sandalwood Creek grow green rushes;

Every passerby each has a Rogue.
But don’t say that any fine steed can jump across:
The sagely-bright Son of Heaven was supported by gods.

Let us now speak of when the First Ruler had arrived in Xinye as its prefect
and dined and feasted each day with Xu Shu.69 One day, Xu Shu remarked,
“Based upon my observation, Xinye will turn any time now into a mountain
of corpses, an ocean of blood!” Zhang Fei didn’t believe him and said,
“How could that ever happen?”
 In a matter of days Cao Ren, also known as Bozhong, the noble son
deputed by Cao Cao, led a huge army of a hundred thousand down the road
from Xuchang. He had hundreds of famous officers and had come to seize
Fancheng and Xinye. The Imperial Uncle was greatly alarmed. Zhang Fei
laughed and said, “Let’s see, Master, how you will deal with this!” “Rest
easy, Imperial Uncle,” said Xu Shu. “I’ll send Cao Ren back without a
single piece of armor.” Xu then summoned Zhao Yun and whispered into
his ear, explaining a plan to him. Then he invited the Imperial Uncle to the
southern gate, saying, “This is a propitious spot.” The master then
disheveled his hair, took off his shoes, and, using a plate of food and
fragrant potage, he performed a sacrifice until it stirred up a whirlwind.
Zhao Yun led his troops to circle around [9a] on top of the wall and shoot
fire arrows below. Fire arose on all sides and the Cao forces were badly
defeated; no one can even guess the number burned to death. Cao Bozhong,
with less than a thousand men, escaped with his life and went back.

{73} The Triple Visit

The Imperial Uncle set out a banquet to honor Xu Shu. But when it was
finished on that day Xu thought to himself, “My aged mother at present is
in Xuchang, and if Lord Cao learns that I was here and that I killed his
troops he will turn into a sworn enemy and there would be no way to
guarantee the lives of my mother, wife, and children.” That very moment he
took his leave of the First Ruler. The latter was not pleased, but Xu Shu
said, “If I don’t go back, my dependents will be in danger.”
So the three, the First Ruler, Guan, and Zhang, accompanied Xu Shu as
he began his journey, offering him a farewell cup ten li from the city. But
because he still could not let him go, the First Ruler accompanied him for
another ten li and offered him a farewell cup at the long pavilion.70 Still
feeling a deep attachment, the First Ruler asked him, “Master, when will
you return?” Xu Shu replied, “I am a person of insignificance, what is there
to be fixed on? Now there are two people who know the books of Lü Wang
inside out71 and who, seated in their commanders’ tent, can decide a victory
at a distance of a thousand li—they consider the empire easily won.” When
the First Ruler asked who these two men might be, Xu Shu replied, “In the
south there is Recumbent Dragon, and in the north there is Phoenix
Fledgling. Phoenix Fledgling is Pang and Recumbent Dragon is Zhuge,
who at present has built himself a thatched cottage on Recumbent Dragon
Ridge in Nanyang. His name is Zhuge Liang, and he is also known as
Kongming. He employs his troops like a god, and his machinations are
unfathomable, even to gods and ghosts. He can be your field marshal.”
When the First Ruler heard this, he was very pleased, and after he had said
goodbye to Xu Shu he went to Xinye.
A few days later the three brothers went to Recumbent Dragon Ridge in
Nanyang to invite Zhuge. There is a poem that reads,

{74} With a single word they could support family and state,
With a few sentences they could establish a great nation:
Due north you can see in the distance the golden phoenix tail;
But it is better to look southward toward Recumbent Dragon Ridge.

The story goes that in the third month of spring of the thirteenth year of the
Zhongping period72 the Imperial Uncle led three thousand troops and with
his two brothers went straight to the Recumbent Dragon Ridge in Dengzhou
in Nanyang. They dismounted in front of the hermitage and waited for the
man inside to come out.

We must backtrack to explain that Master Zhuge was seated inside his
hermitage with his hands on his knees. A face that seemed freshly
powdered and lips as if painted red—he was not yet thirty and he read his
books every day. His acolyte told him, “There are three thousand troops in
front of the hermitage. Their leader, they say, is the new prefect of [9b]
Xinye, the Imperial Uncle of the Han, Liu Bei.” The master did not say a
word, but called the acolyte over and softly whispered something in his ear.
The acolyte went outside and said to the Imperial Uncle, “My teacher left
yesterday for Jiangxia to join the drinking party of the Eight Eminences.”
The Imperial Uncle did not say a word but thought to himself that he would
be unable to meet this man. He then ordered someone to grind up some
thick ink and wrote a poem on the western wall. The poem reads,

Alone astride a blue simurgh, where does he roam?

Most likely the transcendent beings are meeting at Fairy Isle.
Seeking, but not seeing this gentleman, I go back empty-handed:
Rank grasses and wildflowers fill the land with sorrow.
The prefect returned to Xinye, but in the eighth month Xuande went once
again to the thatched cottage to pay his respects to Zhuge. He dismounted in
front of the hermitage and had someone knock on the door. Recumbent
Dragon once again had his acolyte go outside and declare, “My teacher has
left to roam the mountains and enjoy the rivers and he has yet to return.”
The First Ruler said, “I remember that Zifang reached a ruined bridge when
fleeing and met with Lord Yellow Stone; time and again he presented the
shoe, and so obtained a heavenly book in three chapters.73 And Xu Shu, I
also remember, {75} said that the Recumbent Dragon was a myriad times
better than him—to Zhuge the empire could be had as easily as an arm
moving its fingers.” Under the influence of his wine the Imperial Uncle was
deeply depressed and once again inscribed a poem on the western wall.
The poem reads,

Where the autumn wind first rises,

Clouds disperse and the evening sky lowers.
Rain and dew, trees of wilting leaves;
Again and again, geese on sandbanks fly away.
The dark-blue sky is but a single hue;
Traveling oars now urge us on again.
In vain I labored for twenty years:
Neither sword nor armor leaving my side.
Alone I pace in the prefecture of Xinye
But my cold heart has yet to turn to ash.
Those who really understand me are just a few;
I have come to see you, I returned empty-handed again.
I remember how Guan Yu, Zhang Fei, and I
Became sworn brothers in the Peach Orchard
But now our hometown is a myriad li away—
Yunmeng is separated by a thousand mountains.
My ambition finds no place of support,
Though I had hoped to connect with a real hero.
Not meeting the Recumbent Dragon
This little one can only go home again.

The Imperial Uncle and his officers mounted their horses and returned to
Xinye. Zhang Fei shouted out, “Elder brother, you are wrong! I remember
Tigerkeep Pass and how I thrice fought my way out of Xiapi, and how my
elder brother Lord Guan skewered Yan Liang, pursued Wen Chou,
beheaded Cai Yang, and surprised Che Zhou. In those days we had no
‘master’! With a hundred-pound blade I can dispute with this master.” The
Imperial Uncle simply did not answer.

{76} But now let us backtrack to discuss Zhuge, who said to himself, “Who
am I that I make the prefect return repeatedly to pay his respects? I observe
that the Imperial Uncle has the features of a king or emperor: [10a] his
earlobes hang down on his shoulders and his hands hang below his knees.
Moreover, I have looked at the poems he wrote on the western wall; he is
someone who has great ambition.” Day in day out the master thought about
the last two visits. And then, right when he was sunk in pondering about it,
his acolyte reported, “The Imperial Uncle is back again!” The poem reads,

In an age of chaos while heroes were fighting a hundred battles,

Kongming was right here, enjoying his plowing and hoeing.
If the King of Shu had not graced him with a third visit
Would the master have ever left his old cottage?

The Third Visit to Zhuge

The story goes that the First Ruler had, in the space of four seasons, gone
three times to the thatched hut to pay his respects to Recumbent Dragon,
but he never got to see him. Zhuge was originally a divine immortal who
had studied his craft from his early youth. Now that he had reached middle
age, there was no book he had not read; he understood the mysteries of
Heaven and Earth and the inscrutable will of gods and ghosts; he could call
up the wind and command the rain, create soldiers by scattering beans, and
create rivers by waving his sword. Sima Zhongda once remarked,
“Advancing, he cannot be stopped; departing, he cannot be held back; and
even when in dire straits he cannot be captured—I do not know whether he
is a man, a god, or a ghost!” Now, since Xu Shu had recommended Zhuge
Liang to Liu Bei, the First Ruler was unshakable in his determination and
arrived once again at the thatched cottage. The First Ruler was
accompanied by his two younger brothers Guan and Zhang and brought his
troops with him. In front of the hermitage they dismounted but he still did
not dare announce their arrival. After a while an acolyte came out and the
First Ruler asked, “Is your master at home?” The acolyte replied, “My
master is reading his texts.”
Accompanied by Guan and Zhang, the First Ruler entered the hermitage
and, reaching the thatched cottage, performed the rituals of greeting. Zhuge
continued to pay attention only to his books. Enraged, Zhang Fei said, “Our
brother is the seventeenth-generation grandson of the Han, a descendant of
Liu Sheng, the Quiet Prince of Zhongshan. Now he is bending his back in
front of your thatched cottage. You deliberately humiliate our brother!”
With all his authority Yunchang ordered him to shut up. Zhuge lifted his
eyes and looked at them, and then came outside to greet them.
{77} When they had finished the formalities, Zhuge asked, “Who might
you gentlemen be?” Xuande replied, “I am the seventeenth-generation
grandson of the Han, a descendant of Liu Sheng, the Quiet Prince of
Zhongshan, and I currently serve as prefect of Xinye.” After Zhuge heard
this, he invited the Imperial Uncle into his hermitage, where they sat down.
Zhuge said, “I am not really at fault—my acolyte failed to report your
arrival.” The First Ruler said, “Master, Xu Shu recommends you as an
expert in strategy whose skillful schemes surpass those of Lü Wang. I have
now come for the third time in four seasons to invite you to leave your
thatched cottage; I want you to become my field marshal.” Zhuge replied,
“Imperial Uncle, will you annihilate Cao Cao [10b] and restore the house of
Han?” “Yes,” replied Xuande, and he continued to speak, “I have heard that
Zhao Gao, chief eunuch, abused his prerogatives, that Dong Zhuo has
usurped all power, that Cao Cao is a master of cunning,74 and Emperor
Xian is a fearful weakling. Before long the empire will be mastered by
many hegemons, each in their own area. I, Liu Bei, have come here for this
reason, to invite you, master, to leave your hermitage and campaign against
Cao—but it would be enough if we can simply obtain a single prefecture
where we can settle in peace!” “Ever since Emperor Heng and Emperor
Ling lost control of the government,” replied Zhuge, “the common people
have found it hard to survive. And treacherous ministers usurped all of the
high positions within the Gates of the Golden Horse.75 As a result men of
virtue have had to flee to mountain and field. Alas! Cao Mengde commands
a million troops and thousands of fierce generals. Because he controls the
power of the Son of Heaven, there are no liege lords who do not fear him!
By guile Sun Quan occupies the geographical advantage of the mountains
and rivers of Changsha. His state is wealthy, its people haughty. He rules as
the third generation, succeeding his father and elder brother, and the River
can hold back a million troops. And then there is you, Imperial Uncle, one
who relies on love and righteousness and who builds on heroic action. But
also one who lacks even ten thousand troops or a hundred officers! If you
wish to restore the empire, Imperial Uncle, you will first have to grasp the
opportunity to borrow Jingzhou as your principal, and then later set your
eyes on Xichuan76 as your interest. Now the area of Jing and Chu has the
Great River to its north and to its south the southern barbarians; {78} to its
east are Suzhou and Shaoxing, and to its west are Ba and Shu. Haven’t you
heard about that starving beggar Liu Zhang?77 He is a fearful weakling as a
ruler. As soon as you give the signal to your troops to attack, you can
conquer that region in a single day! Once that has happened, you place
Guan in command of the armies of Shu, and if you march eastward through
Sword Pass to conquer everything west of Hangu Pass it will be as easy as
picking up a mustard seed from the floor—why wouldn’t the common
people welcome you with plates of rice and jugs of brew?” When the
Imperial Uncle had found Kongming, he was as happy as a fish that had
found water! Let’s not talk about outstanding courage, let’s not speak about
the loftiest hero—heaven’s timing, the advantages of topography, or the
harmony of people: each of the three kingdoms utilized one of these virtues
to establish its state. Xuande thereupon appointed Zhuge as his field
marshal. When Zhuge left his thatched cottage, he was twenty-nine.

Zhuge Leaves His Thatched Cottage

When he went to Xinye, he was treated each day to a banquet. One day the
Imperial Uncle suddenly asked the field marshal to train the troops. Zhuge
opined, “In training the army, whoever disobeys my commands will be
beheaded!” Now Zhang Fei had long wanted to get the best of Kongming,
so he loudly shouted in front of the hall, “Imperial Uncle, that’s impossible!
How can a hick cowherd give orders to the troops?” With one hand, Lord
Guan pinched Zhang’s mouth shut and said, “Zhang Fei, you are too crude!
The Imperial Uncle treats the field marshal as the Great Duke!”78 The First
Ruler said, “To me, finding Kongming was like a fish finding water!” The
Imperial Uncle invited Zhuge to his office and treated him to a banquet
each day.
[12a] A few days more than a month later, someone came to report, “Cao
Cao has appointed Xiahou Dun as great marshal and he is going to take
Xinye with a hundred thousand troops.” Zhang Fei shouted loudly,
“Imperial Uncle, for you, finding Kongming was like a fish finding water.
My martial prowess is crude and blunted, so let’s see how the field marshal
will deal with this situation.” Immediately Zhuge called out to Lord Guan,
“Use my plan!” And he also ordered Zhao Yun, “Act according to my
plan!” The other generals too all received their instructions. Zhang Fei
asked, “Field Marshal, you haven’t employed me, so what am I supposed to
do?” The field marshal quickly responded, “General, here are my
instructions for you.” When Zhang Fei had looked them over, Zhuge said,
“General, give it your best!” Within a few days these officers had all
dispersed as ordered by the field marshal.

{79} The Field Marshal Executes His Plan

Let us now return to Xiahou Dun, who had set up camp at a distance of
thirty li from Xinye and ordered his men to explore the situation there. They
heard the sound of drums and music, and reported to the great marshal,
“The field marshal, executing his plans, has ascended the top of a mountain,
and has asked the Imperial Uncle to have a banquet there with music.”
Xiahou Dun said, “That country hick slights me too much!” He led fifty
thousand troops to the high slope. He wheeled to face south, and hoisted his
marshal’s banner. The Imperial Uncle and the field marshal, accompanied
by the officials, raced to the western side. From the upper slope, stones
from catapults and rolling tree trunks hit the hillside. Xiahou Dun’s horse
never had any rest, for he was pursued from behind by two generals. As
soon as Zhao Yun emerged from the flank with three thousand troops,
Xiahou Dun wanted to return to his camp—but during his absence Ma Gou
and Liu Feng had already captured it. Xiahou Dun then fled toward the
north and when evening fell, he arrived at an old city. He sent out spies who
reported, “There is a limitless supply of grain and straw, wagons, and oxen
inside the walls.” Everyone explained to Xiahou Dun that these were
supplies bound for Xinye, but that the guards there, learning of the
impending battle, had fled. Xiahou Dun and his troops entered the town and
dismounted at the government office.
The marshal told them to cook food. But just as the rice was done and
they were about to eat, troops that had been lying in ambush attacked them
on all four sides. Xiahou Dun wanted to flee, but the rope around the corral
had been cut. A hundred horsemen emerged to make a direct assault on his
formation, and wounded who knows how many. Xiahou Dun said, “This
must be the scheme of that cowherd country hick!” With fewer than thirty
thousand troops remaining, he fled toward the east. He had gone no more
than twenty li from the city—it was just a little after midnight—when they
all dismounted by the banks of Sandalwood Creek. Xiahou Dun once again
told them to make food since the men were exhausted and the horses were
worn out. [12b] Officers and soldiers all lay on their backs. When the rice
was done, they asked the marshal to eat before any of the officers. Suddenly
they heard a sound that echoed like thunder and someone reported to
Xiahou Dun, “The water of the Sandalwood Creek is billowing down like a
bank of massive white clouds!” The marshal ordered his men to hasten to
the top of a hillock, from where he watched as the waters swept the corpses
of men and horses downriver. The marshal wept bitterly—not even ten
thousand of his troops remained.
When morning came, Xiahou Dun once again went on in a northerly
direction, and arrived at a bridge across Sandalwood Creek. His men on the
east and west came directly to the south to cross the bridge straight north.
But hidden troops emerged to block his way, and he was trapped between
Jian Xianhe {80} behind and Lord Guan in front. Xiahou Dun attacked the
formations head on and got past, but saw that now he had fewer than three
hundred troops left.
Xiahou Dun said, “First rocks rained down all over the hillside, next my
camp was occupied, then there was the battle in the old town, and in the end
I had to flee because a flood was released to drown my troops.” And he
went on, “If there is yet another body of troops waiting for me, I will not be
able to return to Xuchang!” Before he had finished saying this, less than
three li ahead of him three thousand troops appeared under the willow trees.
Amongst them a drunken general shouted, “The field marshal, the Imperial
Uncle, and the other generals all abided by the plan and they shoved me off
to this place. And the field marshal said, ‘After Xiahou Dun is defeated, he
will pass through your hands!’”79 When Zhang Fei fell silent, someone
hurried up to inform him, “Those defeated troops are coming straight east;
they’re less than three hundred men!” “Who is it?” asked Zhang Fei.
“Xiahou Dun,” came the reply. Zhang Fei said with a smile, “That field
marshal truly is smart!” As soon as his words were finished, Zhang Fei
mounted his horse to block Xiahou Dun. The two sides engaged in battle,
and Xiahou Dun was soundly defeated.

Let us now tell how Cao Cao had taken his seat in the hall and inquired of
his officers, “Xiahou Dun left with a hundred thousand troops and a
hundred generals to take Fancheng and Xinye. He has been gone for three
months now and there’s been no news.” Before he had finished these words,
one of his underlings reported, “Xiahou Dun and his army have returned.”
“What,” asked Cao Cao, “was the outcome?” The soldier said, “Only
twenty or thirty people have made it back.” Cao Cao was shaken and
ordered Xiahou Dun to present himself. He saw that his armor was covered
in blood and that his body showed a number of wounds. Xiaohou Dun
prostrated himself on the ground and said, “Please spare my wife and
children; I beg to die.” Xiahou Dun went on, “A hundred thousand troops
beheaded by five generals! Immolated by fire, drowned by a flood,
ambushed again and again! And eventually [13a] I was bitterly defeated by
that Zhang Fei! It was all the scheme of the country hick Zhuge!”
When Cao Cao heard this, he flew into a rage, “Take Xiahou Dun out and
behead him in front of the steps.” He heard someone loudly call out before
he finished speaking. He recognized that it was Xu Shu, who said, “Prime
Minister, Dun has the courage of a prince!” Minister Cao spoke, “What
about this Zhuge?” Xu Shu replied, “That man has the ability to fathom
Heaven. The whole world is as clear to him as the ten fingers of his hands.
If Xiahou Dun managed to escape from Zhuge with his life, he is an
outstanding general!” {81} Cao Cao said with a smile, “In my eyes that
country hick is nothing. Xu Shu, I will prove you wrong! Leading a million
of troops and a thousand of fine officers, I will trample Fancheng and Xinye
to pieces and even take Jingzhou!” Immediately he mobilized the troops.

Cao Cao’s Great Campaign

But let us turn to the Imperial Uncle, who invited the field marshal and
other officers to go to the Xinye yamen for a celebratory banquet and a
good time. But someone reported, “Lord Cao is leading a huge army of a
million men and a thousand officers and is making his way from afar to
Fancheng and Xinye.” This scared the Imperial Uncle so much he was
stupefied and he asked the field marshal for his advice. The latter replied,
“This is simple to deal with!” He immediately wrote a letter and sent
someone off to Jingzhou in the southeast to see Liu Biao and borrow three
hundred thousand troops. The letter went out that very night and the answer
came at full light of the morning, stating that the Prince of Jing had died
and that Jingzhou had established Liu Cong, the second son of the Prince of
Jing, as ruler. This news moved the Imperial Uncle to tears.
The following day it was again reported that Cao Cao’s army was
approaching. When the Imperial Uncle questioned Zhuge, the field marshal
replied, “This is not a place to oppose Cao Cao,” and he invited the
Imperial Uncle to flee.
That night in the second watch the officers and troops all fled and
proceeded to Jingzhou. Below the city wall they loudly shouted and asked
to be admitted into the city. When Liu Cong mounted the wall, he said,
“Weep, Imperial Uncle, for my father is dead.” Liu Bei responded, “Why
didn’t you inform me?” Kuai Yue stated, “When the Prince of Jing died, Liu
Qi rose in rebellion and he was deposed by the second son. And you,
Imperial Uncle Xuande, didn’t know?” The Imperial Uncle then said, “Cao
Cao is leading a million troops and will arrive below these walls within
three days. Dear nephew, please open the gate. As for Cao’s fleet, you have
your four generals who will grapple with him at the rapids. I am bringing
you the two generals Guan and Zhang, and as for someone who understands
the civil arts I bring you my field marshal Zhuge.” But Liu Cong said,
“Jingzhou is too narrow and cramped, there’s no space for you here.” And
Kuai Yue loudly shouted, “These gates will not be opened!” Xuande [13b]
was extremely irritated.
By the next day, they were some forty li from Jingzhou, where Xuande
saw a large grove. When he dismounted and asked about it, he was told,
“This is the grave of the Prince of Jing.” Xuande offered him food and wine
and a plate {82} of fruit in sacrifice, but while he was still bitterly weeping
the field marshal informed him, “Cao Cao’s army is near.”
 The next day Xuande heard a great commotion behind them and when he
asked who these people were a soldier reported, “These are the common
people of Fancheng and Xinye who have caught up with you here.” And
when Xuande asked, “Why have you come?” one of the group replied,
“You, Imperial Uncle, are a man of humanity and virtue. When Cao Cao’s
troops arrived they killed countless people, so we would rather follow you.
We will not regret it, even if it means our deaths.” The Imperial Uncle said,
“We must march more slowly.”
The troops of the Imperial Uncle marched south together with the
civilians. On the third day after leaving Jingzhou the field marshal alerted
the Imperial Uncle, “The traitor Cao is close and there are families in tow. If
that traitor Cao catches up with you because of your concern for these
civilians, then what?” Xuande did not respond. Hearing a commotion at the
back of the army Xuande asked, “What’s happening?” Someone reported,
“Cao Cao is killing the civilians at the rear.” So he divided his army in three
companies and set out.

Let us now relate that the Imperial Uncle, unable to save the civilians, fled
due south. One day as the Imperial Uncle was hurrying down the road,
someone reported that when Cao’s army attacked a great many civilians had
been mixed in with the fleeing troops. In the chaos, the Imperial Uncle
clung to his saddle as he rode. No one knew the whereabouts of the wives
and son of the Imperial Uncle, but Xuande did not say a word.
After they had marched some twenty or thirty li, someone told the
Imperial Uncle, “Zhao Yun has rebelled!” Xuande asked, “How do you
know?” Without looking back the Imperial Uncle went on. The person said
it a second time and the Imperial Uncle cut off the mane of his horse with
one stroke of his sword, “Take the mane of this horse as example!” These
men kept silent and the Imperial Uncle told them, “After I had joined Yuan
Shao and Lord Guan had beheaded Yan Liang and executed Wen Chou, the
Prince of Ji ordered Zhao Yun to capture me so he could behead and
execute me. But Zhao Yun was unwilling to do so. He has accompanied me
for three years without any fault. How could he rebel?”
Three li further on was a river with a large bridge over it. The mountain
grade was particularly steep and it was known as “the long slope of
Dangyang.” The Imperial Uncle marched past the long slope of Dangyang.
There, the field marshal looked back and took note of how high and
precipitous this ridge was. He thought that if he could find one stalwart
general and a hundred horses to occupy the top, he could hold off the entire
million men of Cao Cao’s army. [14a] “I made a mistake,” said Kongming.
“I sent Lord Guan south to the River yesterday to seize the boats so Cao
Cao could not cross, and he is still not back.” He heard someone shout out
loudly—he recognized it to be Zhang Fei, {83} “Command this bearded
Lord Zhang Fei to hold them off!” “I have heard,” said the field marshal,
“that your eminence’s great battle at Tigerkeep Pass and the three exits from
Xiaopei were all due to your virtue. Anyone who is brave and staunch
enough today to win fame in history by holding up that traitor Cao is surely
a great man.”

Let us then turn to Zhang Fei, who summoned twenty men, took twenty
battle flags, and went north until he reached the long slope at Dangyang.

And then later we will speak of how Zhao Yun went into Cao’s troops on a
single mount. “We are now over a hundred li from the battlefield,” he said,
“so let me search for the Imperial Uncle’s relatives.” He made a circuit
several times until he saw Lady Gan, with her right hand clutching her ribs
and her left holding Aji. Zhao Yun got off his horse and when Consort Gan
saw him, tears rained ceaselessly down as she explained, “All relatives were
slain by the berserk troops of Lord Cao.” She went on, “Zhao Yun, you
have come at just the right time. I have been hit in my right ribs by an arrow
and when I lift my right hand, my intestines spill out. Our Imperial Uncle is
already old but still has no place ‘to stand an awl on end.’ I’m finished now.
You take Aji and turn him over to uncle.” When she finished speaking, she
went south until she reached a wall and then bade goodbye to Zhao Yun and
Aji, and died there below the wall. Zhao Yun pushed the wall over to cover
her body. Zhao Yun said, “I will save Aji for our lord from the clutches of
Cao’s millions!” This instant of bravery won Zhao Yun recognition in
history. He held the crown prince as he raced southward, smashing directly
through the enemy’s formations. There was a later poem,

How marvelous was this Zhao Zilong:

A whole heart of loyalty that puts others in awe;
The First Ruler had been defeated in Jingzhou,
And his family was unable to follow him.
 With a lifelong disregard for death
Zhao plunged again into the thicket of tigers and wolves;
Loyal and filial, he protected the weak little child,
Daring to challenge a million brave men.
In the Spring and Autumn era was a Minister Wu,80
And the reign of Han has its Zilong—
A thousand generations from this point on,
Who will not look up to these high moral actions?

{84} Zhao Yun Carries the Baby in His Arms

Zhao Yun fled toward the south.

But let us return to Cao Cao, watching from a high vantage point, who
thought, “Must be some officer in the hands of Liu Bei!” He then
dispatched a host of officers to take Zhao Yun, and their leader, Guan Jing,
blocked his way. Zhao Yun twirled his blade and spurred his horse,
breaking directly through the formation until, as he reached the bridge, his
horse lost its footing and lord and minister were on the ground tightly
clutching each other. Behind, Guan Jing was in hot pursuit and drawing
near, so Zhao Yun used his stout bow and with a single arrow shot and
killed Guan Jing. Carrying the heir apparent in his arms, Zhao Yun then
again fled southward. A li or so away from the long slope at Dangyang, he
saw Zhang Fei far off. “Grand Defender,” said Zhang Fei, “you have to
save Aji!” Zhao Yun said, “As for the Imperial Uncle’s family, the two
wives are dead. The crown prince is the only one to survive, and I will take
him to the Imperial Uncle.” Zhang Fei wept and said, “As a real hero, I just
told the Imperial Uncle that I would hold the long slope at Dangyang, to
assure that His Majesty makes his escape.”
Zhao Yun went on south, and when he had finished the greeting rituals
when he saw the Imperial Uncle, he said, “Consort Gan and Consort Mi
were both killed by Lord Cao. I was able to rescue the heir apparent from
the berserk troops and escape.” Zhao Yun then went to see the Imperial
Uncle holding the heir apparent. The Imperial Uncle took the child and
threw it to the ground. His officers were all startled and remonstrated with
the Imperial Uncle. Xuande said, “Because of this ‘shameful child of
mine,’81 I almost lost my great general Zhao Yun.” When the Imperial
Uncle finished speaking, they all praised his goodness. The Imperial Uncle
went on southward.

Let us go back and speak of Zhang Fei, who had reached the long slope at
Dangyang to the north. He ordered his soldiers to take fifty flags82 and
make a formation of a long horizontal line on a high place to the north.
Twenty-some cavalry were to keep lookout over the river to the south. Lord
Cao arrived with an army of three hundred thousand. “Respected Sir, why
aren’t you evading me?” Zhang Fei laughed, “I see no huge army; all I see
is Cao Cao.” When Cao’s cavalry let out a continuous yell, he then shouted,
“I am Zhang Yide from Yan, who dares fight to the death with me?” His
shout was like thunder in the ears, and the bridge broke completely asunder.
Cao’s army withdrew some thirty li away. There is a eulogy for the shrine
to Yide,

{85} When the First Ruler plotted to be king,

And the empire was tripart torn, a tripod83 bubbling over,
He held the bridge and sent Cao’s troops in flight;
His awesome voice sundering the water.
The liege lords trembled in terror;
The soldiers marched to the land of the nine springs.84
As stern and forbidding as a god—
The aura of a hegemon!

Zhang Fei Blocks the River and Breaks the Bridge

Let us now explain how Zhang Fei went to catch up to the Imperial Uncle
and that evening finally met with him. The Martial Marquis85 said, “This is
a true general! Using flags he stopped Cao Cao’s troops cold, so his lord
could march on at full speed for fifty li. Cao Cao will play right into our
hands.” The Imperial Uncle was delighted.

The Alliance of Liu Bei and Sun Quan

The next day, the army was marched along the path that led to the land of
Wu. There was there a famous general, Lu Su, who was also known as
Zijing. When questioned, he replied, “I am on my way to Jingzhou to pay
my condolences to the Prince of Jing. Why, Imperial Uncle, have you come
here?” Zhuge rode out on his horse to meet with Lu Su, and they greeted
each other. Lu Su was greatly surprised, “How could I have guessed that
you, the Recumbent Dragon, had joined Liu Bei?” Zhuge said, “Haven’t
you figured out that traitor Cao reached Jingzhou with a million troops, that
Liu Cong surrendered to him, and that that bandit Cao is planning on
swallowing up the state of Wu?” Lu Su replied, “So what are your
intentions?” “The Imperial Uncle is on his way southward to Downriver Wu
and would like to visit his elder brother Liu Bi.” Lu Su didn’t say a word
but thought to himself, “That Liu Bi is a good friend of mine, now the
Imperial Uncle and Zhuge should join up with my lord.”
{86} When both sides made camp that night Cao Cao was only ten li
away. Lu Su invited the Imperial Uncle and his officers to a drinking party,
and the lanterns shone on the Imperial Uncle, Zhuge, Guan and Zhang, and
Zhao Yun. Lu Su thought, “These officers are all brave generals.” He also
thought, “What worry would our Caitiff-Suppressing General Sun Quan
have if he could obtain the Imperial Uncle and his field marshal?”
The next day Lu Su invited the Imperial Uncle to go on to a walled city
on the River that was called Xiakou. It was surrounded on three sides by
water and they stopped at the north gate. Lu Su said, “I will invite you
inside with drums and music.” Xuande stayed for a few days in that city,
which had an unlimited supply of grain and fodder, wine and meat.
The next day Lu Su was going to take a ship to see the Caitiff-
Suppressing General while the First Ruler and his officers would remain in
the city. The Imperial Uncle ordered Zhuge to present a letter and go south
to visit Sun Quan. The next day he boarded the boat outside the south gate
of Xiakou. Xuande spoke to the field marshal, and the latter called Zhao
Yun over and whispered in his ear.
Lu Su and the Martial Marquis crossed the River, got on another craft
and made the long trip down to Jinling, where they settled down in the inn.
The next day Zhuge was received in audience by Sun Quan. After he had
entered the yamen and made his bows, Zhuge said, “Lord Cao and his one
million three hundred thousand troops have stolen the land of Chu. Now
that he has subdued Liu Cong, he will want to take Wu.” Sun Quan asked,
“How do you know?” He explained, “After Xinye and Fancheng had been
lost, Xuande set out for Cangwu with the intention of joining Liu Bi. But
Xuande is now at Xiakou.” Sun Quan said, “In the beginning, Zhuge made
him visit him three times and never met face to face, but now he has joined
Liu Bei!” Zhuge presented his letter to Sun Quan, and when the latter
opened it to read it, it said,

The undersigned Bei kowtows and petitions the banner of the Caitiff-
Suppressing General Lord Sun:

I humbly pray that Your Highest Excellency be assisted and protected by

the divinities. Even though I have not yet had the opportunity to pay you
a visit, I have learned respectfully [14a] that you, general, vaunt the Way
of humanity and virtue, are a meritorious vassal who supports the house
of Han, and continue, as the third generation, the rich legacy of your
father and elder brother.
At present I am beset by an urgent problem: I am besieged in Xiakou
with only a few remaining officers and see no possibility of escape. Cao
Cao appropriates to himself the power of the Son of Heaven, leads a
million troops, and is killing or injuring the liege lords; the empire of the
Han is expected to collapse any day. If the Han is extinguished, he is
bound to invade the land of {87} Wu. But alas, my troops are limited and
my officers are few, so I would like to borrow from you, general, the
might of wind and thunder for one battle so I may save the living beings
of the commanderies and kingdoms from their suffering. Only after the
common people find security in their work will peace be reestablished.
Paper and brush cannot exhaust Cao Cao’s extraordinary fiendishness.
I am now trapped in Xiakou and I have especially ordered my field
marshal to take you this letter to transmit my request. I humbly implore
you, general, to agree to it. If I will not be refused, I reverentially will
listen for reply. Until the moment I may see you I will humbly obey your
orders.

Please take good care of yourself.

After Sun Quan read this letter from the Imperial Uncle, he asked his host
of officials, “What shall we do?” He saw two people step forward in
tandem. These were Zhang Zhao and Wu Fan,86 who stated, “The Imperial
Uncle is besieged in Xiakou and Zhuge has crossed the River to come and
visit you, bringing this letter asking for help. Our lord, haven’t you heard
that Cao Cao’s one million troops have already captured Jingzhou? If he
gets to the Great River, the officers of the land of Wu should each guard one
of the river crossings so Cao Cao’s army cannot proceed. If you allow the
Imperial Uncle to borrow an army, it’s like waving a sharp bare blade over
tender meat: we will not be able to put down our armor even after ten
years!” When Sun Quan once again asked what should be done, Zhang
Zhao once again spoke up, “The liege lords of Shandong and Hebei have all
submitted to Cao Cao, and those who fought him have all been defeated.”
Suddenly they became aware someone shouted—they recognized Zhuge—
and he said, “You two only speak of the might of Lord Cao, do you want to
surrender? Haven’t you heard how Lord Cao, after he had captured the land
of Jing and Chu, sent off Liu Cong to a different place and had him killed
on trumped-up charges? Do you want to ape the words of the likes of Kuai
Yue and Cai Mao who persuaded Liu Cong to surrender to Cao Cao?” This
scared Sun Quan to speak out in alarm, “Field Marshal, what you say is
right on the mark!”
They debated the problem for three days and still had not yet reached a
decision when suddenly someone came to report, “Cao Cao’s army of one
million three hundred thousand is besieging Xiakou and he has sent
someone with a letter to particularly come have an audience with the
Caitiff-Suppressing General.” Sun Quan ordered someone to summon the
envoy before him and present the letter. Sun Quan read it,

{88} When in ancient times the August King87 ruled the court, Chiyou
[15a] rose in rebellion, and when King Shun occupied the throne, the
descendants of the Miao refused to obey. Now the Yellow Emperor was
not a ruler without the Way and Shun of Yu was certainly no inhumane
prince. Yet mutinous vassals and traitorous sons turned their back on
favors received and abandoned what is right, provoking the fury of
heaven and earth as well as the wrath of gods and men. This is the reason
why armies take the field and buckler and spear are raised everywhere. I,
Cao, have received the imperial directive and bear the emperor’s mandate
to command this army of a million, to cleanse away the perverted and
evil throughout the world. Now I have executed Lü Bu in Xiapi,
beheaded Gongsun Zan in Henei, and exterminated Yuan Tan in
Qingzhou; when I arrived in Bianliang I immediately arrested Zhang
Mao, and when I came to Luoyang I promptly captured Kong Xiu alive.
 Should I array formations on the banks of a river or set out my soldiers
with their backs to the smallest creek, I depend on the enormous
blessings of the Son of Heaven and rely on my own awesome might.
Leading a million troops I proceed by both water and land routes,
advancing on and adding capital precincts, just as if I were plucking up
my robe to wade in the ocean or walking along wide streets. To take the
rivers of Wu would be like Mt. Tai crushing an egg. Now I have received
an edict ordering me to arrest and capture the rebellious slave Liu Bei.
The Suppressor of Caitiffs is a loyal minister of the Han—do not heed his
slanderous words. Should you be beclouded and resist me as an enemy, I
will take my one million troops right to the Great River, which can be
crossed at any time I want. Don’t wait for fires of Mt. Kunlun to burst
forth to burn both pure jade and simple stone together. Those who lack
knowledge and foresight will all and every one be decapitated. I will go
no further into detail.

Respectfully submited to the Caitiff-Suppressing General by Cao Cao,

Grand Prince of Wei, presently appointed to a position of first advisor,
Generalissimo of the Han and concurrently the Grand Marshal of Horse
and Foot.

When Sun Quan had finished reading this letter he was so terrified that his
body was covered in a cold sweat, his clothes were soaked through, and the
hairs on his skin were all standing on end. Zhang Zhao and Wu Fan once
again said, “Order your famous generals to take their armies and each hold
one of the river crossings. Appoint a grand marshal and have him install a
hundred thousand troops on the southern banks of the River so Cao’s army
cannot cross. And let’s not get involved with the Imperial Uncle of the
Han.”
{89} This scared Zhuge so much that he was stupefied, “If you don’t
dispatch troops, my lord in Xiakou is doomed!” As soon as he finished
speaking, he knotted up his robe, pulled back his sleeves, raised his sword,
and killed that envoy right in front of the steps! Chaos reigned among the
officials. Zhang Zhao and Wu Fan said, “Now we see Zhuge’s crafty
duplicity! Those with understanding will know that Zhuge killed Cao’s
envoy, but those without will say that Wu troops killed him!” People were
ordered to arrest Zhuge, but the latter loudly shouted, “Caitiff-Suppressing
General, you make a mistake. If you read the letter again you will see that
of the ten liege lords in the empire, most have been killed by Cao Cao—not
even one or two remain! My [15b] lord is a seventeenth-generation
grandson of Gaozu, a descendant of Liu Sheng, the Quiet Prince of
Zhongshan. What crime did he commit? If he comes to kill the Imperial
Uncle, he will certainly also harvest the land of the River and Wu. General,
carefully consider this.” And Lu Su said, “My lord, haven’t you heard that
everyone in the empire says that all the beheadings do not proceed from
Emperor Xian—life and death are determined by Lord Cao alone.” Sun
Quan then said, “Minister, you are right.” And he gave the order to release
Zhuge.
That evening Sun Quan, accompanied by Lu Su, went to see Her
Ladyship his mother, who invited the two men to sit down. She asked Sun
Quan about the state of affairs. The latter told her that Zhuge wanted to
borrow an army to take with him to Xiakou in order to save the Imperial
Uncle. Then, he went on, “Minister Cao is now on the northern bank with
one million three hundred thousand troops.” Her Ladyship his mother said,
“Haven’t you heard how your father and the eighteen liege lords fought
their great battles below Tigerkeep Pass? Haven’t you seen your father’s
heroism? Now Cao Cao appropriates the power of the Son of Heaven and
abuses and oppresses the liege lords. You should go as quick as you can to
Xiakou and rescue the Imperial Uncle to achieve a lasting fame. Just before
he died your father said, ‘If there is an urgent affair, appoint Zhou Yu as
grand marshal.’ And if you also make Huang Gai the vanguard, you can
defeat Cao Cao.” Sun Quan replied, “Mother, you are right.” Upon his
return Lu Su told what happened to Zhuge who was greatly pleased.
The next day at break of dawn Sun Quan once again asked, “What should
we do?” When Zhang Zhao said, “Don’t raise troops,” Sun Quan raised his
sword and cut his table in two, “If anyone says ‘Don’t send troops!’ one
more time, he will suffer the same fate as this table.” So none of his
officials dared raise the issue again.
Sun Quan ordered someone to go to the city of Yuzhang and invite
Prefect Zhou Yu, but the latter would not come. When Sun Quan asked
Zhuge why Zhou Yu didn’t come, Zhuge replied, “I’ve heard that Lord Qiao
has two daughters, Elder Qiao and Little Qiao. Elder Qiao has married your
son as his wife, and Little Qiao has become the wife of Zhou Yu. She is
young and extremely beautiful, so Zhou Yu is having a great time with
Little Qiao {90} everyday. Why would he be willing to come here to
become a commander?” Sun Quan thereupon ordered Lu Su and the field
marshal to hasten to the city of Yuzhang.

But now let us turn to Zhou Yu, who was having a good time with Little
Qiao every day. Someone reported, “The Caitiff-Suppressor has dispatched
an official with a ship full of gold and pearls and bolts of silk as a gift for
the prefect.” Little Qiao was very pleased, but Zhou Yu said, “You don’t
understand the meaning of this. Zhuge and Lu Su [16a] are coming in
person to invite me.” In no time at all, Zhuge arrived and Zhou Yu asked,
“Who is this man?” Zhuge replied for himself, “I am from Recumbent
Dragon Ridge on Mt. Wudang in Nanyang, and my name is Zhuge Liang.”
Zhou Yu was greatly surprised and asked, “Field Marshal, what is your
intention?” Zhuge replied, “Cao Cao is now stationed with a million troops
at Xiakou, hoping to swallow Wu and Shu. My lord is in bad straits so I
have come to ask for help.” Zhou Yu did not say a word. And then he saw a
cluster of servings maids and ladies in waiting surrounding Little Qiao as
she appeared from behind the folding screen. As she stood next to Zhou Yu
she said, “Zhuge, your master is trapped in Xiakou and you don’t know
how to save him, so you have come all the way to Yuzhang to ask my Zhou
Yu to become grand marshal?”

Let’s talk for the moment about Zhuge. He was nine feet, two inches tall
and just had reached thirty. His beard was raven-black and his nails were
three inches long. He was as handsome as could be! After Zhou Yu had
treated Zhuge to wine, the servants presented oranges in a golden bowl.
Zhuge pushed back his sleeves, held an orange in his left hand, and with his
right hand raised a knife. Lu Su said, “Martial Marquis, you offend against
propriety.” But Zhou Yu said with a smile, “I’ve been told that Zhuge is
from a lowly background. He’s just a peasant and simply not used to this.”
He then divided his orange into three equal parts. Kongming divided his
into three parts of different sizes: one large, one small, and one even
smaller, and placed them on a silver tray.
Zhou Yu asked, “Field Marshal, what do you mean by this?” Zhuge
explained, “The big one is Minister Cao; the smaller one is Caitiff-
Suppressing Sun; and the smallest one is my lord, the lonely and desperate
Liu Bei. Cao Cao’s military might is like a mountain and there is no one
who can oppose him. Sun Zhongmou88 can offer only a bit of resistance.
Alas, my lord has limited troops and few officers so we request aid from the
land of Wu, but you, Grand Marshal, claim to be too sick.” When Zhou Yu
remained silent, Kongming shouted with intimidating force, “If Cao Cao
now has set his army in motion to come from afar to conquer the lands of
the River and of Wu, it is not because {91} of some fault of the Imperial
Uncle. And, you must also know that Cao Cao has built his Bronze Bird
Palace in Chang’an, and is scouring the empire for beautiful women. If Cao
Cao would take the lands of the River and of Wu and make the two
daughters of Lord Qiao his captives, grand marshal, wouldn’t that defile
your fine reputation?” Zhou Yu pushed back his sleeves and rose to his feet
and ordered his wife to go return to the rear chambers, as he said, “I am a
real man, I will never be shamed. I will visit the Caitiff-Suppressing
General and be appointed grand marshal. I will kill Lord Cao.”
Zhou Yu set out on the road and arrived in a few days. [16b] Sun Quan
and his officers raised Zhou Yu to the high rank of grand marshal and
provided him with the seal of office. After a few days of banqueting, the
Caitiff-Suppressing General saw Zhou Yu off as he set out on the road. He
departed with three hundred thousand troops and a hundred famous officers.
He stationed his troops on the southern bank of the River, bivouacking
about at ten li from Chaiye Crossing.

The Battle at Red Cliff

Let us now turn to Cao Cao when he learned that Zhou Yu had become
grand marshal. Some five or seven days later, Lord Cao said while
questioning the event, “The boat with the banner and canopy among those
thousand battle craft on the southern banks of the River must be Zhou
Yu’s.” Cao Cao directed twenty battle ships and led Kuai Yue and Cai Mao
to the middle of the River for a discussion with Zhou Yu. Zhou Yu was on
the south; on the north was Cao Cao. When the two sides had finished their
talks, Zhou Yu’s ship went back, but he was pursued by Kuai Yue and Cai
Mao, so he reversed course. There was Zhou Yu’s big ship, and then ten
small ships came forward with a thousand men on each ship, whose arrows
stopped Cao’s troops. Kuai Yue and Cai Mao ordered their several thousand
men to fire their arrows.
Let us now go back and explain that Zhou Yu used ships with tenting hung
on their sides. As soon as Cao Cao released his arrows and Zhou Yu’s ships
were struck on the left side, he would then order the oarsmen to turn the
ships around, so they would be hit on the right side. In no time at all, the
ships were covered with arrows, and when Zhou Yu returned he had
obtained a few hundred thousand arrows. Pleased, Zhou Yu said, “Prime
Minister, many thanks for your arrows!” When Cao Cao heard this, he flew
into a rage and passed along the order, “We will battle again tomorrow, and
demand our arrows back from each of Zhou Yu’s ships!”
{92} But when they confronted each other the next day Zhou Yu used
catapults to bombard Lord Cao’s ships with stones and inflicted a heavy
defeat on him. When his troops returned to their camp, Cao Cao said, “If it
were just on dry land, I would defeat Zhou Yu. But battling on the water I
can find no way to get an advantage.” Then Cao Cao had an idea, and
thought, “Sun Quan has his Zhou Yu, Liu Bei has his Zhuge Liang, but I’m
all alone.” After discussing it with his officials, he decided to appoint a field
marshal.
Followed by a thousand or so men, riding in one plain cart, he took his
officials to the River, where he saw a Daoist elder sitting and strumming a
zither. “Well,” Cao Cao thought to himself, “King Wen found Jiang
Taigong89 and established the Zhou for eight hundred years.” Cao Cao quit
his conveyance and greeted the man, then invited him to return to his cart
for a conversation. “Master,” asked Cao Cao, “are you not one of the Eight
Eminences of the Lower Yangzi?” “Yes,” replied the master.

Cao Cao Appoints Jiang Gan as Marshal of the Army

Cao Cao was elated and took him back to his stronghold, where he feted
him for several days.
Cao asked him, “Master, how do we make Zhou Yu withdraw?” [17a]
Jiang Gan then launched into a discussion, “Zhou Yu is from Fuchun, in the
Jiangnan area, from the same village as me. Let me have an audience with
Zhou Yu, ply my words to persuade him, and make him give up on setting
his troops in action. Then, at Xiakou on the north bank of the River, first
behead Liu Bei, and then drive your troops south across the River and take
Wu. It can be had on any day you like.” Cao Cao was elated, and looked
upon Jiang Gan as a man of the ilk of Jiang Taigong or Zhang Liang. The
next day Jiang Gan crossed the river.
Zhou Yu, Lu Su, and Zhuge Liang were engaged in conversation when
someone reported, “An elder is here to see the grand marshal.” Someone
was sent to ask Jiang Gan to enter the camp and all of the officials received
him into the tent and offered him a seat. Zhou Yu began, “My old friend, we
have been parted many years, and today we meet again.” And he went on,
“One who ‘leaves the family’ does not covet fame or benefit. Now Zhou is
a grand marshal in Eastern Wu, with a rugged army of three hundred
thousand, and a hundred noted generals, and has encamped at the ford at
Chaisang. Master, please explain the rights and wrongs of the two states!”
With this one sentence Jiang Gan was stumped for a way to reply.

{93} Now let us speak about how Zhou Yu was in his cups and had asked
his host of officers, “Minister Cao is encamped at Xiakou with thirteen
hundred thousand troops, and sooner or later Xiakou has to fall. Which of
you officers has a plan that can lead to the withdrawal of Cao’s army?”
From their midst, Huang Gai came forth and said, “Grand Marshal! Send
three officers with fifty thousand men to secretly cross at Chaisang, and
then follow a small path to a keep some sixty li north of Xiakou. There cut
off Lord Cao’s supplies; then Cao will kill himself in less than a month.
This is called ‘the plan to cut off the road and stop supplies.’” “Huang Gai,”
said Zhou Yu angrily, “this plan is worthless!” Lu Su had no plans and the
other officers were silent. “Huang Gai is a flatterer and should be put to
death!” The host of officers all urged him to be tolerant and Huang was
spared death, but he received sixty blows from the bastinado.90 That night
the grand marshal got drunk and his officers dispersed.
In his tent, Jiang Gan said to himself, “From the start, Zhou Yu blocked
me from speaking.” Huang Gai, full of grief and resentment, went to his
tent and said, “Thank you, sir, for being one of the first to urge the marshal
to spare me.” The master said, “Zhou Yu is not fit to be grand marshal.”
Huang Gai then opined, “Now there is no one to entrust one’s life to and to
help.” Seeing that they were alone, Jiang Gan spoke of the virtue of Cao
Cao. Huang Gai said, “Who can believe that from afar? I should be able to
see the noble Cao.” Jiang Gan explained, “Minister Cao has appointed me
field marshal. I came to persuade Zhou Yu to a different course of action,
but he cut me off so that I could not speak about it. Are you, Sir, willing to
cast your lot with Cao?” Jiang Gan went on, “There’s no need to worry,
general, because you would receive a high post or commission.” Going on
in the same vein, Huang Gai offered, “You are probably not aware that Kuai
Yue and Cai Mao have already sent letters and surrendered to Zhou Yu.”
Jiang Gan was greatly taken aback. Huang Gai said, “The grand marshal
gave me the letter.” Jiang Gan wanted to read the letter, and after he did he
was alarmed, saying, “Minister Cao needs to know about this. I should give
the letter to Cao Cao and have those two men executed, so that there is no
need for later regret.” Huang Gai himself wrote out a letter of surrender, and
he said, “When I surrender to Cao Cao, I will offer up five hundred carts of
food and fodder to the minister.” They spoke until very late. The next day,
Jiang Gan was sent off.

But let us speak now about Jiang Gan, who boarded a boat and reached
Lord Cao’s stronghold that night. On the next day, he had an audience with
Minister Cao and explained the whole affair in detail. After reading Huang
Gai’s letter of surrender, Cao Cao was ecstatic. Jiang Gan then told him
about Kuai Yue {94} and Cai Mao surrendering to Zhou Yu and then gave
the letter to Lord Cao to read; Cao was greatly alarmed.

Let us speak instead of Cao Cao’s army of thirteen hundred thousand men.
They all had boarded the boats as if they were climbing onto level land. Cao
Cao was delighted, and he said, “I have heard of Huang Gai’s virtue, but
I’ve never seen him face to face. If he comes, I will certainly rely on him
heavily.”
Yu Fan came back to the southern bank and had an audience with Zhou
Yu in which he related everything in detail. He was also carrying a letter
from Cao Cao to Huang Gai. Zhou Yu said, “This great venture is now
complete.” He gave rewards to Yu Fan and promoted him in rank.
The grand marshal had all of his close top-ranking officials and the
general officers read the letter, and Zhou Yu said, “There is a brief window
to destroy the million-man army of Cao Cao. I have a plan. If all of you are
of the same mind, then bring out a brush and inkstone and write in the palm
of your hand. If we all agree, then this plan is the right one. If we don’t,
then we will discuss it in more detail.” “What you say, Marshal,” said the
officers, “is sure to be right.” So they wrote in the palm of their hands, and
when finished the officers followed him and ordered the soldiers to move
back. When the officers looked at their palms and the palm of the marshal’s
hand, every character was “fire.” All of them were overjoyed. Then Zhou
Yu stared at field marshal Zhuge, and said to him, “This plan is ‘flaming
fire.’ It comes from Guan Zhong’s ‘Pacify the People with Slight Parching
Military Strategy.’”91
But only the field marshal’s hand had the character “wind” written on it.
“This,” said Zhuge, “is a marvelous plan of yours. On the day that the fire
will be set, our [18a] stronghold will be on the southeast, and Cao Cao’s on
the northwest. How will we defeat Cao Cao if the wind is not in our favor
when the time comes?” The grand marshal said, “Why did you write the
word ‘wind’?” The field marshal repeated, “If all of the general officers
employ the word ‘fire,’ I can aid them with the wind.” Zhou Yu said, “Wind
and rain are creations of the interaction of yin and yang in the heavens. Are
you capable of raising the wind?” Again the field marshal explained, “From
the time heaven and earth came into existence, there have been three people
who are capable of invoking the wind through sacrifice. The first was the
Yellow Emperor, Xuanyuan. He made the Lord of the Wind his marshal and
had Wind defeat Chi You. I also heard that Emperor Shun made Gao Yao
his marshal and he employed Wind to pin down the San Miao peoples. I
have received diagrams and texts, and when {95} the day comes, I will aid
with a southeasterly wind.” None of the officers were happy and Zhou Yu
thought to himself, “I come up with a marvelous plan that will allow not a
sliver of Cao’s army to return, and Zhuge Liang steals my thunder!” The
general officers were creating a ruckus when a gatekeeper reported, “There
is a gentleman outside who says he would like to see his friend Zhuge.” The
general officers went out to greet him.92

Let us turn now to Zhuge Liang, who met his friend and escorted him up
the stairs where they all sat according to their rank. This was Zhuge Liang’s
elder cousin, Zhuge Jin. They feasted until late and the general officers all
left.
Zhou Yu welcomed Zhuge Jin into his own tent to sit and said, “Do you
know that Zhuge is dishonorable? The general officers all raised up ‘fire’
and he talked about sacrificing to the wind.” “This Recumbent Dragon of
our house,” replied Zhuge Jin, “has techniques beyond comprehension.”
Zhou Yu laughed, “If it makes Cao Cao withdraw and rescues Liu Bei, then
I am a prisoner under his aegis!” When he was done talking, he left.
 Explain that, several days later Zhuge built a high terrace of rammed
earth, with its north side bordering on the River. Then explain that three
days after that Huang Gai onloaded a substantial amount of grain and
fodder and that there were three boats outside. On that day dozens of Zhou
Yu’s officers quick-marched groups of marines and went just outside
Xiakou city. When Huang Gai’s boats reached Xiakou, someone reported to
Cao Cao, “Huang Gai is carrying grain and fodder to our camp.” Cao Cao
welcomed them with smiles and laughter.
Then later explain how the field marshal calculated when the full army
would reach Xiakou, and how Zhuge ascended the terrace where he saw fire
starting in the northwest.

{96} Let us speak now of how Zhuge donned his yellow cape and
performed his ritual with disheveled hair and bare feet, holding a sword in
his left hand and clacking his teeth, to cause a mighty storm to rise. There
is a poem,

Violent battles at Red Cliff, mighty from antiquity,

Men of those days were all so in awe of Lord Zhou; [18b]
But Heaven knew that the eventual tripartition of the tripod’s feet
Was all due to the loyalty of the humble Huang Gai!

Let us now speak of the Martial Marquis crossing the River to Xiakou. On
his boat, Cao Cao cried out, “I am dead!” His general officers said, “It’s all
Jiang Gan’s fault.” And in a flurry of knives they hacked Jiang Gan into ten
thousand pieces.
Cao Cao got on a boat, and hurriedly found a path by which to flee from
the confluence of the rivers, and he saw that every boat on all four sides
was aflame. He also saw a group of tens of boats on one of which was
Huang Gai, who said, “Behead the traitor Cao and make the empire as
secure as Mount Tai!” The hundred officers of Minister Cao were ignorant
of water battle, and their army was shooting arrows at each other.

Let us now turn to explain that it was too late for Cao Cao to do anything—
there was fire on four sides and in front a barrage of arrows. Cao Cao
wanted to flee, but Zhou Yu was to the north, Lu Su to the south, Ling Tong
and Gan Ning to the west, and Zhang Zhao and Wu Fan to the east. Death
lay on all four sides. The Historiographer says, “If it weren’t for the fact
that Lord Cao’s family was fated to produce Five Emperors,93 he would not
have been able to escape.”
Cao Cao did escape this peril alive and fled to the northwest. When he
reached the bank of the river, his men surrounded Lord Cao as he mounted
up. It is said that the fire broke out at dusk and it was noon the next day
before he got out. Cao Cao turned around to look and he could still see the
smoke and flames from the boats at Xiakou spreading across the sky—not
ten thousand men were left from his own army.
Cao Cao fled in a northwesterly direction. After fewer than five li he ran
into five thousand troops on the bank of the river and he recognized that is
was Zhao Yun from Changshan who blocked his way. All of Cao’s officers
attacked them together, and Minister Cao broke through their lines and went
on. When they had made another ten li, they once again ran into two
thousand troops, whose leader Zhang Fei blocked their way.

{97} But let us now relate how his officers risked their lives to make a way
for him and attack so violently that Cao Cao’s helmet was all askew, and his
hair had become unbound. He opened his armor and beat his breast, and
leaning forward in his saddle he spat blood.
When evening fell they reached a large forest. Cao’s troops had no tents
at all but could not go forward. Behind him were officers who had split into
three routes and were attacking his rear. Minister Cao said, “In front are two
roads. One goes straight north. It is the main road to Jingshan, it passes
through the land of Chu. The other is called the Huarong road.” Cao Cao
then thought, “Last time, when my troops reached the long slope of
Dangyang, Zhang Fei blocked our way with twenty men and as a result our
army could not proceed. If Zhuge has posted his men there again to block
our way we will be captured by those bandits because my men are tired and
the horses are worn out.” So Minister Cao proceeded along the Huarong
road, but before he had gone twenty li [19a] he saw five hundred
swordsmen: General Guan was blocking his way!
Minister Cao addressed Yunchang with flattering words, “Marquis of
Shouting, please consider that I treated you well.” But Lord Guan replied,
“I am under strict orders of the field marshal.” Lord Cao crashed through
his lines, but we have to tell that as they were talking they were enveloped
by dust and mist, and this enabled Lord Cao to escape. Lord Guan pursued
him for a number of li and then turned back.
 Before he had gone fifteen li in an easterly direction he met with Xuande
and the field marshal, who said, “That bandit Cao escaped, but it wasn’t the
fault of Lord Guan.” These words made people complain to Xuande and
they all asked how this had been possible. The Martial Marquis said,
“General Guan is a man of humanity and virtue. In the past he was treated
well by Minister Cao, so perhaps he allowed him to escape for this reason.”
When Lord Guan heard these words he was livid with rage and jumped on
his horse, telling his lord that he would pursue him again. But Xuande said,
“Younger brother, your nature is not made of stone. You must be tired,
aren’t you?” And the field marshal said, “I will go too. Be careful to make
no mistakes.”

The Uneasy Alliance

Next tell that Xuande and his troops marched in an easterly direction and
when they had gone thirty li straight east, they saw the troops of Wu. The
two sides drew up their battle lines, but when they heard them, they said,
“These troops that are approaching must be Lord Zhou!”94 The Imperial
Uncle dismounted {98} and met with Zhou Yu. When the latter saw the
Imperial Uncle, he was frightened and said, “I followed the tiger to save the
dragon—when will we see great peace?” When finished speaking, the two
of them rode side by side: Zhou Yu on the left and the Imperial Uncle on
the right. They marched on until the evening and then each camped down.
Zhou Yu thought to himself, “Cao Cao is only a usurping vassal, but
judging from Xuande’s aquiline nose and dragon face, he has the features of
an emperor or king.” Then he thought, “Zhuge with his world-capping
talent supports Xuande, so our hopes for an empire are finished! But with
some small trick I will capture the Imperial Uncle and arrest Recumbent
Dragon. With these two people gone, the empire is basically settled.” Lu Su
nodded his head and said, “Grand Marshal, what you say is right.”
At daylight of the next day the Imperial Uncle hosted a banquet and the
grand marshal and all his officers were invited. When evening fell, Zhou Yu
told the Imperial Uncle, “On the southern bank there are the Yellow Crane
Tower, the Golden Mountain Monastery, the Queen-Mother of the West
Pavilion, and the Drunken Greybeard Kiosk—all the greatest sights of the
land of Wu.” The Imperial Uncle acknowledged this.
 The next day Zhou Yu invited the Imperial Uncle to cross the River and
ascend the Yellow Crane Tower for a banquet. The Imperial Uncle crossed
the River and climbed the Yellow Crane Tower. Liu Bei was delighted and
viewed the sites on all four sides. Zhou Yu explained, “Not a hundred li to
the south you have the … Pass, to the north [19b] you have the Great River,
to the west there is the Lychee Garden, and to the east there is the Hall for
Gathering the Wise.” When the officers and the Imperial Uncle had finished
the banquet, Zhou Yu said, “Earlier when Zhuge crossed the River, with
flattery he persuaded my lord Sun Quan to action, promoting me to save
you.” Zhou Yu had had too much wine and said, “When Zhuge sacrificed to
the wind, that was a union of heaven, earth, and, thirdly, man. By that we
were able to save you in Xiakou—but if it hadn’t been for me how could
you have escaped? Zhuge may be strong, but could he have ever made you
cross the River?” The Imperial Uncle was greatly frightened on hearing
this, for indeed these were true words spoken in drunkeness.

Next speak of Zhao Yun in the stronghold of Han, who was in such low
spirits that he sent someone after Zhuge and Lord Guan so they would come
back again. When the field marshal entered the camp, he failed to see the
Imperial Uncle. Zhao Yun explained the transgressions of Zhang Fei to the
field marshal.95 The field marshal intended to have Zhang Fei beheaded,
but the officers {99} implored him to spare him. Mei Zhu acted as the
emissary, and the field marshal had him cross the River by boat.

When Mei Zhu arrived at the Yellow Crane Tower and met with the
Imperial Uncle upstairs, he suggested he visit the toilet, where he picked up
off the ground a piece of paper with eight words on it, “Eat your fill surely,
when he’s drunk, leave.” After the Imperial Uncle read this, he tore the
paper to shreds. Zhou Yu, who had drunk too much, said, “Cao Cao acts the
dictator, each liege lord is his own hegemon.” When the Imperial Uncle told
him, “If you mobilize your army, I will be your vanguard,” Zhou Yu was
greatly pleased. The Imperial Uncle took brush and inkstone in hand and
wrote a short song that he showed to Zhou Yu. The song reads,

The empire in utter turmoil—

the house of Liu about to fall:
Heroes emerged in this world—
 to scorch the four directions.
At Ravenwood96 in one fell swoop—
we annihilated that one who “toppled the strong,”97
Now the house of Han will be restored—
we will join with the worthy to carry out good actions.
How worthy is his humanity and virtue—
how commendable is that Zhou Yu!

An encomium reads,

How commendable is that Gongjin,

His birth was a rare occurrence.
On behalf of Wu he swallowed the hegemon
And competed with Wei for the prize.
At Ravenwood he defeated the enemy,
At Red Cliff he massacred the troop.
Such brave heroics
Are matched by none!

Zhou Yu was greatly pleased, “Oh, Imperial Uncle, you are so talented.” He
then ordered his servants to place his Charred Tail98 on his knees and
intended to {100} play the Master Kong’s Apricot Altar.99 But before the
sounds of the zither had finished Zhou Yu was dead drunk and he could not
play the piece to the end. The Imperial Uncle said, “The grand marshal is
drunk!” The banquet turned into a disorderly crowd, some rising, some
sitting down. The Imperial Uncle sneaked away, descended the stairs, and
came to the bank of the River. The man at the River crossing asked, [20a]
“Where are you going?” And Xuande replied, “The grand marshal is drunk.
He has ordered me to prepare a banquet tomorrow. After I cross the River
there will be a return banquet in my camp tomorrow and you officers are all
invited.” The officer guarding the River had no further questions and the
Imperial Uncle boarded.

Next explain how, when Zhou Yu woke up from his stupor, he placed his
zither on his knees and slowly sat up straight. He asked his servants,
“Where did the Imperial Uncle go?” “He went downstairs,” they told him,
“quite a while ago.” Zhou Yu was greatly shaken and immediately called
the officer who guarded the River, who explained, “Xuande told us that
you, Grand Marshal, had ordered him to cross the River to prepare a
banquet.”

Let us turn now to tell how Zhou Yu smashed his zither to pieces and loudly
cursed out his officers, “As soon as I’m drunk for a moment that slippery
slave Liu Bei escapes!” He ordered Ling Tong and Gan Ning to man some
battle ships with three thousand troops and pursue the Imperial Uncle—if
they caught up with him, they had to bring him the head of the Imperial
Uncle.
The Imperial Uncle went on and the troops of Wu chased him. As the
First Lord went up the bank, the bandit troops were close behind. Zhang Fei
blocked their way and so scared the Wu troops that they didn’t try to
disembark. They went back and made their report and Zhou Yu sank into a
depression. A few days later he led his army across the River, but then he
learned that the Imperial Uncle and Zhuge had made camp at Red Cliff
Slope some hundred li from the River.
Zhou Yu ordered his troops to hasten to the four commanderies around
Xiakou,100 and they first reached Changsha Commandery. The prefect
there, Zhao Fan, said, “These four commanderies are attached to Jingzhou,
so what are you up to?” The next day Zhou Yu led his troops to battle Cao
Zhang, but even after several rounds he could not best Cao Zhang, so the
two armies remained at a standoff.

{101} The story relates that Lu Su proposed, “To the northeast is Red Cliff
Slope; that’s where that ungrateful Liu Bei is now; we should ask him for
help.” He added, “If Xuande, Kongming, Lord Guan, and Zhang Fei come,
we definitely will defeat Cao Zhang.” He immediately wrote a letter and
went to see Liu Bei and Zhuge. After he read the letter, the Imperial Uncle
was ready to set out with his troops, but the field marshal said, “You can’t
do that! At Yellow Crane Tower that bandit general almost did you in.” The
field marshal summoned Zhang Fei and said, “You go.” The field marshal
then relayed a little scheme to him.
The next day Zhang Fei led five thousand troops to Changsha
Commandery. In the east was Zhou Yu’s big camp, in the west was Cao
Zhang’s big camp, and Zhang Fei’s camp was to the north of Changsha.
When Zhou Yu learned that Zhang Fei had come to his relief with five
thousand troops, he said to his officers, [20b] “When Liu Bei was besieged
in Xiakou, our three hundred thousand troops and a hundred famous
generals engaged in a fierce battle and we also lost Huang Gai. For killing
that Cao Zhang I don’t need that Liu Bei.” His officers all said, “Right!”
On the next day, Cao Zhang’s formations were in the west and Zhou Yu’s
in the east. Zhang Fei was in the north.
Now let us tell how, when Zhang Fei saw Zhou Yu, he made a deep bow
and said, “Zhou Gongjin, I hope you have been well since we parted.” Zhou
Yu replied, “You bandit general, how do you dare mock me?” He had seen
that the banner behind Zhang Fei was inscribed with “Chariot and Horse
General.”101 “That drives me mad,” said Gongjin. “That cowherd country
hick is deliberately poking fun at us. To think that the office of our Sun
Quan should be lower than that of Zhang Fei!” Zhou Yu’s feeling of hatred
for the slight lay in his bosom. The Wu generals and Cao Zhang confronted
each other in battle, but even though they fought many rounds, it was a
dead standoff.

Let us speak about Zhang Fei, who said, “Wu generals, move back a little
and let me behead that Cao Zhang!” The troops of Wu had no idea of the
intimidating power of Zhang Fei, but he gave one shout that penetrated
beyond the ninth heaven. He fought repeatedly with Cao Zhang and the
latter was soundly defeated. Zhou Yu said, “I have been here all this time
but I couldn’t get the better of Cao Zhang. And now that Zhang Fei has
won, how can I not feel shamed?” So Zhou Yu also pursued Cao Zhang,
who fired a single arrow that squarely hit Zhou Yu, who fell from his horse.
Except for the troops around Zhou Yu, Cao Zhang came close to capturing
him.
{102} When evening fell, Zhou Yu gathered his troops to return and
when they had arrived at the camp, Zhang Fei had also come back. He
raced to the camp and shouted, “Grand Marshal, when earlier we were in
danger in Xiakou, you came to our rescue. Today is the twentieth day that
you have been unable to get an advantage over Cao Zhang. I have defeated
him in battle and present you Xiakou’s four commanderies to repay you for
the favor of Xiakou.” Having said that, he left. Zhou Yu put a plaster to the
arrowhead wound and put his left arm in a sling. He said, “Both the act of
that lonely and desperate Liu Bei turning his back on our favor and Zhang
Fei’s making me so angry are the work of that Zhuge! So what is the
meaning of Zhuge granting me these four commanderies?”
 Just a few days later someone reported to Zhou Yu, “The Imperial Uncle
and Zhuge now defend Jingzhou with three thousand troops.” When Zhou
Yu heard this he gave a loud shout and blood flowed from his battle wound.
His officers said, “Jingzhou belongs to the land of Wu.” So he immediately
set out with his troops and within a few days reached Jingzhou. When the
Imperial Uncle learned that Zhou Yu was approaching with his troops, he
led his officers and formed his army up opposite that of Zhou Yu. Zhou Yu
said, “Imperial Uncle and field marshal [21a], how can you not understand
this? Jingzhou belongs to the land of Wu, so on what basis did you take it,
Imperial Uncle?” The Imperial Uncle replied, “This has nothing to do with
me.” A general emerged from the doorway made by the parting of battle
flags. When Zhou Yu looked closely, he gave a loud shout and fell from his
horse. His officers immediately helped the grand marshal reseat on his
horse, but blood flowed from his battle wound like a river. He had
recognized this general as Liu Qi, the eldest son of the Prince of Jing. Liu
Qi loudly shouted, “Grand Marshal Zhou Yu, when my father died, Liu
Cong offered up Jingzhou to Cao Cao, but when Cao Cao retreated, this
place was reinstated to me thanks to my Imperial Uncle.” Zhou Yu had
nothing with which to refute this. The Imperial Uncle also said, “Gongjin,
join us for a banquet!” But Zhou Yu was so scared that he refused to enter
the city lest Zhuge had another of his tricks. Zhou Yu marched his troops
back to the southern bank of the River where he stationed them to nurse his
illness.
Moreover, for a full three months Lu Su sent people to ascertain the
situation in Jingzhou. One came back to report to the grand marshal, “Liu
Qi is dead.” Zhou Yu thereupon led a hundred thousand troops to take
Jingzhou. After marching for a number of days he made camp some tens of
li from Jingzhou. The day he arrived, the Imperial Uncle rode out on
horseback. When Zhou Yu said, “Originally Jingzhou belongs to the land of
Wu but you have occupied it,” Zhuge replied with a smile, “I’ll let you read
something.” In the space between the two battle formations on a table they
placed a cinnabar plate which was covered with a brocade coverlet and had
Zhou Yu take a look. When {103} he had done so, he stamped his feet and
blood spurted out like a fountain from his wound. His officers hurried to his
rescue and covered his battle wound.
 Academician of the Hall Zhao Zhiwei presents this addendum: His
Majesty, seated in the Jiaming Palace, has heard the memorial presented
by the Imperial Uncle and vetted by Prime Minister Cao as guarantor and
responds:

Considering that the Imperial Uncle Liu Bei, from the time he defeated
the Yellow Scarves, defeated Dong Zhuo at Tigerkeep Pass and followed
Prime Minister Cao to jointly execute Lü Bu, has repeatedly established
great merit; that his words and demeanor are a model, his humanity and
virtue are excellent, and, even when assigned to low rank, he has never
shown any arrogance in the performance of his duties,

I hereby promote him to the position of Grand Overseer of the Three

Rivers and concurrently Warden of Yuzhou, Grand Marshal of the Fleet,
and Pacification Commissioner of the thirteen downriver commanderies,
with ten thousand families of tax rights as his source of income. He is
also presented with a gold fish pouch to be worn on purple robes of
office. The Imperial Uncle is enfeoffed as Prince of Jing. Once the border
troubles will have been settled, he will be summoned for further
promotion as, one thinks, he will fully understand.

Confirmed on this day of the seventh month, autumn, of the fourth year
of the Jian’an period.102

Zhou Yu could only lead his troops back.

Let us now speak about the Imperial Uncle residing in Jingzhou. After a
few days someone reported, [21b] “The Grand Marshal Attendant Officers
Jia Xu, Cao Xiang, and Xiahou Dun are leading fifty thousand troops. They
have made camp less than twenty li to the northeast of Jingzhou.” Zhuge
said, “I will lead the two generals Guan and Zhang and go to meet this army
of Wei.” When they were about to set out on the road he called Zhao Yun
and secretly told him his plan. Within three days, the troops departed.

Let us speak of when the Imperial Uncle was prefect of Jingzhou and the
common people patted their bellies and sang songs praising his humanity
and virtue. One day when evening fell one saw several fully loaded boats at
the northeastern water gate (one of six gates of Jingzhou) from which
people loudly shouted, {104} “Open the gate! We are traveling merchants!”
But from one of the towers in the city wall Zhao Yun replied, “It’s too late,
you can enter the city tomorrow.” But the merchants didn’t accept that and
said, “Our capital is in these ships and they are fully loaded. We are afraid it
isn’t safe outside the walls.” But Zhao Yun was still unwilling to open the
gate. When the first watch of the night had passed, from the third boat
someone shouted to Zhou Yu, “I must take Jingzhou.”103 He drew his sword
and plunged into the water, ordering everyone to leave their boats and climb
the banks. By their accent one could tell they were all officers and troops of
the army of Wu.
Originally the grand marshal Zhou Yu used fire arrows to burn down the
gate. Zhao Yun said, “This exactly corresponds to the field marshal’s plan.”
The Imperial Uncle ordered his men to shoot at Zhou Yu with the one
thousand circular bows that the field marshal had produced, so the officers
and troops all fled and twenty li from Jingzhou they disembarked. There
were also Wu troops that had tried to get the horses.

Next tell that the troops lying in ambush set out, a thousand of them. But
Zhao Yun and Jian Xianhe blocked their way. Zhou Yu said, “I fell into that
country hick’s trap again!” He crashed his way through the troops and fled.
When evening fell, at forty li from Jingzhou—his troops worn out and his
horses exhausted—he again saw an approaching army of more than thirty
thousand troops: to the left General Guan, to the right Zhang Fei, and
leading was the field marshal. They said, “You should have taken Jingzhou,
but you failed in that enterprise. You may be just a general coming our way,
but if you reveal who you really are, we will allow you to pass.” Zhou Yu
was frightened and with his officers made a frontal attack but it took him a
long time to make his escape. The field marshal marched his army back and
entered Jingzhou with a smile on his face.

The Marriage

Let us speak now about Zhou Yu who reached the bank of the River, where
each made camp. He deliberated with Lu Su, and said, “I have a plan!”
When Lu Su asked him about it, Zhou Yu said, “The Caitiff-Suppressing
General has a younger sister. By this plan to secretely capture the
Recumbent Dragon by marrying her off afar to Liu Bei we can kill the
Imperial Uncle.” The grand marshal had Lu Su [22a] cross the River and
see the Caitiff-Suppressor and to explain to madam Sun that she should
marry Liu Bei and secretly kill him.
{105} That night Sun Quan took Lu Su to Her Ladyship his mother, who
said, “Your grandfather was originally a farmer, but because your ancestors
had accumulated unseen virtue, your father became prefect of Changsha. So
what prohibits us from becoming the in-laws of the Imperial Uncle?” After
Lu Su left the yamen, Sun Quan explained to his mother, “Now Zhou Yu
has come up with a scheme: he wants my little sister to kill the Imperial
Uncle.” Her Ladyship in greatest secrecy asked her daughter for her
opinion. The girl had barely done up her hair at fifteen, and said, “My father
defeated Dong Zhuo. If I marry Liu Bei and secretly kill the Imperial Uncle
I will achieve a lasting fame.” Her Ladyship said, “If there are benefits to
the ritual, do it; if there are shortcomings to the ritual, don’t.”
After a few days Lu Su crossed the River and saw Zhou Yu, telling him
everything that happened; Zhou was ecstatic. Lu Su made the long journey
to Jingzhou to act as the go-between. When he arrived in Jingzhou, he was
welcomed by the officers and settled down in the posthouse. Lu Su then
raised the issue of the marriage with Zhuge.
When evening fell, Zhuge informed the Imperial Uncle, who said, “A
plot by Zhou Yu.” “My lord, don’t worry,” said the field marshal, “it’s
laughable that Wu would marry the ruler’s younger sister off to us.” The
next day, the Imperial Uncle invited Lu Su, who once again raised the issue
of a marriage. The two parties settled on a day.
Lu Su returned to the Great River where he met with Zhou Yu, and then
crossed the River to meet with Sun Quan and Her Ladyship, his mother, and
then led the young daughter from the land of Wu, across the River, and on
the long journey to Jingzhou. Fifty li from there, Lu Su said, “I have five
thousand troops with me and among them are hidden twenty officers. If the
gates of Jingzhou are opened, we will use that opportunity to take the city.”
But before he had finished speaking, Zhang Fei appeared for the very
purpose of welcoming the young lady. “There’s no need for a single soldier,
they’ll have to make camp outside Jingzhou!” This scared the troops of Wu
so much that none of them dared to proceed, and they said, “Lu Su has
fouled up Zhou Yu’s first plan.”
 When the young lady entered Jingzhou, Zhang Fei rode by her side. In
her carriage the young lady said to herself, “This fellow defeated Lü Bu at
Tigerkeep Pass. I’ve also heard that he thrice fought his way out of Xiaopei.
At Dangyang Long Slope his shout made Cao Cao retreat thirty li. This is
one stout fellow!” After the young lady’s cart had traveled for a few more
li, Zhao Yun welcomed her. Zhang Fei told her, “This is the Zhao Yun who
saved Aji [22b] from the middle of a million troops!” When she had gone
another few li she saw Zhuge who came to welcome her, and she said,
“Truly a fine general!”
Later came the Imperial Uncle, leading a few thousands of followers.
There were countless numbers of beautiful flowers laid out. When he
invited the young lady to enter Jingzhou, she first went to the reception hall
within the {106} tent complex. The field marshal invited the young lady to
pay her respects and in the hall they had hung the portraits of the ancestors:
twenty-four emperors, from Gaozu to Emperor Xian. The young lady said,
“I come from a family of farmers, so I have never seen the images of the
emperors.” The young lady was very pleased.
The next day at the banquet the young lady drank too much, in
conformity with Zhou Yu’s plans. The young lady immediately made a toast
to the Imperial Uncle. All officers were alarmed, but the Prince of Jing said,
“Young lady, please make the toast.” The young lady saw that Lu Su had
had too much to drink and had signaled that he wanted her to kill the
Imperial Uncle. But seeing a golden snake coiling on Liu Bei’s breast, she
could not bear to kill him. She also said, “If respect is feigned it creates
rage, and the empire will descend into chaos.”
The Imperial Uncle and the young lady enjoyed each other every day for
a hundred days. One night, in the second watch, she didn’t see him. When
she came in from the northwest104 she saw the Imperial Uncle weeping
repeatedly. When she asked him why, the Prince of Jing replied, “Emperor
Xian is an incompetent weakling, so Cao Cao acts as a dictator.” The young
lady encouraged the Imperial Uncle.105 Over a number of days she repeated
time and again, “The Imperial Uncle is the descendant of generations of
emperors, so why doesn’t he understand the proper marriage rituals? Back
home my mother is advanced in years, and also my elder brother is waiting
for him to pay his respects to his in-laws.” The Imperial Uncle said, “Let
me discuss this with the field marshal.”
 Secretly, the Imperial Uncle discussed the matter of visiting his in-laws
with Zhuge,

Young Lady Sun Returns to Her Family

who said with a smile, “Imperial Uncle, just go with the young lady to
Jiangnan.106 Nothing will go wrong.” But the Imperial Uncle said again, “I
fear this is a scheme of Zhou Yu.” The field marshal replied, “My lord, just
cross the River. I will encamp fifty thousand troops on the bank of the
River, chain up warships, {107} and have the two generals Guan and Zhang
at my sides. This will make it so that the Wu generals won’t dare look you
straight in the eye.”
The Imperial Uncle set out on the road and went to Jiangnan and went on
with the young lady to Jiankang Prefecture. The long-distance spies
informed Sun Quan, who thought, “Earlier, in that massive battle at Red
Cliff we turned back Lord Cao’s army of a million troops but lost seventy
thousand troops and many officers. Recently, I have found out that that
slippery traitor Liu Bei and that cowherd hick [23a] field marshal, Zhuge,
have forgotten what they owe us. Time and again Zhou Yu has said that Liu
Bei lacks humanity and that he has occupied the thirteen commanderies of
Jingzhou.” Her Ladyship his mother also had learned about it and asked the
Caitiff-Suppressor to visit her. As a very filial son, he went to see his
mother, who said, “My son, why do you look so unhappy?” Sun Quan
replied, “That Liu Bei snatched away the title of Prince of Jing. We raised
three hundred thousand troops and forced that bandit Cao to retreat from
Xiakou, but Liu Bei is not a man who shows gratitude. If he comes here, to
the southern bank of the River, I intend to kill him!” His mother said, “Your
granddaddy grew melons for a living, so you come from farmers. If we later
commanded large armies, it was all due to the accumulated blessings of our
ancestors. Now your younger sister is married to the Imperial Uncle. If you
kill him, who can your sister hope to marry? If the Imperial Uncle comes,
you have to treat him properly. If he lacks humanity, you can always kill
him later.” Sun Quan obeyed his mother’s words.
Her Ladyship and Sun Quan welcomed Xuande and after a few days they
welcomed him into the city. When the common people observed the
features of his face, they were all surprised. After a few days of banqueting
in the yamen, Her Ladyship secretly asked Sun Quan, “What do you think
of Xuande?” Sun Quan replied, “I observed the Imperial Uncle and he is
indeed a Han descendent. His appearance is awe-imposing and later he
definitely will be a ruler.” Mother and son were both pleased. After they
had entertained him for over twenty days, the Imperial Uncle took his leave
of Her Ladyship. Sun Quan said, “When the Imperial Uncle came here, he
didn’t have his own place to sit.”107 Her Ladyship ordered Sun Quan to
provide the couple with presents to see them off. After they had been on the
road for a few days, they were over twenty li from the Great River.

Let us go on to speak of the fact that Zhou Yu had a large stronghold on the
southern bank of the River. And when his spies told Zhou Yu what had
{108} happened, the grand marshal loudly shouted, “I told that young lady
Sun of Jiangnan six schemes but not one was accepted.” He ordered Gan
Ning to lead three hundred troops and to go south and welcome that “lonely
and desperate Liu Bei.” Gan Ning led his troops to the carriage, where he
dismounted to greet the young lady. When she lifted the curtain, she was
upset and cursed him out at the top of her voice, “That spineless nitwit
Zhou Yu! I am the daughter of the prefect of Changsha and the sister of the
Caitiff-Suppressing General. But when I arrive here, he cannot even be
bothered. Moreover, I have here the Imperial Uncle the Prince of Jing with
me. It can’t be that he despises Xuande, this must be because he has
absolutely no regard for me.” She had but to shout out once and he
retreated, saying, “Yes, alright, yes, yes.” [23b] When he went back and
told Zhou Yu, the latter laughed and shouted, “I’ll take thirty thousand
troops to her chariot, pull that Imperial Uncle down, and behead that crafty
bandit. Then I will have a second talk with that young lady. And for what
crime would the Caitiff-Suppressing General condemn me should I see
him?”
Zhou Yu and his officers went south to see the young lady, dismounted in
front of the carriage, and bowed deeply to show their respect. The young
lady said again, “My mother and brother are sending the Prince of Jing
across the River, prepare the boats and oars.”108 When Zhou Yu loudly
shouted, “Liu Bei is an ungrateful bandit,” the young lady smiled, ordered
people to pull back the curtain, and told Zhou Yu to look into the carriage
again. Zhou Yu shouted in fear and blood flowed from his battle wound like
a spurting fountain.109 His officers helped him to his feet. When the young
lady Sun arrived at the northern bank of the River, she had crossed the
River together with the Imperial Uncle.

Let us now tell how Zhou Yu nursed his illness for some days, and said,
“That young lady Sun deliberately allowed Liu Bei to escape!”

Now tell how the field marshal welcomed the Imperial Uncle back into
Jingzhou. Some half a year later someone reported to the Imperial Uncle,
“Her Ladyship has ordered Lu Su to come and he has settled down at the
posthouse.” The next day at a banquet Lu Su said, “We know that Jingzhou
for three years on end has had no harvest because of droughts and that dead
and starving fill the land. Her Ladyship, the mother of the Caitiff-
Suppressing General, sends one million stoneweight of grain all the way to
Jingzhou to the Imperial Uncle.” The field marshal said, “But the Caitiff-
Suppressing General already knew that the harvest had failed in Jingzhou.”
A few days later a thousand ships brought grain into the city. Lu Su then
said, “Three days or so ago Liu Zhang {109} of Xichuan was appointed as
grand marshal, and he took the road to White Emperor City with fifty
thousand—he has the intention to topple Wu. The Caitiff-Suppressor has
discussed this situation with his officers, so we present this grain to the
Prince of Jing to allow us passage so that Zhou Yu can bring Chuan into the
fold.” The Imperial Uncle agreed, and the field marshal said, “This is no
problem at all. But it should be the autumn and the ninth month. Once the
farmers have harvested their grain, the grand marshal can lead his troops
though our land.”

Newly Printed in the Zhizhi Period: The Completely Illustrated Plain

Tales—Records of the Three Kingdoms, Part II.

_____________________________
53. The imperial relative Liu Bi remains a shadowy character in the Plain Tales. He is here said
to reside in Cangzhou (southeastern Hebei), but later (probably more correctly) associated with
Cangwu (written in the text as ), which refers to the region of modern Guangxi. As
governor of Cangwu, Liu Bi would be a logical ally of Sun Quan.
54. That is, from the story of the ease with which the great sage kings ruled by establishing the
proper sumptuary rules for clothing, by simply donning their robes in order to display proper ritual to
the world. It comes to mean to rule the world effortlessly and naturally.
55. There seems to be a mistake in this sentence. The common phrase maoci bu jian
means to be unconcerned with adornment or pretension; that is, in the age of the sage kings, “even
the thatch on the roofs was not trimmed.” The term does not make much sense here, and we assume
that maoci may have slipped into the text as an error for jingji (thorns and stickers), a common
term for miscreants and the rebellious.
56. He sought his release from Qin, and the King of Qin responded by saying, “I’ll assent to it when
crows turn white-headed and horses sprout horns.” Heaven made it happen in response to Dan’s
sighs, and he was released.
57. When Liu Bang, the founding emperor of the Han, was besieged in Xingyang, Ji Xin proposed
that he dress up as Liu Bang and pretend to surrender to Xiang Yu, the main contender with Liu
Bang. The plot worked and Liu Bang made his escape. Xiang Yu burned Ji Xin to death.
58. There is no ninth year of Zhongping. All of the reign periods under Emperor Xian are quite short.
Of course, it is a fictional, not historical world that the tale is creating.
59. Liu Bei is scared by Cao Cao’s casual remark, which means that he considers only Liu Bei a hero
on a par with himself, that is, his main rival for power. In the original version of the story in the
Records of the Three Kingdoms, the dropping of the chopsticks and spoon happened at the moment
the remark was delivered.
60. The text here simply says huisan . It seems misplaced, or it occurs after a scene that has
been deleted, either before or after the dropping of the chopsticks, which may have been the
exchange between Cao Cao and Liu Bei. Since no meeting occurs between the invitation to the feast
and the “disbanding of the meeting,” we assume it is a fragment.
61. Guan Yu.
62. Grain was counted in stoneweights: one stoneweight is about 10.5 pounds.
63. This is one of a few places in the text when a subheading is missing its enclosing black box.
64. The work and rest cycle in ancient China was one day of rest in every ten. The cyclical sign for
that day, you , was put out on a banner.
65. Following the emendation suggested by Zhong Zhaohua of to , see Zhong Zhaohua
(1990, 420).
66. In the final decades of the Eastern Han, the “province” of Jingzhou covered an extensive area
including southern Henan and most of modern-day Hubei and Hunan. The original capital of the area
was Hanshou, but Liu Biao moved the seat of administration to the northerly city of Xiangyang,
which was strategically located on the Han River. After the battle at Red Cliff, when Liu Bei
“borrowed” Jingzhou, the northern part of Jingzhou remained under the control of Cao Cao, so Liu
Bei very quickly moved the seat of his administration southward to Jiangling on the Yangzi River.
Jiangling was also the place where Guan Yu resided as administrator of Jingzhou. It was common for
the seat of administration of a large area, no matter its proper name, to be called by the name of the
larger area. Thus Jiangling would also be called Jingzhou.
67. A celebration of spring that stems from an ancient ablution ceremony. People went to bodies of
water to picnic, drink, etc.
68. In the sequence of the five elements, Han is ruled by the element of fire; water quenches fire. So,
this may also be understood as “the fate of the dynasty ends with me here in water.”
69. A Daoist who had magical powers and who was Liu Bei’s field marshal. His sudden appearance
here without an account of how he came to help Liu Bei may indicate that this section of the text
derives from a different source than the first chapter. Of course, in the world of text based on a
circulating oral body of tales, this is both possible and difficult to prove.
70. There were rest stops every five miles; those at intervals of five, fifteen, twenty-five, etc., were
called “short pavilions,” and those at ten, twenty, thirty etc., were called “long pavilions.” Thus, this
would in fact be the second of the long pavilions.
71. The book in question is the Six Tactics (Liutao), a handbook of military matters. Its authorship
was attributed to Lü Wang, an adviser to King Wen and King Wu, the founders of the Zhou dynasty.
Also known as Lü Shang, Jiang Shang, Jiang Taigong, or Jiang Ziya, Lü Wang was a hermit who
spent his days angling in Pan Creek until he was brought to court at the age of seventy by King Wen
of the Zhou. At the age of eighty, Lü Wang assisted King Wu in his conquest of the Shang and the
establishment of the Zhou dynasty. It was only in imperial times (i.e., after 220 BCE) that he was
credited with the authorship of this military handbook. His biography is found in translation in “T’ai-
kung of Ch’i, Hereditary House 2,” in Sima Qian (2006, 31–46).
72. Another impossible date.
73. Zifang is Zhang Liang, who served Liu Bang in establishing the Han dynasty. But once the
dynasty had been established and Liu Bang grew suspicious of his erstwhile supporters, Zhang
retired from court, according to legend, to become a hermit. By the end of the Western Han his
identity as a Daoist was firmly established, and in his eulogy to the “Marquis of Liu, Hereditary
House 25” (Liuhou shijia ershiwu) in the Records of the Historian, Sima Qian expresses some
skepticism about the prevailing idea that Zhang received the texts of the Laozi from Laozi himself,
which was firmly part of the tradition by that time. See Sima Qian (1993, 99–114). One of the
commentarial notes to this passage cites a work that declares, “The Lord of the Wind was the
commander of the Yellow Emperor’s army, and he later transformed into Laozi, who bestowed his
text on Zhang Liang.” In later religious traditions Zhang Liang became a Daoist immortal. He once
displayed his humility by retrieving a slipper that Master Yellow Stone had thrown down a bridge
and the latter instructed him in military strategy, as found in the book entitled Three Strategies
(Sanlue).
74. To Liu Bei, these would be the “three great treacherous officials.” Dong Zhuo is mentioned
above; Zhao Gao (d. 207 BCE) manipulated several rulers of the Qin and at the end of the dynasty was
instrumental in forging the last testament of the First Emperor of Qin to obviate the First Emperor’s
plans to have his first son placed on the throne and military power given to his finest general, Meng
Tian. Zhao killed Meng Tian; helped the last emperor of the Qin usurp his brother’s throne; but was
finally killed, along with his clan, by the young emperor he had installed.
75. Metonymy for the central palaces of government.
76. Modern Sichuan.
77. Metonymy for the central palaces of government.
78. Modern Sichuan.
79. The expression has a double meaning, “will pass your way” and “will slip through your fingers.”
In this text, however, the emphasis is not so much on Zhang Fei’s failure as on Xiahou Dun’s defeat.
80. Minister Wu is Wu Zixu, whose father and elder brother had been killed by King Ping of Chu.
Despite great deprivation he persisted in his determination to take revenge. Eventually he rose to high
position in the state of Wu and inflicted a devastating defeat on his old home state.
81. A humble way of referring to one’s child.
82. Each flag signified a unit of troops.
83. The tripod is a metaphor for the empire now, after Zhuge Liang’s suggested plan, to be split into
three.
84. The underworld.
85. Zhuge Liang.
86. The text and the illustrations consistently write Wu Fan, written in a simplified form in the text as
( ) instead of the actual name Lü Fan ( ).
87. This expression here refers to the Yellow Emperor.
88. Sun Quan.
89. See note 71.
90. Jiang Gan does not know that the bastinado is part of a plot to make Huang Gai’s (feigned)
defection to Cao Cao look convincing.
91. Guan Zhong (ca. 720–645 BCE) served from 685 BCE as chancellor of the state of Qi, which,
under his leadership, became the most powerful state of the Chinese world of that time. In later
centuries he was credited with a collection of essays on statecraft that circulated as the Guanzi
(Master Guan).
92. In his eagerness to stress Zhuge Liang’s contribution to the defeat of Cao Cao at Red Cliff, the
author of Records of the Three Kingdoms in Plain Language neglects to give a clear exposition of the
battle plan. Cao Cao had acquired a river fleet when he conquered Jingzhou (Xiangyang), which
would be essential to his plans to cross the River with his troops and attack Wu. To defeat this fleet as
it would come downstream on the Han and enter the Yangzi (the River) Zhou Yu proposed the use of
ships loaded with combustibles and explosives that would be set on fire when they reached Cao
Cao’s fleet. For such a plan to be successful, however, these burners would need a strong tail wind to
push them against the flow of the River into Cao Cao’s thickly packed fleet. Zhuge is described as
the only one to perceive the weakness of this battle plan and to provide a solution that will ensure its
success. Once panic would have overtaken Cao’s fleet, Huang Gai and his ships would then attack
Cao’s fleet from behind. The omissions are represented in the text, with the imperative use of shuo
, which we have translated as “explain that,” which here informs the putative narrator to go on in
detail about episodes that are crammed together here, the topics noted to provide cue tags for
lengthier descriptions of the individual episodes.
93. That is, because his family would go on to establish the Wei dynasty, he was fated to live.
94. That is, they recognized the dialect of Wu.
95. His failure to accompany Liu Bei because he was drunk?
96. Ravenwood is located on the north bank of the Yangzi River, opposite Red Cliff.
97. Here the text clearly says cuigang ( ), which are the first two words of the four-character
phrase to “topple the strong and make them weak” (cuigang weiruo ).
98. Charred Tail is the name of a famous zither. One Cai Yong (132–192) deduced from the crackling
sound of a fire that a piece of wood that would be perfect for making a zither was burning. He
retrieved that piece of wood from the fire and had a zither made that still showed the traces of the fire
and was therefore called Charred Tail.
99. Referring to a story from the Zhuangzi about Confucius playing the zither at an altar in an apricot
forest as his students read their texts. The song that Confucius was playing was retrospectively titled,
“Apricot Altar.” For the story, see Watson (1968, 344–45).
100. That is, Xiakou and three other commanderies.
101. At the end of the Han dynasty, this title was an honorary one only awarded to the highest
dignitaries at court.
102. August–September 199.
103. Following Zhong Zhaohua’s parsing of this sentence.
104. The northwest corner of a room, called the wulou , in ancient times was where the spirit
ancestors resided and it was shielded from the rest of the room by tenting; in later times it simply
comes to mean the deepest recesses of any structure, permanent or temporary, where one is shielded
from public view; a very private place.
105. Following Zhong Zhaohua, and understanding the character guan as a mistake for quan .
106. This is a term that literally means “south of the River” but is used as a geographical term for the
area that would include modern Jiangxi and Jiangsu; that is, the land stretching for several hundred
miles along the southern banks of the Yangtze River.
107. This phrase, wuzuo zhi chu , normally means that there is a surfeit of people for a
single position or that someone is simply a supernumerary. Its contextual use here would seem to be
similar, however, to the aforestated phrase “no place to put the tip of an awl”; that is, he had nothing.
108. Following the emendation of Zhao Zhonghua of ji to ji .
109. Looking inside the carriage Zhou Yu will observe Liu Bei’s true dragon nature.
 {110}

{111} Newly Printed in the Zhizhi Period: The Completely

Illustrated Plain Tales— Records of the Three Kingdoms, Part III
The Death of Zhou Yu

[1a] Lu Su crossed the River on the last part of his return journey. In less
than two months from that time, Zhou Yu led an army of fifty thousand
westward to conquer Sichuan, passing about a hundred li south of Jingzhou.
As Zhou Yu was marching he came upon an army of ten thousand men,
headed by the Imperial Uncle and Zhuge, who said, “You knew that
Jingzhou had no harvest for three consecutive years. This year the fields
were planted and it is now the middle of the eighth month and—take a look
—farmers are harvesting. Your army of a hundred thousand stretches from
east to west for more than thirty li, and from south to north it is eighty li
wide. Your soldiers are causing damage and the common people come from
far and wide to Jingzhou to complain.” Zhou Yu replied, “Earlier we paid
you one million stoneweight of grain to buy the right of passage to take
Xichuan. How can there be no damage?” And he spoke again, “Field
Marshal, you were a farmer in your youth and when you see the damaged
fields you must feel upset.” The Martial Marquis shouted, “Gongjin, you
didn’t listen to the words of Lu Su!” Gongjin had no answer to that. His
officers pushed aside the formations and the grand marshal marched on
west.
But again on the next day when Zhou Yu and his army marched west
their way was blocked by another ten thousand troops. Zhang Fei loudly
shouted, “I am under strict orders of the field marshal. Grand Marshal,
where are you going on your westward march?” After he had said that, each
made camp. To block the way, Zhang Fei stationed a lance camp.110 But in
the second watch of the night Zhou Yu used a detour to pass him by. At
break of day the grand marshal continued his westward march, and after a
few days he reached the territory of Xichuan. Those officials who came to
see him but refused to submit were executed on the spot. Zhang Fei’s army
trailed him from behind him and he reclaimed every province, prefecture,
district, or town that had been captured {112} by the grand marshal. Zhou
Yu said, “This is another scheme of that cowherd hick!” When he finished
speaking, his rage had broken open his battle wound.
He went on for another five days and repeatedly heard the same news
until the pain from his battle wound had become so intense that he could
bear it no longer. His officers told him that they were about to reach the city
of Baqiu.111 Zhou Yu was so ill he could not even rise to his feet. After
some days, he was no longer able to take any food or drink and his face
swelled up. He summoned his old friend Lu Su to his side and wept as he
told him, “I will meet my end here at Baqiu. Take my remains back to the
lands of the River and to Wu. If you see Little Qiao, tell her again, and then
again, how much I cared for her.” When his words were finished, [1b] the
whole city wept.
The day they reached the city, the grand marshal’s illness had taken a turn
for the worse. Someone reported, “There is a master outside the camp gate
who says he and the marshal were close friends in their early days.” When
Zhou Yu said, “Invite him into the tent,” his officers supported him as he sat
up. When the master ascended the steps Zhou Yu recognized him as a man
from Luocheng in Sichuan—his name was Pang Tong, he was also known
as Shiyuan, and his name in religion was Master Phoenix Fledgling.
Embracing each other they wept. Pang Tong said, “How did this so
unexpectedly happen to you!” Zhou Yu bared his arm so Pang Tong could
have a look, and then said, “This is my battle wound.” But Pang Tong could
not bear to look at it. Zhou Yu then said, “When I die, brother, escort my
remains back to Jiangnan.”
When Zhou Yu died, Pang Tong fixed the General Star in place.112 That
very night he prepared Zhou Yu’s remains. In a few days he started to cross
the River, but found his way blocked by the field marshal. The Martial
Marquis said, “I knew that Zhou Yu had died and that what fixed the
General Star had to be a plot by Pang Tong.” When Pang Tong heard these
words, he rode out to meet the field marshal, who allowed him to pass with
the corpse.
After a number of days he reached Jinling Prefecture. Sun Quan said,
“Bury him lavishly.” After the rituals of sacrifice, which had gone on for
more than a month, ended, Lu Su recommended Pang Tong to Sun Quan.
Sun roundly cursed Lu Su, saying, “Earlier, when Liu Biao died, you went
to Jingzhou to {113} offer our condolences, and you took Liu Bei to Xiakou
and brought Zhuge with you across the River. With flattering words he
enticed us to garrison Chaisang Crossing with three hundred thousand
troops and a hundred famous officers. Then he used yet another scheme and
in the huge battle at Red Cliff he defeated the one million troops of Cao
Cao. But in that battle we lost tens of thousands of troops and also
sacrificed several tens of famous officers and Huang Gai as well. Liu Bei
then snatched away the thirteen commanderies of Jingzhou and had that
country hick kill our beloved general Zhou Yu by rage and frustration. This
shattered my heart into ten thousand pieces!” Frightened, Lu Zijing could
only retire, muttering “Yes, right, yes, of course….”

New Recruits

Next tell that Lu Su returned to his house and on the third day sent Pang
Tong on his way with gifts. When the latter set out on the road, he asked
him to dispatch an officer to escort him across the River. Pang Tong
pursued his journey and when he reached Jingzhou, he saw that the
Emperor Star was shining bright, illuminating the land of Jing and Chu.
Pang Tong said, “This still counts as my ruler. Everyone in the empire says
that the Imperial Uncle is a man of humanity and virtue.” He entered the
yamen and met with the Imperial Uncle, who invited him to sit down and
asked, “What is your name?” He simply replied, “Pang Tong.” The Imperial
Uncle understood his intent. He also asked him, “Master, are you
acquaintances with [2a] Zhuge?” “Yes, yes,” Pang Tong said as he rose to
his feet. The Imperial Uncle bestowed upon Pang Tong documents
appointing him the district magistrate of Liyang.
Pang did not get what he wanted and for half a month he purposefully
made bad decisions on cases brought before him. The common folk all
made the long journey to Jingzhou to complain to the Imperial Uncle, who
said, “I never knew him, but he said that he was a younger brother of
Kongming so I gave him the documents appointing him district magistrate
of Liyang. There is no way I would have harmed you!” One of his close
servants said, “Zhang Fei just dismounted in front of the yamen.” The
Imperial Uncle told him to come before him and asked, “Where is the field
marshal?” Zhang Fei replied, “In Jingshan District, due north of Jingzhou.”
When the Imperial Uncle told him about Pang Tong, Zhang Fei said, “I will
go to Liyang, drag out that fellow, and present him to you.”
The next day Zhang Fei led dozens of men and when he reached Liyang,
he dismounted in front of the yamen. To a person, all the common people
and the clerks complained about Pang Tong’s lack of humanity. With sword
in hand, {114} Zhang Fei went into the yamen. When evening fell, he heard
a thunderous snore, and when he slashed a number of times with his sword,
blood spurted out like a gushing fountain. He lifted the blanket, and it
turned out to be a dog! Zhang Fei said, “Where did that bandit go?”
The next day he went to Jingzhou and told the Imperial Uncle the whole
story. The latter said, “The district commander must be a man of worth.”
Over the course of the next ten days the four commanderies along the River
all rebelled. When Xuande questioned Zhuge about this, the field marshal
replied, “Don’t you remember the words of Xu Shu? ‘In the south there is
Recumbent Dragon, and in the north there is Phoenix Fledgling.’ If you
obtain one of these men you can bring peace to the empire. Pang Tong is a
man from Luocheng in Xichuan. He is Master Phoenix Fledgling. If they
now say that these four commanderies have rebelled, it must be because
they have been under the suasion of Pang Tong.” The Imperial Uncle
replied, “Field Marshal, what you say is right on the mark.” The field
marshal summoned Zhao Yun, “Take three thousand troops to Changsha
Commandery and subdue Zhao Fan.”
The next day as the evening fell Zhao Yun set out on the road. Bare-
armed and leading a sheep113 Zhao Fan welcomed Zhao Yun far outside the
city. After they entered the yamen, Zhao told him that the rebellion of the
four commanderies was all due to the persuasiveness of Pang Tong. They
feasted until the evening and Zhao Fan, who had too much to drink, kept
with him several tens of women. One of these women was dressed in a
crimson gown; she had a charming and lovely appearance, and Zhao Fan
had her sit across from Zhao Yun to offer up wine with her own hands.
Zhao Fan said, “She is my sister-in-law, I should give her to you as a wife!”
Zhao Yun shouted, “You are so common! I’m under the strict orders of the
field marshal, what do I care about drink and sex!” [2b] When he finished
speaking, he left the yamen. In his cups, Zhao Fan said, “The one who lacks
humanity is Zhao Yun!” He took three thousand troops to surround the
posthouse and wanted to kill Zhao Yun, but he was struck and killed by
Zhao Yun’s first arrow. The next day at break of dawn Zhao Yun explained
to the officers and the common people that he had killed Zhao Fan and his
family. After he had comforted the population he returned to Jingzhou and
had audience with the Imperial Uncle, who then told the field marshal,
“Zhao Yun has subdued Changsha Commandery.”
Zhang Fei, for his part, was one hundred li away to the southwest, on his
way to Guiyang Commandery. That fellow, Jiang Xiong, prefect there, was
an expert in civil as well as martial arts. On the day he arrived, Zhang Fei
led his three thousand troops and made camp less than ten li from Guiyang.
When people reported this to the prefect Jiang Xiong, he said, “Zhang Fei is
a coarse fellow. The military writings of Master Sun Wu state that, ‘After
marching for four {115} days cavalry cannot come any nearer and after
marching for five days infantry cannot go on; any longer and they will be
worn out.’ Now Zhang Fei’s troops have marched a hundred li, so we have
discovered that his men are worn out and his horses exhausted. Guan Zhong
states, ‘An army that comes from afar can easily be surprised and beaten.’ If
I take advantage of this situation to kill Zhang Fei, it would just be getting
rid of one of Zhuge’s arms.”
Jiang Xiong mustered five thousand troops. They left the city for a
surprise attack on Zhang Fei’s camp, but they found it empty; troops lying
in ambush on the four sides all emerged. Jiang Xiong had wanted to protect
Guiyang but it had already been taken by Zhang Fei who, in turn, came
back to confront Jiang Xiong. The two armies clashed with each other and
the two men fought on horseback. Jiang Xiong was skewered by Zhang Fei
and fell from his horse. After subduing Guiyang Commandery, Zhang Fei
entered Jingzhou.
Zhuge also had the prince Liu Feng engage Han Guozhong in battle.
Guozhong was defeated, but when Liu Feng went up a high slope, he found
himself surrounded by water while Han Guozhong fled in a boat. Liu Feng
wanted to leave but found his way blocked by a general who was ten feet
tall, had round eyes and a long beard, who wielded a long-handled large
sword,114 and on his horse loudly shouted, “This is a scheme to capture the
two generals Guan and Zhang. How can Liu Feng stand up to it?” When the
field marshal heard about this, he once again questioned the officers. Zhang
Fei was again sent out to square off with Han Guozhong. That bearded guy
came out again on horseback and Zhang Fei engaged him in battle. But
after ten rounds there was no clear winner. After three days or so Zhang
sent someone to report to the field marshal and to bring him up the slope.
Zhang Fei welcomed the field marshal into his camp, and told him
everything in great detail, “If we can get this man, we will never worry
again about the empire of the Han being established.” [3a] At break of day,
the field marshal climbed a high hill and looked to the southwest; he and his
officers saw that the southwestern slope at Guiyang was nothing but water,
which was putting Liu Feng in dire straits. On the bank the field marshal
saw a lance camp, “Phoenix Fledgling must be in that place.” That night the
field marshal wrote a letter and had Mei Zhu secretly take it by a
roundabout way. When Mei eventually arrived at the small camp, he was
arrested by the guards and taken to see Pang Tong. Mei Zhu presented the
letter to him. Pang Tong said with a smile, “Zhuge is an old friend of mine.”
He wrote a letter in reply and gave it to Mei Zhu, who returned to the camp
at daylight and presented the letter to the field marshal. After the field
marshal read it, he ordered Mei Zhu to take one {116} thousand troops that
evening to the high slope to burn reeds. Then Liu Feng came out to meet
with Zhuge.115

Next speak about Pang Tong, who that night invited Wei Yan (also known
as Wenchang), a famous general from Fufeng in Guanxi. When he was
seated, Pang Tong told him in detail about the approaching armies of the
house of Han, about the aura of kingliness and power they generated, about
Han Guozhong being inhumane, and about things decided but never carried
out. He also told him that Xuande was a man of humanity and virtue.
“Haven’t you heard: ‘A noble bird judges the forest before it roosts; a wise
vassal chooses the lord he will support.’” When the next day the two armies
squared off, Wei Yan decapitated Han Guozhong in front of his horse. After
Pang Tong had subdued Wuling Commandery, he joined Zhuge and led his
troops straight west to Fuling.116
The prefect there, Jin Zu, came out on horseback, leading his troops and
arraying them in formation against those of Kongming. Jin Zu ordered a
general to ride out. The field marshal was quite stunned and Pang Tong told
him, “This is a man from E Commandery and his name is Huang Zhong,
also known as Hansheng.” The field marshal sent Wei Yan to battle him, but
after two days it was a draw. He then sent Zhang Fei to face the enemy and
he fought Huang Zhong for ten rounds, but again it appeared to be a draw.
Huang Zhong said, “I only recognize Yunchang, I know nothing of any
Zhang Fei or Wei Yan!”
For more than ten days they tried to subdue Fuling Commandery. The
field marshal said, “Huang Zhong turns out to be made of the stuff of
generals. But will the Imperial Uncle be unable to make him surrender?” He
sent someone off to Jingzhou to fetch General Guan and five thousand
troops to Jinling. The officers welcomed him into the camp.
Within three days General Guan had battled Huang Zhong but there was
still no victor. The field marshal asked Pang Tong about Huang Zhong and
the latter said, “When I earlier persuaded the four commanderies I also had
a conversation [3b] with Huang Zhong and he said, ‘I am only a bandit
from south of the River, but Jin Zu has treated me extremely well. As long
as Jin Zu is alive, I will risk my life to pay him back. If Jin Zu dies, I will
select a lord to support.’” Zhuge said, “I’ve got Huang Zhong.”
{117} A few days later the Martial Marquis and Huang Zhong faced each
other on the battlefield. The Martial Marquis feigned defeat and Jin Zu
dropped out of formation to pursue him. But after a few li Jin Zu found
himself blocked again. The Martial Marquis was riding in his four-in-hand,
and was seated in that carriage. The field marshal lay back to be out of the
line of fire, and all the crossbow arrows were released at once, killing Jin
Zu. The field marshal led his troops back to their camp.
A few days later Huang Zhong came to seek revenge. Pang Tong tried to
change Huang Zhong’s mind, but the latter refused to surrender, saying, “I
have this disease. Even if you kill my lord by negligence or mistake, I have
to take revenge—how could I surrender?” He fought with Zhang Fei but
after they had battled for a hundred rounds no winner emerged. Then the
field marshal also had Wei Yan ride out, but even when these two generals
combined their forces against Huang Zhong, the latter only grew in might
and power. The field marshal said, “That old bandit really flaunts how crazy
he is. We have to behead that Huang Zhong!”
The four horsemen were engaged when suddenly a stream of blood
spurted out and one general fell from his horse.

So now let us speak about how Huang Zhong’s horse had lost its footing but
he advanced on foot, twirling his sword, to bring the fight to those three
generals. Lord Guan said, “This is a true hero, one without equal in this
world!” The field marshal loudly shouted, “You three generals, stay your
mounts!” With flattering words, the Martial Marquis persuaded Huang
Zhong to surrender to the Han. After Huang Zhong had seen to the burial of
Jin Zu, the field marshal led his army back to Jingzhou, where he saw the
Imperial Uncle. The Imperial Uncle had a good look at these three new
generals. The first of them was Pang Tong, and the Imperial Uncle said,
“This is a man of insight.” Then he had a good look at Wei Yan. “A man of
wise virtue!” And he also said, “But he doesn’t measure up to my brother
Lord Guan.” And when he looked at the third general, it was the old general
Huang Zhong.
War in the Northwest

Let us go back now to speak about Minister Cao, seated in the outer hall in
Chang’an. He questioned his officials, “I am constantly reminded of two
years ago, when we pursued that lonely and desperate Liu Bei to Xiakou. At
that time he had only five thousand troops and we still were unable to nab
him. Now he has been entrusted with Jingzhou and its thirteen
commanderies. He has {118} fifty thousand brave troops and thirty fierce
generals. No one can oppose him. As for a man versed in the civil arts he
has Zhuge, and as for men versed in the martial arts, he has the two generals
Guan and Zhang.” He then asked the officials, “How would you deal with
this enemy?” The grandee Jia Xu answered the prime minister, saying,
“There is this governor of Pingliang Prefecture in Western Wei Province
with whom [4a] the former emperor was forced to deal. His name is Ma
Teng, and he is a ninth-generation grandson of the Cloud-General Ma Yuan
who served under Emperor Guangwu of the Eastern Han. Ma Teng has two
sons. The elder one is Ma Chao, also known as Mengqi; the younger one is
Ma Da. All of our troops say that each of these three generals has a courage
that can match that of ten thousand. So Ma Teng can deal with Zhuge, Ma
Chao can deal with Lord Guan, and Ma Da can equal Zhang Fei.”
Cao Cao reported this to the emperor, and an edict went out to Pingliang
Prefecture in Western Wei. Governor Bian Zhang and Vice-General Han Sui
welcomed the envoy into the yamen and they in turn invited Ma Teng to
bow before the summons. After the edict had been read aloud, they properly
sent the envoy off for his return trip to Chang’an, and Ma Teng made
preparations to go to the court.
That night Ma Chao said to his father, “Why are you so unhappy?” Ma
Teng replied, “My son, you must have heard how, in the hands of the
former ruler the Ten Academicians117 appropriated the power of the
emperor. And that, later, Dong Zhuo did the same. Don’t you know this is
Cao Cao’s empire? Beheadings and quarterings do not come from Emperor
Xian, life and death all depend on Lord Cao. If I enter the court and Lord
Cao shows humanity and virtue, then all is settled, but if he lacks humanity,
then I am going to die in the imperial capital.” And he said to his two sons,
“If a letter comes that summons you, you must not go to Chang’an, and if I
die, you must kill Cao Cao to seek vengeance for me.”
 The next day, Ma Teng set out on the road at first light. After a few days
he arrived in Chang’an where he settled down in the Eternal Gold
Meditation Cell. On the third day he was received in audience by the
emperor and was granted his old appointment again.118 After Ma Teng had
expressed his gratitude for the sagely grace, he was treated to an imperial
banquet for three days.
One day, when His Majesty was seated in the Purple Free and Easy
Roaming Guangxuan Palace he summoned his closest ministers to discuss
the ordering of the empire. None of the civil officials or military officers
said a word. When the emperor directed the question to Ma Teng, the latter
replied, “To bring order to the empire one should follow the practices of the
sage kings Yao, {119} Shun, Yu, and Tang to make the empire as stable as
Mt. Tai. If one follows Jie and Zhou—who were without the Way—one
cannot be a ruler to the empire. If your Majesty would heed the following
four suggestions of your minister, you should be able to bring great peace to
the world.” The emperor asked what these were and Ma Teng addressed
him again, “Far away, make sure to reward the border troops; close at hand,
make sure to dismiss evil ministers; make the grain and corvée taxes light
and simple, and repeatedly bestow pardons and grace.” And he also said,
“Your Majesty, you must have heard of King Ping of Chu. Because he raped
the wife of his son, he set the queen, the crown prince, and his grandsons on
the path to killing each other. This was masterminded by his prime minister
Fei Wuji.119 Has nobody ever heard of that Huhai of Qin, who [4b] had that
grandee Zhao Gao, that traitorous minister?120 It was through no fault of the
rulers that they lost their empires; it was the crimes of their closest
ministers.” The emperor was silent. One man loudly shouted, “Ma Teng has
barely entered the court and speaks in such an unrestrained manner to the
emperor! Who do you mean by ‘closest ministers’?” After Ma Teng saw
who it was, he loudly shouted, “Cao Cao, you are no loyal minister. I hear
that every action—praise and blame, summons and consultations,
appointments and gifts, assistance and rewards—all proceed from you. This
has put the emperor in a position as perilous as if he were hanging upside
down and as precarious as a stack of piled-up eggs.” Scared, the officials
and officers were all drained of color. Emperor Xian said with a smile, “Ma
Teng, don’t speak nonsense. Cao Cao is a loyal minister.” He gifted them
with a banquet in order to make peace between these two dignitaries.
 That evening Ma Teng returned to the monastery. And that very night
Cao Cao dispatched three thousand troops and several officers who, within
an hour, had killed Ma Teng and all members of his household. The next
morning Cao Cao reported that Ma Teng had suffered a stroke and died of
the illness. The emperor was greatly surprised and had him given a state
burial. There was no one who knew the truth.

Let us now speak of Ma Chao and Ma Da who had had troubling dreams.
Ma Da went to look for news along the road from Chang’an. As he was
sitting there with troubled thoughts, he suddenly saw a family servant with
his hair unbound, who wept as he reported, “The old Great Defender and
his whole family, old and young, have been killed on the orders of Cao
Cao.” Upon his return Ma Da told this to Ma Chao, who wept bitterly but
said not a word.
{120} The prefect Bian Zhang and Han Sui lent ten thousand troops to
Ma Chao. After a few days he arrived in the western edge of Pingliang
Prefecture where he made camp. To the east you had Cao Cao. On the
stipulated day, the two armies lined up against each other.
Ma Chao rode out on his horse and holding his lance challenged his
opponent to battle. When Cao Cao looked at him he was alarmed. He could
see Ma Chao’s face was as dark as the shell of a living crab, his eyes were
like flickering stars, and he was clothed in solemn mourning clothes. Ma
shouted out, “Bandit Cao killed my father and mother—but what enmity
ever lay between us?” Xiahou Dun rode out on horseback to do battle with
Ma Chao. But, after just a few rounds, Ma Chao feigned defeat and, when
Xiahou Dun pursued him, he turned around and struck him with an arrow
that nearly cost him his life.
The two armies fell upon each other. Ma Chao grabbed a soldier in Cao’s
army and asked him, “What does that bandit Cao look like?” The soldier,
afraid of dying, said, “Lord Cao is a handsome man with a long beard.” Ma
Chao gave an order, “The one who captures him will be given ten thousand
strings’ worth of gold and gems.” When Cao Cao heard this, he cut off his
beard with his sword and changed his clothes. The battle went on until
evening, and were it not for the fact that Cao Cao had the “fate of five
future emperors,” he would have died under a myriad of swords. [5a] Cao
Cao managed to escape, but when he arrived in his camp, he could not even
eat or drink.
 That night he gave the order to ford the Wei River with boats and
establish camps both to the east and the west. But on the northern bank
were Ma Chao’s ten thousand troops who loosed all of their arrows, and on
the southern bank were Bian Zhang and Han Sui, who had their thirty
thousand troops fire at random. No one knows the number of Cao’s troops
that drowned in the water.

Let us now speak about how Cao Cao, riding through a narrow defile, got
off his horse and covered his face with a saddle pad as he went downstream.
At daybreak, the boats reached the southern shore. Lord Cao got a new
horse and was about to flee, but in the narrow defile of the Wei River he ran
right into Ma Chao. Ma Chao fought Lord Cao in a string of eight battles.
Only after three days could Cao Cao escape and then make his camp on a
high hill. Ma Chao and his thirty thousand troops made camp to the
southeast of him.
Several days later, a master came to visit Ma Chao who asked him, “Who
are you?” The master replied, “I am Lou Zijiu,121 the immortal abbot of the
Cloud Terrace Observatory on Mt. Hua. I came her to present you a scheme
so you {121} may take vengeance for your father.” Ma Chao then said,
“Please tell me.” “Send Ma Da first with ten thousand troops to enter
Chang’an, free Emperor Xian, and kill the relatives of that traitor Cao. It
won’t be too late if you wait to kill Cao Cao.” Ma Chao replied, “This
proposal is too farfetched. A real hero should take advantage of the
situation to kill the traitor. That’s the simplest solution.” When Zijiu saw
that Ma Chao would not give in, he left the camp.
On the third day after that he paid a visit to Lord Cao. The latter’s
officials introduced him as Lou Zijiu from Mt. Hua. Lord Cao invited him
to sit down next to him. The master said, “Lord Cao, let me present three
schemes to you concerning your most troubling concerns.” Concerning his
first priority, defeating Ma Chao, Cao Cao asked, “You must have heard
that Bian Zhang and Han Sui deeply love Ma Chao’s talent. Enough,
indeed, to make them transfer ten thousand troops to Ma Chao.” Lou
replied, “A few days ago I learned that Ma Chao has borrowed thirty
thousand barbarian troops. If you give those barbarians gold and gems and
bolts of silk, they will all disperse. In this way Ma Chao will be unable to
advance.” Cao Cao was greatly pleased, “Master, what you say is right on
the mark.” The master then left.
 By edict of the emperor Cao Cao wrote, “Lavishly distribute gold and
gems to Bian Zhang and Han Sui.” After they had left Ma Chao, Cao Cao
reclaimed those ten thousand troops. Later this doubled to twenty thousand
troops as he returned north to Xinye.122 Ma Chao lost three thousand men
and Cao’s army grew by twenty or thirty thousand troops.
Ma Chao, pursued by Cao’s army, fled to the west. When he arrived at
Sword Pass, he ran into thirty thousand troops led by Zhang Lu. [5b]

Ma Chao Flees West from Cao Cao123

Let us now speak about Zhang Lu, who promised to take revenge for Ma
Chao. The one hundred and fifty thousand troops of Minister Cao made
camp to the east and eyed Zhang Lu like tigers.
After more than a month Zhang Lu said to Ma Chao, “To the west is
Sword Pass. I was once forced down and out of that pass by that starving
beggar Liu Zhang.” Zhang Lu and Ma Chao proceeded westward to the foot
of the pass where they looked at the trestle road—the steep inaccessibility
of the mountains was beyond words. Zhang Lu had his troops eye Sword
Pass like hungry {122} tigers but after a few days he took Ma Chao with
him to Dongrong Commandery. The foot of the pass was mostly the
exclusive dominion of Liu Zhang.

Let us speak now of the generals guarding the pass, Zhang Xiang and
Zhang Ren, who had submitted a report to Liu Zhang, who further
discussed it with his civil officials and military officers. The grandee Zhang
Song said, “In the southeast there is Downriver Wu; in the east there is Liu
Bei in Jingzhou; at the foot of Sword Pass you have Zhang Lu and Ma
Chao; and then there is Cao Cao in Chang’an. All these liege lords are
scheming to obtain Sichuan. You should have a worthy minister request an
immediate audience. Then you can put your mind on the same path, and
you will then be protected.” Liu Zhang asked the grandee Zhang Song,
“Who is most powerful?” When he replied, “Cao Cao,” the emperor124 then
entrusted Zhang Song with the maps of Xichuan and ordered him to make
the long trip to Chang’an by side roads in order to see Cao Cao.
Minister Cao received Zhang Song. But when he saw that he was only
five feet, five inches tall, had a sallow and emaciated appearance, and was
extremely taciturn, Minister Cao was displeased and went back to his
lodging. Zhang Song spoke to himself, “Constant Attendant Yang Xiu is a
superior vessel, but he said that Minister Cao looked down upon me.”125
Yang Xiu explained Minister Cao’s virtue to Zhang Song. He took out the
Writings of Mengde in sixteen scrolls, and the Writings of Master Sun in
thirteen sections.126 Zhang Song asked to read them, and Yang Xiu gave
them to Zhang Song to read: like water pouring from a jug, like the Yellow
River at the Ford of Meng flowing eastward!127 Yang Xiu was greatly
amazed and told this to Lord Cao, who immediately ordered someone,
“Request his presence right now.” But, Zhang Song was already gone, and
those who pursued him could not find him.
Zhang Song journeyed on in a southeasterly direction but when he saw a
burgeoning aura, he made the far trip to Jingzhou. After a number of days
he arrived in Jingshan District, ten li from Jingzhou, where he settled in at
an inn. He informed the district magistrate, who reported that he had come
from afar to see the Imperial Uncle.
The next day, when Zhang Song arrived at the city, there were officials,
common people, and the Imperial Uncle himself there to welcome him into
the yamen. During three days of banqueting, Zhang Song observed the
officials: each and every one a dragon or tiger! On the left was Recumbent
Dragon, on {123} the right was Phoenix Fledgling, and in the middle he
faced the Imperial Uncle. All exuded an aura of nobility that was beyond
words. Zhang Song presented the maps of Xichuan [6a] to the Prince of
Jing, and said, “The lord of Xichuan is not a proper ruler. Imperial Uncle, if
you could occupy the area, the officials would be very pleased.” The
Imperial Uncle asked Zhuge to compose and take a letter to Liu Zhang in
Xichuan.
Zhang Song set out on the road and reached home about a month later.
The next day he saw his emperor and told him of Cao Cao’s lack of
humanity, “Think again of how he earlier obtained Jingzhou and got rid of
Liu Cong by beheading him!” The emperor asked, “Who else did you see?”
He then spoke of the virtue of the Prince of Jing, Liu Bei, and turned over
the letter from the Imperial Uncle for Liu Zhang to read. When the emperor
asked his civil officials and military officers for their opinion, there was one
superior grandee, Qin Fu, who said, “My lord, you must have heard how
Xuande had previously borrowed troops from Downriver Wu and had
employed Zhou Yu and this army in a major battle to save the Imperial
Uncle in Xiakou. Haven’t you also heard how Zhuge thrice drove Zhou Yu
mad with rage?” Qin Fu then went on to explain, “That Liu Bei is a man
like a crafty barbarian. My Lord, if we invite him to Xichuan,128 he will
make trouble for you.” Zhang Song loudly shouted, “Qin Fu, you are
mistaken! Earlier we had no one who could oppose Zhang Lu and Ma Chao
at the foot of Sword Pass. My lord, you must have heard that the Imperial
Uncle belongs to the imperial house of the Han!” The other officials kept
silent.
After a few days, Liu Zhang sent Fa Zheng off to Jingzhou to see the
Imperial Uncle and Zhuge. After banqueting for a few days, the field
marshal said, “As for the southeast, we will send a letter and so deal with
Wu. But, Imperial Uncle, you surely know that north of Jingzhou Cao Cao
has encamped a hundred thousand troops on the northern bank of the Lian
River. And, if we take Xichuan, Cao Cao will cause trouble.” The Imperial
Uncle asked, “Should we first finish the fight with Cao Cao?”
“Afterwards,” said Zhuge, “we can conquer Xichuan.” And at that moment,
he wrote a letter to Lord Cao to set a day to face off in battle so Cao Cao
could not give due consideration to crossing the River. They sent someone
to take the letter to Lord Cao who, as soon as he finished reading the letter,
roundly cursed them.
Liu Bei appointed yet another master as marshal, who claimed he was
Pang Tong. When the armies squared off, he was soundly defeated. Cao
Cao wanted to ride the tide of this victory to take Jingzhou. He pursued the
enemy for thirty li until he encountered Zhang Fei. When Cao Cao’s troops
reached this point, due north of him lay Wei Yan with ten thousand troops,
and they inflicted a heavy defeat on Cao Cao, who then fled north. He
reached a ridge called {124} Swinestrike Ridge. From the top of the ridge
the Imperial Uncle rained down rolling timbers and catapult stones.
As night fell, Cao Cao managed to fight his way out, but fires erupted on
the eastern and western flanks. Due north, Guan Yu blocked his way. Cao
Cao smashed through the battle lines, but when he reached Yellow Cliff
Passage, he found his way blocked by ten thousand troops. With their
leader, Huang Zhong, [6b] they attacked. Cao Cao escaped with his life and
crossed the Lian River at Xiakou with fewer than ten thousand troops. The
armies of the Han were in hot pursuit, and the Martial Marquis intercepted
him in front. Lord Cao returned with fewer than five thousand soldiers.
The Sichuan Campaign

Go on to tell about the field marshal entering Jingzhou. A day was chosen
for Pang Tong to become marshal and he solicited the Imperial Uncle to
conquer Sichuan. Zhuge said, “This year the Great Year129 is located in the
west: we will lose a great general!” But Pang Tong said with a smile, “My
fate rests with Heaven, I am not afraid.”
The Imperial Uncle led Pang Tong, Huang Zhong, Wei Yan, and other
generals to augur a day to set out with the army. They proceeded to Jiaming
Pass where the prefect blocked their road and told them, “The grandee Fa
Zheng says he bears the sage’s directive, but I have not been so informed by
His Majesty.”130 Only Fa Zheng was allowed to enter Xichuan, and when
he arrived in the imperial capital and saw Liu Zhang, the latter was very
pleased. He then asked for opinions from his civil officials and military
officers, “I would like to meet the Imperial Uncle at a place a hundred li
from Chengdu, called the Fu River Meeting.”131 The grandee Qin Fu said,
“My Lord, if you go to Fu River {125} to meet him, you definitely will end
up in a situation as precarious as piled-up eggs.” All his generals advised
him against his proposal, but Liu Zhang did not follow their advice.
A few days later, the Imperial Uncle led three hundred thousand troops
and more than a hundred fierce officers to make camp about twenty li east
for the Fu River Meeting. At break of day the next day he met with Liu
Zhang. At the meeting the two emperors each discussed their lineage and,
embracing each other, they wept for a long time.
When the tea and wine were over, Pang Tong raised another cup and
signalled Huang Zhong with his eyes. Huang Zhong pulled his sword and
wanted to kill Liu Zhang. But Xuande was furious and said, “Don’t act in
such a wayward manner!” So Huang Zhong didn’t dare take action. The
officials all raised hell and, since the banquet was over, they asked Liu
Zhang to leave for his own camp.

Next speak of Pang Tong telling the Imperial Uncle, “If we don’t capture
Xichuan today it is not my mistake, it is your fault!” But Xuande said, “He
is a member of the Han house, how can we move against him?”

Next speak of Liu Zhang’s officials all saying, “Our lord, you nearly didn’t
get out with your life!” The next day Liu Zhang had Liu Ba invite the
Imperial Uncle. Pang Tong told the Imperial Uncle not to go lest he should
be detained by those bandits. But he could not persuade him. Wei Yan and
Pang Tong were to be constantly by his side and they selected three
thousand soldiers to block the gate of Liu Zhang’s camp, so those bandits
would not even consider entering to cause trouble. When Liu Zhang invited
the Imperial Uncle for a banquet on the following day, [7a] Liu Ba, the
grand marshal Zhang Ren, and the superior grandee Qin Fu engaged in a
dispute with the Imperial Uncle. But Liu Zhang said, “The Imperial Uncle
is a man of humanity and virtue, you officers have no right to do this!” The
Imperial Uncle left the camp and returned to his barracks.

Next explain that Qin Fu advised Liu Zhang to make the long journey to
Bazhou. There the prefect Yan Yan together with the grand marshal Zhang
Ren and their fifty thousand troops would capture Liu Bei. Liu Zhang still
refused. Zhang Song and Fa Zheng discussed the situation in their own tent,
and Zhang Song said, “The Imperial Uncle practices virtue and propriety
but he should have trusted Pang Tong.” And he also said, “At the Meeting
at Fu River he should have killed Liu Zhang. He could have occupied
Xichuan at once.” Outside his tent a certain Zhao Wen heard this and
informed Liu Zhang {126} who immediately arrested Zhang Song and Fa
Zheng. But mutinous troops created such a commotion that Fa Zheng was
able to make his escape.
Surrounding Zhang Song, the officials took him to see Liu Zhang, who
said, “Liu Ba and the superior grandee Qin Fu have been saying that Liu
Bei wants to conquer Xichuan and we never believed them. How could we
know that these two bandits were his collaborators on the inside and wanted
to present Xichuan to that crafty barbarian Liu Bei!” Zhang Song said, “My
lord, you must have heard that Sun Quan is scheming for Xichuan. That
dictator Cao Cao is scheming for Xichuan. At the foot of the Sword Pass
Zhang Lu and Ma Chao in Dongrong Commandery are scheming for
Xichuan. My lord, you must have heard that the Imperial Uncle is a man of
humanity and virtue and that the people of his country all admire him. He
also is a member of the imperial house of the Han. If he captures this
region, how can you be denied a commandery in which to spend your final
days?” Liu Zhang brutally executed Zhang Song and in a panic ordered
someone to go all the way to Bazhou to summon its prefect, Yan Yan.
Next speak about Fa Zheng who, after escaping in the melee and leaving
the camp, had audience with the Imperial Uncle and told him everything in
detail. Pang Tong said, “Imperial Uncle, it’s no fault of mine that you now
find yourself in such straits.” They immediately set out with the army and
fled eastward to Jiaming Pass. Someone informed them that the grand
marshals of Shu and Chuan, Zhang Xiang and Zhang Ren, were leading
fifty thousand troops to attack their rear. When the Imperial Uncle reached
Mianzhou on his eastward march, its prefect Zhang Bangrui blocked his
way. After they had grappled for two days, Pang Tong sniffed out a detour
that would let them get by. To the northeast was Hanzhou, where Zhang
Sheng stopped the Imperial Uncle; on both sides were mountains. Pang
Tong dispatched Wei Yan to oppose Zhang Bangrui and sent Huang Zhong
to intercept Zhang Sheng. Mianzhou on one side and Hanzhou on the other
hemmed in the Imperial Uncle, and for a number of days he could not
escape. Zhang Ren [7b] led fifty thousand troops to hold all the strategic
positions. Pang Tong told the Imperial Uncle, “There is a city one hundred
li from here.” He immediately led his troops by the back roads all the way
to Luocheng, and three days later they were knocking on the city gates. On
the walls stood Liu Zhen, a younger brother of Liu Zhang, and when he
recognized Pang Tong he ordered all of his officers to tell their archers to
shoot.

{127} Pang Tong Is Shot at Luocheng

A poem reads,

At Luocheng Pang Tong was struck by a bronze arrowhead:

It was heaven that took this hero’s life.
If Phoenix Fledgling had lived to a ripe old age,132
He’d never have agreed to the tripartition with Cao and Wu.

The defeated troops returned and saw the Imperial Uncle. They told him
that Prince Liu Zhen at Luocheng had sent Pang Tong to his death with a
volley of arrows. The Imperial Uncle shed tears and as he broke an arrow133
he said, “One day this enmity will be avenged!” The Imperial Uncle
ordered Mei Zhu to take twenty horsemen and find a bypath through
Jiaming Pass and go on ahead to Jingzhou and tell the field marshal what
had happened. All of the officers wept.
Within ten days the officers had raised an army, and they divided it into
three divisions. Zhao Yun would seize the road to Ziwu City. Zhang Fei was
ordered to seize the road to Bazhou, and the field marshal would seize the
road to Jiaming Pass. There were fewer than a hundred thousand men in
these three divisions; in fact, there were only eighty thousand. The Marquis
of Shouting would hold Jingzhou.
The troops of the field marshal made camp fewer than twenty li from
Jingzhou. Zhuge swiftly whispered an order in Zhang Fei’s ear. He told
Zhang Fei to guard the southeastern exit of Jingzhou at East Market. Zhang
led out a thousand troops and lay in ambush along the bank of the small
river. Later, in the third watch of the night, an army approached from the
north. There were three thousand troops, and in her carriage the young lady
Sun held Adou in her arms, and intended to surrender to Eastern Wu. From
the saddle of his horse Zhang Fei shouted to her, “Young lady, once you
find out the Imperial Uncle is in trouble in Xichuan, you want to escape to
the southern bank of the River with Aji!” This one word of reprimand of
Zhang Fei made the young lady feel so ashamed that she jumped into the
river and drowned.
Zhang Fei caught up with the field marshal and after two days Zhang Fei
took the left flank, Zhao Yun took the right, and with the field marshal they
went straight west to take Jiaming Pass.

Speak of Zhang Fei now who, after ten days on the road and after going on
ahead to Baqiu County, found that all of the civilians there had fled. He
went on to the southwest until he reached Bazhou and made his camp some
forty li {128} away. One day, Zhang Fei led his army of thirty thousand off
to Bazhou, but about five li outside the prefectural city he came to a small
confluence of two rivers, where he ordered someone [8a] to probe the
water’s depth. He forded the river, which was about five li wide. Watching
him reach the bank, the prefect of Bazhou, Yan Yan, laughingly asked him,
“Zhang Fei! Haven’t you read Master Sun’s Art of War? In there it is said,
‘Those who are halfway through a river crossing may be attacked.’” Zhang
Fei replied, “Haven’t you heard about my actions at the long slope of
Dangyang? Seeing the million-man army of Cao Cao, I just let out a single
shout and they all turned into little recruits. How much less such a little
ditch? It doesn’t cause me any worry.” Zhang Fei spurred his horse up the
bank to do battle. Yan Yan fell off his horse in the middle of the panicked
troops and was captured by Zhang Fei. When they reached a forest, Zhang
Fei dismounted.

Zhang Fei Overawes Yan Yan with Righteousness

He shouted in a loud voice, “I have heard that Yan Yan was a famous
general of Xichuan but now I have him. Behead him! Behead him!” When
the major general heard this, he laughed, “Zhang Fei is not wise in his
ways. I fell, my horse tripped, so he captured me. A great man risks his life
as if it were nothing. What’s the reason you’re beheading me?” Zhang Fei
stopped the executioners and said, “Yan Yan, you are a great man!” So he
ordered someone to untie his ropes and release him.
Zhang Fei went on, “Liu Zhang of Xichuan is an incompetent and weak
ruler. He had Zhang Song go all the way to Jingzhou to fetch the Imperial
Uncle, explaining that he needed to capture Zhang Lu and Ma Chao at the
foot of Sword Pass. Heeding the clever persuasions of that bandit, he has
hemmed the Imperial Uncle in between Mianzhou and Hanzhou and slayed
Pang Tong at Luocheng. The field marshal now has divided the army into
three divisions to conquer Liu Zhang’s Xichuan and will ride on the tide of
success to take vengeance for the Imperial Uncle.” He also told Yan Yan,
“A noble bird evaluates the forest in which it will roost; a wise vassal
chooses the lord he will support.” Yan Yan replied, “I used to say that the
Imperial Uncle’s pure virtue was only on the surface and that Zhang Fei
was a coarse and boorish fellow, but at a deeper level they both are filled
with humanity and virtue. I, Yan Yan, spared from death, will surrender.”
Zhang Fei felt no trepidation at all when he followed Yan Yan into Bazhou,
where they banqueted for three days.
Yan Yan presented a scheme: “A hundred li to the northwest you have
White Chicken Ridge. I’ve been thinking that you are a true fellow, and
about the fact that the one who guards that strategic terrain is the old
general Wang Ping, a good friend of mine.” Yan Yan led a hundred
horsemen northward to White {129} Chicken Ridge. The old general knew
Yan Yan was coming north and then went together with him to Jiaming
Pass, where they learned it had already been taken by the Martial Marquis.
When Zhang Fei arrived at the pass he dispatched someone to report to the
field marshal, “Zhang Fei has brought Yan Yan for an audience.”
The field marshal praised Zhang Fei’s accomplishments, and said, “Zhao
Yun has not taken Ziwu city.” Zhang [8b] Fei asked the field marshal, “Why
not?” “In that city is a Xichuan general who calls himself the Iron Arm
General Zhang Yi. His attacks are unstoppable and he has defeated Zhao
Yun.” The field marshal led his troops to Ziwu and Zhang Yi rode out. The
field marshal employed a strategy of persuasion through flattering words,
but Zhang Yi rejected them and battled with Zhang Fei. For three days no
one had a decisive victory even though they had fought more than a
thousand times. For a month or more they had not captured Ziwu, nor did
they know if the Imperial Uncle was still alive, there between Mianzhou
and Hanzhou.

Next speak about the Iron Arm General Zhang Yi who, discussing the
situation with his officers, said, “Tighten the noose around the Imperial
Uncle. The grand marshal Zhang Ren does not know that the Martial
Marquis has captured Jiaming Pass, conquered Bazhou, taken White
Chicken Ridge, and accepted the surrender of Yan Yan. He has been in a
standoff with the field marshal for over a month and we still cannot force
him to withdraw.” As he was wondering what to do, a reporting officer said,
“The emperor’s father-in-law has arrived with a thousand troops to inspect
Jiaming Pass and Ziwu.”
Zhang Yi said, “The Imperial Father-in-law Zhao Shidao is the greatest
traitor at court!” He welcomed the Imperial Father-in-law some thirty li
from the city and brought him into the yamen, where he was treated with all
due courtesy. Zhao Shidao tried to discuss the problem, “Jiaming Pass is the
eastern gate to Xichuan but Wang Shouzhong’s position there is weak. Will
you be able to protect it?” Zhang Yi said, “Each official guards his own
town. Now the traitor’s troops have already entered our boundaries but are
still encamped outside Ziwu. We have been unable to push them back. How
can we save Jiaming Pass?” In his cups the Imperial Father-in-law
disparagingly berated all of the officers, and he did so three times in a row.
Zhang Yi told his officers, “Liu Zhang is ignorant and deluded; such
traitorous ministers act as dictators.” He also thought, “Zhang Song and Fa
Zheng presented maps of Xichuan to the Imperial Uncle and that is a man
of humanity and virtue.” That evening all of the officials went with Zhang
Yi to kill the emperor’s father-in-law. In the latter’s party there were people
who fled in all directions, and when they were arrested by the Han troops
and informed the field marshal, the latter was very pleased. Zhuge
dispatched the Attendant {130} Gentleman of the Ministry of War Yi Ji to
persuade Zhang Yi with flattering words and, after he offered up Ziwu and
surrendered to the field marshal, Zhang Yi was appointed as attendant grand
marshal.
When they proceeded westward to Luocheng, Liu Zhen rode out to give
battle, but he was captured by his own officers and then the common folk
presented the city to the attackers. The field marshal asked them, “Where is
Pang Tong’s body?” They found the corpse, killed Liu Zhen, and then made
sacrifice to Pang Tong and properly buried him. In a few days, the field
marshal led his troops west to Hanzhou. Its prefect [9a] Zhang Sheng met
them for battle, but he was captured by Zhang Fei.

Speak now about how Zhang Yi led ten thousand troops to Mianzhou. Its
prefect Zhang Bangrui and Zhang Yi engaged in battle. Bangrui suffered a
bad defeat and fled. When Zhang Yi had ordered the two armies to do
battle, the Xichuanese troops were scattered by the onslaught. After he had
saved the Imperial Uncle, he then met with Zhuge and distributed the gold
and gems taken in Mianzhou and Hanzhou to the troops, and they
banqueted for several days.
In the west, the Imperial Uncle reached the Brocade Washing River,
which was a powerful river. There was a bridge that was called the Bridge
for Rising to the Realm of the Immortals. Zhuge said, “No one but an
immortal can talk about this bridge.” The field marshal returned to his camp
and discussed the situation with his officers, but for half a month they could
make no progress.

Speak now about how Huang Zhong, in the third watch of the night, heard
someone calling out his name loudly, “Hansheng!” He asked, “Who is it?”
The answer was, “Come out of your tent, I am Pang Tong.” And he went
on, “I was the one who gave you the four commanderies in order for you to
repay the Imperial Uncle. But in the conquest of Xichuan I was wrongly
struck by an arrow at Luocheng, so I am now dead. But I would like to
express my gratitude to you for killing Liu Zhen to take vengeance for me.
At present I have been reborn in heaven, so I have nothing I can give you as
a present but this: the Imperial Uncle now wants to conquer Xichuan. Wait
for an inauspicious day in the next three days, then you dress in a yellow
gown that covers both your head and body. I will assist you; by
accomplishing this feat unseen we will capture this bridge on behalf of the
Imperial Uncle as a way to repay the grace he has shown us.” Huang Zhong
woke up and at dawn, he told the field marshal about his dream.
Three days later the Martial Marquis had his officers on that day lead all
of their one hundred thousand troops to the eastern side of the Bridge for
Rising to the Realm of the Immortals and there set out their battle array.

{131} Pang Tong Helps the Plan

The field marshal sacrificed to the wind. Huang Zhong rode out on his
horse. Ten renowned generals followed Huang Zhong up onto the bridge. A
resounding sound like thunder rang out and sand and pebbles rose on all
sides—those with the wind at their back were victorious; those with the
wind against were whipped by torn branches, and they jumped from the
towers and into the water, and their temporary battle huts134 fell into the
water. With his sword Huang Zhong hacked the gate open and the officers
fought their way in. The Xichuan general, grand marshal Zhang Ren, fought
Huang Zhong fewer than three rounds before Huang Zhong beheaded him
in front of his horse. The troops of Xichuan withdrew forty li. There is a
poem that verifies this,135

In a nighttime dream Pang Tong presented a strategy,

Sand and pebbles helped in the fight, determining who would be harmed.
At the Bridge of Immortals the army of Xichuan was defeated;
In Brocade Washing River the power of the waters swells.136
Temporary battle huts fell into the stream, the wind whipped branches;
Iron sundered, the gate opened: a sword cut the planks.
If he hadn’t used the divine teacher’s scheme right at this time,
How could he have ever been seated in Chengdu as ruler of the Han?

There is yet another poem,

[9b] In Shu’s Brocade Washing River a thousand eternities of sorrow:137

On the Bridge of the Immortals the Han king and his liege lords.
 If they had only known of Lord Pang’s scheme at the time,
They wouldn’t have put their heart and soul into arraying battle huts.

After the field marshal had captured the Bridge for Rising to the Realm of
the Immortals and had decapitated Zhang Ren, the troops of Xichuan all
dispersed. The Imperial Uncle banqueted for a few days then led his troops
{132} westward to Metal’s Mouth Pass. Its prefect Ma Shouzhong said, “A
great army is about to arrive.” Shouzhong also said,138 “Xichuan cannot
maintain its independence.” Someone reported, “The Han army is close.”
Zhang Fei was the one to do battle and he defeated Ma Shouzhong. Huang
Zhong finally caught up and so they seized Metal’s Mouth Pass.

Huang Zhong Beheads Ma Shouzhong

The prefect was engaged again, and he was beheaded by Huang Zhong in
front of his horse. After that the Imperial Uncle went up through the pass.
When the field marshal questioned the local people, it turned out that
Chengdu Prefecture in Yizhou was fewer than a hundred li to the west.
They reached the outskirts of Chengdu Prefecture in a few days.

Next explain that Liu Zhang, coming to the conclusion himself that
Xichuan could not maintain its independence, led out the common people
and, baring their arms and leading sheep, they welcomed the field marshal.
Liu Zhang said, “Imperial Uncle, I implore you to take into consideration
that I am a member of the imperial family. I beg you for a single
commandery where I may live out my last days.” The field marshal said,
“Your Majesty, don’t worry, the Imperial Uncle will certainly spare your
life.” Zhuge secretly had Liu Zhang locked away. When the Imperial Uncle
had taken Chengdu Prefecture, the officers were all happy and banqueted
for ten days.
Someone reported, “Zhang Lu and Ma Chao from Dongrong, who had
been at the foot of Sword Pass, are leading a hundred thousand troops up
Sword Pass. They have also captured Yangping Pass. Behind them there are
Cao Cao’s two hundred thousand.” Within three days the field marshal led
fifty thousand troops eastward to Yangping Pass. When he was informed
that Ma Chao was approaching with thirty thousand troops, the Martial
Marquis had Wei Yan go east to confront Ma Chao. The two armies faced
off against each other. Ma Chao feigned defeat and struck Wei Yan with an
arrow. The field marshal then sent the grandee Yi Ji to see Ma Chao, and
after he surrendered to the field marshal, Zhang Lu went on to defeat Cao
Cao.

Also relate that the field marshal brought his army back to Yizhou to see the
Imperial Uncle, and they held a banquet.

{133} The Imperial Uncle Enfeoffs the Five Tiger Generals

Lord Guan was enfeoffed as Marquis of Shouting, Zhang Fei as Marquis of

Xichang, Ma Chao as the Border-Establishing Marquis, Huang Zhong as
the Mutiny-Suppressing Marquis, and Zhao Yun as Marquis of Fengli.

The Single Sword Meeting

When the Imperial Uncle ennobled these five tiger generals, the only one
who was not present was his beloved younger brother Lord Guan, so he had
a trusted follower [10a] take gold and gems to Jingzhou to enfeoff Lord
Guan as Marquis of Shouting.
When the envoy arrived in Jingzhou and had seen Lord Guan, the latter
expressed his gratitude to the Imperial Uncle. While he was entertaining the
envoy the latter said, “Ma Chao is a heroic brave. He has gibbon’s arms and
is a fine shot.139 No one can match him.” Lord Guan replied, “We have
been together for more than twenty years since we became sworn brothers
in the Peach Orchard. No one can match the two generals Guan and
Zhang.” He had someone take a letter to Xichuan for the field marshal.
After half a month the return letter arrived. After Lord Guan had read it,
he said with a smile, “The words of the field marshal are right on the
mark!” Lord Guan said to his officials, “That Ma Chao—he can be a Zhang
Fei or Huang Zhong, but to try and match me? Hard to do.”
Whenever the weather was humid Lord Guan suffered from pain in his
arm, and he said to his officers, “Earlier on that Wu bandit Han Fu struck
me with an arrow and the arrowhead was poisoned.” He issued an invitation
to Hua Tuo. That Hua Tuo had been a man under the command of that
bandit Cao but, judging Cao Cao to lack humanity, he had come to Jingzhou
to see Lord Guan. When he arrived in response to the invitation, Lord Guan
told him that there was poison in the battle wound on his arm. “Erect a
post,” Hua Tuo said, “nail a ring to it, and put your arm through it. Then I
can cure this pain.” Lord Guan laughed loudly and said, “I am a true hero!
Why should I fear this?” He ordered his servants to hold up a golden plate.
Lord Guan bared his arm and had Hua Tuo scrape away the bone to cure his
disease, and all of the poison was removed. Lord Guan never changed his
expression at all. {134} A plaster was applied to the wound, and it was
done with. There is a poem that verifies this,

In the tripartition of the empire he settled buckler and spear:

General Guan was a hero, full of manly determination.
They scraped his bone to cure the wound and eradicate the illness;
The steel knife cut off his flesh to avoid a severe disease.
His expression was imperturbable as he entertained the guest from Shu,
His face remained exactly the same while he sipped his Green Waves.140
It must be that the divine immortals hide their miraculous cures;
For all eternity the most famous physician is said to be Hua Tuo.

Relate that it took four months for the wound of the Marquis of Shouting to
heal after the bone had been scraped away to cure the disease.
One day a spy reported, “Lu Su, Grandee of Downriver Wu, was leading
a huge army across the River, and had dispatched someone with a letter
inviting Lord Guan to go to a ‘single-sword meeting.’” Lord Guan said,
“There is surely some plot afoot in this single-sword meeting, but what do I
fear?”
When the day arrived Lord Guan, with a light bow and short arrows, and
with good mounts and trusted men bearing swords—no more than fifty in
all—went south to Lu Su’s encampment. The generals of Wu saw that Lord
Guan was clothed in absolutely no armor and had but a single sword
hanging from his waist. Lord Guan saw that there were three thousand men
in Lu Su’s retinue, [10b] all in armor, and that each of the officers was
wearing a “heart-protecting bronze mirror” on his chest. His lordship
thought to himself, “What is this traitor’s objective?” When the feast was
spread and wine brought forward, Lu Su ordered the army to play music to
accompany the feast. The flute made no sound three times in a row and the
Grandee shouted out the five notes of the scale, “gong, shang, jue, zhi, yu!”
And then, three times in a row, he said, “yu did not sound.” Lord Guan was
enraged and clutched Lu Su. Lord Guan said, “You traitor; you set up this
feast for no reason and called it a ‘single-sword meeting,’ then had your
troops play music that did not sound the note yu. You said, ‘Yu does not
sound / Yu is clueless,’141 but today I’ll make ‘the mirror’ be the first to
break this sound.”142 Lu Su prostrated himself on the ground and said, “I
would not dare.” Lord Guan spared his life, got on his horse, and returned
to Jingzhou.

{135} Later relate how Lu Su sent someone across the River to fetch the
fifty thousand troops of grand marshal Lü Meng and they recaptured
Changsha and the other three commanderies. When Lord Guan heard this,
with all speed he sent someone to Yizhou to request aid. When Zhuge
arrived in Jingzhou with his army, Lord Guan guarded Jingzhou while the
field marshal led sixty thousand troops and five superior generals to square
off with Lü Meng. When the Han troops were defeated, Lü Meng chased
them for twenty li, but then he found his way blocked by Zhang Fei. When
the Wu army in its turn was defeated, the Han troops pursued them. When
they had arrived at the border river of Changsha and the other three
commanderies, troops that were waiting in ambush emerged on all sides.
Zhao Yun rode out to give battle and the Wu army was heavily defeated.
When they wanted to make a run for their camp, Huang Zhong blocked
their way and they fought yet another battle. When Lü Meng had fled back
to his camp, his way was blocked by another three thousand troops and
Zhuge rode out to give battle. When Lü Meng reached the River, the Wu
troops fled following the River, where Ma Chao blocked their way and
engaged in yet another battle. Lu Su and Lü Meng had lost all of their fifty
thousand troops, and when they held an inspection, their troops didn’t even
number three thousand. As for Lü Meng and his officers, they managed to
escape with the remaining Wu troops through the reeds on the bank of the
River.

Speak of how Lü Meng collected his troops on the southern bank of the
River and that the field marshal had returned to the northern side of the
River. This standoff lasted for a month. Sun Quan dispatched his son Sun
Liang with thirty thousand troops, and he led Lü Meng to cross the River
once more to square off with the Martial Marquis. With Heaven as his
witness Sun Liang proclaimed the following oath, “Jingzhou and the land of
Wu may be states as close to each other as lips and teeth, but they have
never cared for each other.” The field marshal then defeated Sun Liang in
battle. Thereupon he collected his troops and returned to Jingzhou, where
he said to Guan Yu, “This is a land of fish and rice.143 That’s why we first
borrowed Jingzhou as capital and later schemed for Xichuan as the interest.
Only today can conditions make this possible.” And the field marshal also
said, “In the northwest there’s the army of Wei, and in the southeast there’s
Downriver Wu. [11a] If it weren’t you, my lord, nobody else could guard
this place.”

{136} Cao Cao’s Sichuan Campaign

The field marshal returned with his troops to Chengdu, where the Imperial
Uncle treated him to a banquet. Some two months later a soldier came to
report, “Cao Cao’s army of three hundred thousand has annexed Dongrong
commandery. Zhang Lu’s army of one hundred thousand troops is coming
with him.” Zhuge fielded an army of five hundred thousand troops and
thirty famous officers, and proceeded eastward to Yangping Pass, where he
made camp ten li away. Someone informed Cao Cao’s army, “The Army of
Xichuan is here!” Receiving the field marshal Yi Ji, the prefect of Yangping
Pass told him that Cao’s army had approached to within forty li and made
camp. The field marshal said, “After that bandit has captured Sword Pass he
will move toward Yangping Pass—he has his mind set on Xichuan.
Tomorrow we must fight a decisive battle. Who dares capture that bandit
Cao?” One man, looking up to heaven and, deeply moved, said, “My father
and mother both died at the hands of that bandit general!” The field marshal
recognized him as Ma Chao, and told him his plan.
At daybreak the next day, the two armies lined up against each other.
Lord Cao reiterated, “It is Liu Bei who deposed Liu Zhang, but he simply
calls others traitorous vassals!” He ordered Xiahou Dun to ride out. Liu
Feng engaged him in battle. When evening fell both sides returned with
their troops to their camps. Lord Cao said to himself, “With these three
hundred thousand troops I will go on to Xichuan to kill Liu Bei. After I
have destroyed that country hick, I’ll hurry back to do battle.”
 That night in the third watch, someone announced, “Some old general is
delivering grain to the Pass.” And, as Huang Zhong was plundering their
camp, Cao’s troops all fled in the chaos and confusion. Then hidden troops
emerged from all four sides and the battle continued all the way to Sword
Pass, where they ran smack into Ma Chao who attacked them. By daybreak
Lord Cao had managed to escape but in a single day and night he had lost
one hundred thousand troops.
Again ten days later Lord Cao sent people out to reconnoiter the
situation, and they told him, “The field marshal has once again ordered Yi Ji
to guard Yangping Pass together with Ma Chao, and the Martial Marquis
has gone through the pass.” After ten more days Lord Cao appeared with
his army once more before Yangping Pass. Ma Chao was defeated in battle
because he was drunk, and Yangping Pass was captured by the Wei general
Zhang Liao. Ma Chao didn’t dare face the field marshal and sneaked away.
When Lord Cao found out, he led his three hundred thousand troops and a
hundred famous officers to attack fleeing troops of Yangping Pass from the
rear. The prefect {137} Yi Ji, with fewer than a hundred horsemen, rode
three days and nights before he reached Xichuan, and told the field marshal
what had happened.

Go on to tell how Cao Cao sent someone out to reconnoiter then went ahead
to Ziwu City. Cao Cao said, “Ziwu City is a strategic location in Xichuan.”
When Lord Cao led his troops to the pass, he could see from far off [11b]
that the common people were going about their daily business, and he also
saw soldiers amusing themselves in the markets and streets. Lord Cao said,
“We must act quickly!” But Zhang Liao told him, “This is a trick of Zhuge.
You see these common people of Ziwu City in their cups and those soldiers
amusing themselves, but this is called ‘furling the flags and resting the
drums.’ If you go inside these city walls, you won’t be able to get out.”
They fled in a northeasterly direction but were pursued from behind by the
Han army. The famous general Wei Yan heavily defeated Cao’s army in
battle. To his left he had Liu Feng, and to his right he had Zhao Yun, and
they continued in pursuit until daybreak, when Zhang Fei blocked their way
and attacked them. When they arrived at Yangping Pass, the field marshal
had already retaken it, and he also drew on Huang Zhong to launch yet
another attack.
 Cao Cao fled back to Sword Pass but ran into Ma Chao who also
attacked him. Cao Cao dropped his cap and removed his armor, then fled
down Sword Pass, managing to escape. More than a month later, the field
marshal camped his troops at Sword Pass. Lord Cao again established his
camp forty li from Sword Pass. A scout found out that Lord Cao had three
hundred thousand troops with him and had also dispatched three hundred
thousand troops to guard Mt. Dingjun. Xiahou Yuan had another three
hundred thousand troops and had built a hundred buildings, where there
were five hundred thousand stoneweight of grain—they were hungering
like a tiger for Baozhou.144 This was indeed a strategic place. Yu Xu, the
governor of Fenzhou, transported grain and fodder to Mt. Dingjun, where
he made a permanent encampment. The field marshal said, “If Lord Cao
captures the thirteen prefectures outside Sword Gate, Xichuan cannot enjoy
peace.” He asked his officers, “Who dares battle at Mt. Dingjun, decapitate
Xiahou Yuan, and capture those five hundred thousand stoneweight of grain
and fodder?” One man stepped forward. It turned out to be Huang Zhong,
who said of himself, “I will decapitate Xiahou Yuan, capture Mt. Dingjun,
and requisition those five hundred thousand stoneweight of grain and
fodder.” The Martial Marquis was delighted. Leading ten thousand troops
he cut off Longzhou, captured boats and carts, and expelled Yu Xu.

Speak about how, when Huang Zhong arrived at Mt. Dingjun, Xiahou Yuan
said, “I only know of the two generals Guan and Zhang—in an army of
{138} ten thousand Xichuan troops, how dare one old general claim he can
capture Mt. Dingjun!” Thereupon he led his troops down Mt. Dingjun and
engaged in battle with Huang Zhong.

Huang Zhong Decapitates Xiahou Yuan

In fewer than three rounds Xiahou Yuan had been soundly defeated and fled
up the mountain. Huang Zhong said to himself, “Can a real man stand to be
below others? If I do not decapitate Xiahou Yuan and if I do not capture Mt.
Dingjun, I am not a real man!” He caught up with Xiahou Yuan, engaged
him again, [12a] decapitated him in front of his horse, and captured both the
grain and fodder and this strategic location. There is a poem by an
historian,
 At the foot of Mt. Dingjun he stilled lance and spear:
All alone Huang Zhong captured Xiahou Yuan.
He seized the grain, beheaded the general, climbed the highest peak;
He silenced the drums, stole the banners, crashed through the battle lines.
Like a hungry tiger he eyed Sword Pass, eradicated the stronghold of Wei;
A dragon returned to the imperial ward, enthroned in Shu and Chuan.
His meritorious vassals depicted on the walls of Lingyan Gallery,145
The history books highlight their names, passed on for all eternity.

Speak about how Huang Zhong sent someone to deliver a letter all the way
to Zhang Fei, who said, “We brothers all congratulate the old general Huang
Zhong on establishing such a major feat. How could he cede to others?
Huang Zhong has captured Mt. Dingjun, but he uses that to chide me!”
Zhang Fei led his troops in pursuit of Yu Xu, who was resting in front of a
forest. People told Zhang Fei, “Yu Xu’s troops are coming over from behind
the woods.” Zhang Fei immediately got on his horse, captured Yu Xu,

Zhang Fei Captures Yu Xu

and went all the way to Sword Pass to report to the field marshal.
Lord Cao had twice tried to invade Sichuan and his six hundred thousand
troops and been defeated all in one go. His troops numbered fewer than one
hundred thousand, and he had made camp on a high hill. This is what is
called, “A ram caught by its horns in a fence: no way forward or back.” He
was unable to conquer Xichuan, but he was also afraid that Zhuge would
attack his rear. {139} The field marshal ordered a man to deliver a letter to
the prime minister. When the prime minister read the letter, it informed Cao
Cao, “Out of the thirteen prefectures outside Sword Pass, I will grant you
four commanderies in the area from Shifang to Longzhou.” Cao Cao
thought to himself, “What could Zhuge be up to?”
For ten days, Cao Cao led his troops to the border of Shifang and the
other three prefectures but perceived an aura of war filling the sky. Cao Cao
said, “Another trick of Zhuge.” He established a large camp on a high hill,
kept his troops in armor, but made no move for a month. One day Cao Cao
was strolling incognito in a quiet night and saw that his soldiers were
bundling up their luggage. When he asked, it turned out that the Constant
Attendant in the Ministry of War, Yang Xiu, had ordered his officers to tell
the troops to pack their luggage. “What is your intent in fanning the
soldiers’ doubts?” Yang Xiu replied, “Yesterday after breakfast I saw the
prime minister sighing over a chicken bone, saying that there was not
enough taste to eat it, but that you still were reluctant to throw it away.
Prime Minister, this means that you will withdraw your forces.” Cao Cao
loudly cursed him out, “When three years ago I was walking in private with
you we saw the stele with eight characters for the Beauty Cao.146 I didn’t
immediately understand their meaning, and when I asked you, you also
didn’t understand. It was when I woke up the next morning [12b] that I
understood what it meant. ‘Yellow silk’ meant ‘colored thread’ , and
that is the character jue ; ‘infant woman’ means a ‘young girl’ , and
that is the character miao ; a ‘grandson of a different surname’ is a
‘daughter’s son’ , and that is the character hao ; ‘pickle mortar’
means ‘suffering bitterness’ , and that is the character ci . These
eight characters were juemiao haoci (exceptionally wonderful fine words).”
Cao Cao then roundly cursed him, “When dealing with Zhuge, you don’t
even dare look him in the eye, but when dealing with me, you treat me like
grass and weeds. You must have the desire to usurp my position!” He gave
the order to behead Yang Xiu. The other officers could not persuade him
otherwise and he beheaded Yang Xiu.
That very night he ordered a retreat. He fled eastward to Purple Forest
Crossing. When they marched some twenty li, on the road east there was a
bridge across a river running south to north. After the army was fully
across, people trailing behind destroyed it and fires arose on both sides.

{140} Zhuge Employs a Scheme to Force Cao Cao to Retreat

To the south Wei Yan emerged with ten thousand troops, to the north Zhao
Yun appeared with ten thousand more, and from behind they were attacked
by the field marshal with three thousand. By daybreak they had made eighty
li but in front of them appeared three thousand troops, and they were
attacked by Huang Zhong and Zhang Fei. Cao Cao could barely make his
escape, but his men were worn out and his horses were exhausted, and he
could not go on. Again he ran into Ma Chao, and from behind they were
attacked by the Martial Marquis and several tens of famous officers. Ma
Chao with his thirty thousand men blocked his way and launched an attack.
 Cao Cao escaped with his life from Guanzhong, but not five thousand
men were left of his main army, and Cao Cao had suffered so much in the
fighting that he had pushed back his cap and unbound his hair, and leaning
on his saddle spat blood. He reached Chang’an only after a few days on the
road.

The Death of Guan Yu and the End of the Han

On the third day back, he was received by the emperor, who fêted him for a
number of days. The senior grandee Jia Xu said in secret to Minister Cao,
“The son of Emperor Xian has complained to the officials that all
appointments to office and gifts and rewards proceed from Minister Cao.
Prime Minister, the crown prince wants to kill you.” Cao Cao was silent. A
few days later, pretending to petition the emperor, he said, “When King
Ping of Chu was quite advanced in years, his son Mijian had secretly
plotted to usurp the throne and kill his father. Heaven and Earth, however,
did not allow it to happen.” Emperor Xian again asked, “What do you
mean?” Minister Cao lied to him, saying, “The officials at court all say that
whenever the crown prince gets drunk, he says over and over that Your
Majesty has become too old, and that someone else has a desire to become
the ruler. I am afraid that someday the crown prince will cause trouble in
the palace.” Emperor Xian did not say a word but then thought, “Wang
Mang assassinated Emperor Ping to wrest away the empire. My son was
born to the empress, yet he still harbors such thoughts!” When he
questioned Cao Cao again, the latter proposed that an investigative official
[13a] should interrogate the crown prince at the Terrace of Censors. Cao
Cao ordered someone he trusted to have the crown prince whipped. Now
the crown prince was the son of an emperor and the grandson of a dragon,
and he could not bear such pain. Although innocent, he confessed to the
crime. Cao Cao reported to Emperor Xian and again mentioned the case of
the crown prince. The emperor asked, “How should we handle this?”

{141} Cao Cao Decapitates the Crown Prince

Cao Cao said, “Behead him in the marketplace of the capital.” The emperor
replied, “My child is the son of an emperor and the grandson of a dragon.
How can we behead him in the marketplace?” Cao Cao retorted, “Since
ancient times there has been no pardon for those who commit regicide or
patricide.” The emperor could not refute this and dispatched a palace grand
defender to supervise the decapitation of the crown prince in the city’s
marketplace. The people of the capital said, “The house of Liu has no ruler
anymore.”
Emperor Xian feared Cao Cao and granted him title as Great King of
Wei. The land of Wu then established Sun Quan as Great King of Wu.
When this news reached Xichuan, the Martial Marquis told the Imperial
Uncle that he should proclaim himself King of Hanzhong. The First Ruler
shed tears, as once again he thought of how Gaozu had raised his sword to
behead the white snake at Mt. Mangtang, and how over a number of years
he had conquered the Qin and eradicated Chu—but now Emperor Xian was
an incompetent weakling and Cao Cao acted as a dictator. The murder of
the crown prince on trumped-up charges in order to cut off both the root and
sprout of the Han was all Cao Cao’s scheme. The First Ruler took to bed
with an illness for a few days, and then asked Zhuge, “I have two sons. The
elder is Liu Feng and the younger is Liu Shan. Who should become the
ruler of Xichuan?” Zhuge had the officials discuss this question and,
claiming illness, he did not leave his house for a number of days. When the
First Ruler sent someone to repeat the question to the field marshal, the
latter said, “I am so sick I cannot even move. Let His Majesty go all the
way to Jingzhou and ask Lord Guan.”
Lord Guan said, “Liu Feng is an adopted son from the Kou family of
Lohou, but Liu Shan was born to your main wife.” When his return letter
reached the First Ruler, the latter said, “What my younger brother says is
right on the mark.” A few days later Liu Feng was appointed as governor of
Jiaming Pass, with Meng Da as his supporting official.
Again a few days later documents of the King of Hanzhong established
Liu Shan as the future ruler of Xichuan. When Liu Feng found out, he
called Xuande lacking in humanity, but Meng Da said, “This isn’t the fault
of the Imperial Uncle, it’s all the crime of Lord Guan.” Liu Feng then broke
an arrow and vowed, “Some day this enmity will be revenged.”
Now go on to speak about Lord Guan. About a half-year later, someone
reported to him, “An envoy from the southern bank of the river has
arrived.” This senior grandee from Downriver Wu said, “The son of the
King of Wu has discovered that the Prince of Jing has a daughter. [13b]
What about a marriage alliance between the two families?” Lord Guan, who
was in his cups, replied, {142} “We are the offspring of dragon and tigers!
How could we marry her to the grandson of a melon grower?” The envoy
then left.
A month or so later the senior grandee Chen Deng arrived all the way
from Chang’an, and he had brought his whole family with him to Jingzhou.
When Lord Guan was informed of this, he invited them to enter the city.
When Lord Guan asked him for his motives, the grandee gave a full
account of Cao Cao’s lack of humanity: in Chang’an he had built the
Bronze Sparrow Palace and had selected the most beautiful women in the
empire, and enjoyed their company there every day. “You must have heard
that when Cai Yan returned from her marriage to the barbarian, she was
taken into this palace by Cao Cao!”147 Chen Deng then said, “I have one
daughter but that bandit Cao hasn’t been able to take her in too.” Lord Guan
said, “Grandee, you did right.”
Not a month later and an envoy from Cao Cao came to reclaim Chen
Deng, but Lord Guan did not release him. Cao Cao then had a grand
marshal Pang De and the assisting officer Yu Jin lead one hundred seventy
thousand troops, which they named “The Seven Armies,” and each division
was comprised of twenty-five thousand men.

Lord Guan Decapitates Pang De

Lord Guan decapitated Pang De in front of his horse and the army of Wei
was soundly defeated. A few days later Lord Guan observed that Yu Jin had
established his camp downstream on a small river, and when it suddenly
started to rain, Lord Guan released the water of that small river and since it
had no banks to contain it,

Lord Guan Drowns the Seven Armies

it covered the troops of Yu Jin, who all fell in the water and died. So after
two battles not even ten thousand troops remained of the army of Wei.
When Yu Jin returned to Chang’an and provided a full account to Cao
Cao, the latter appointed four generals as grand marshals: the first was
Prime Minister Jia Xu; the second was Zhang Liao; the third was Xiahou
Dun; and the fourth was the Grand Defender Li Dian. And there were
several famous officers {143} involved as they raised an army of a hundred
thousand men to go to Jingzhou. Zhang Liao offered up a scheme to
establish an alliance with Downriver Wu: if they attacked Jingzhou from
two sides it would be smashed.
Zhang Liao crossed the River and was received in audience by the King
of Wu. He persuaded Sun Quan with these flattering words, “If the famous
general of Wu, Lü Meng, reaches Jingzhou with a hundred officers and a
hundred thousand troops,148 then Jingzhou in the southeast will be attacked
by Lü Meng from the land of Wu and in the northwest by the Wei army and
Jia Xu.”
When Lord Guan learned about this, his son Guan Ping said, “Father, you
are getting on in years. You should send a letter to Chengdu Prefecture in
Yizhou for the King of Hanzhong. If the field marshal arrives, these bandit
troops will disband by themselves without any action by us.” Lord Guan
replied, “When my elder brother led the officers in the conquest of Shu, we
had no part in that achievement. To now go and ask him for reinforcements
when [14a] bandit troops enter our territory is not what a real man would
do.”
After a few days Lord Guan left the city to confront Lü Meng in the
southeast but Zhang Liao attacked him from the rear. And when he
confronted the army of Wei in the northwest, he was assailed from the rear
by Lü Meng. This went on for about half a month but the bandit armies did
not disperse. Lord Guan’s battle wound split open, and Guan Ping told him,
“Prince of Jing, send someone to Xichuan to request reinforcements.”
When that person arrived at Jiaming Pass, Liu Feng and Meng Da
suppressed the letter. Over a month there were three letters requesting
reinforcements, and they were all suppressed by Liu Feng and never
submitted.
When Lord Guan’s battle wound had slightly healed, he made
preparations to go into battle the next day. At midnight that day a great
storm suddenly started and a sound arose like the thunder. To all of the
people of the city it seemed to say that Lord Guan would die. When Lord
Guan went into battle the two countries joined forces to besiege him. Lord
Guan was encircled on a mountain ridge to the southeast of Jingzhou. After
he fell, a heavy rain poured down for several days.

Next tell how the officers of the two countries Wu and Wei arrived at
Jingzhou and explained that the Sage had returned to Heaven. By this clever
persuasion, they divided up Jingzhou. When Zhang Liao informed Lord
Cao in Chang’an, his delight knew no bounds. The defeated troops of
Jingzhou fled to Sichuan and informed the field marshal who was shocked;
and how could he report it? He suppressed news of the affair.

{144} Go on to speak of Minister Cao, who told the emperor, “Your

Majesty, you are reaching the age of the sages.” The emperor said, “And I
also have no descendants, so who can be put on the throne?” Cao replied,
“Your Majesty surely knows that in the days of Yao, Shun, Yu, and Tang,
the one with the most virtue was installed on the throne.” And when the
emperor asked who might be this person of high virtue, Minister Cao
replied, “My son Cao Pi! He is acclaimed by everyone in the empire. He
can be enthroned as Son of Heaven.” In less than half a year a terrace was
built at a place called Phoenix Village, fifty li southwest of Chang’an, and
this was called the “Terrace for Accepting Abdication.” A song reads,

Cranes, ducks, swallows, rats, foxes, and wildcats shriek;

Ghosts puff out sickness and death, burn sage and tumbleweeds.
This terrace may be fine, but its name is not;
The earth may be piled up high, but virtue is not.
Tens of feet of yellow earth bury the banners of fire;149
When a horse is startled it must ruin its tailing light.
He brutalized a widow to obtain a jade seal;
He intimidated an orphan soul into leaving its native land.
If a man with gall wants to be Son of Heaven,
Why talk anymore about playing a child’s game?
Far better to raise your sword and say very clearly,
“I should be ruler, you should die!”
The palace fooled itself with this pile of yellow earth;
To no avail it mightily rose into the sky.
 It ruined forever the tradition of abdication of Tang and Yu; [14b]
The yellow earth steeply rising up, a marker of this place of sorrow.
The earth of his grave on the high mount had barely covered him,150
When the Lord of Jin began aping this ritual of Tang and Yu.
The pile of yellow earth may rise up to the clouds,
But Heaven bears no brave souls that know it.
People say, “The terrace is fine, but its name is not,”
Because it was all evil scheming to usurp the Han.
In the end, good and evil get their just reward;
What is gained through evil will be done in by evil.
The Cao family wished to inherit a thousand-year enterprise,
But the Simas inherited the throne in just the same way.

{145} A poem reads,

Wrongfully killing the Crown prince, he ended the line of the Han;
At this fine terrace the Wei ancestor will enthrone their rival lord.
In total five emperors would be the compensation from the netherworld;
But when the Simas schemed for kingship, they would kill their own share!

Let us now speak instead of when, following Cao Cao’s death, Cao Pi had
accepted the abdication, the new lord was congratulated by all officials.
Changing the reign period to the first year of Huangchu, he ascended the
throne. And after he ascended the throne as Emperor Wen of the Wei, he
enfeoffed Emperor Xian as the Duke of Shanyang Commandery, and today
the traces of the latter’s palace may still be seen to the northwest of the
district capital of Xiuwu in Huaizhou.

The Deaths of Zhang Fei and Liu Bei

Let us go back and speak of Sun Quan of Downriver Wu, who had
proclaimed himself Great Emperor of Wu and changed his reign title to the
first year of Yellow Dragon. When the field marshal learned about this in
Xichuan, he informed the King of Hanzhong. The First Ruler said, “The
house of Han has weakened and withered; Cao Cao has wrested away the
empire; Sun Quan makes himself a hegemon.” But the field marshal did not
go along with Xuande, and proclaimed him as the August Emperor of Shu
and Chuan, changing the reign period to the first year of Jianwu.151 A
banquet was held for several days to congratulate the new ruler. The
emperor thought of his sworn brothers of the Peach Orchard, “Since I set
out to conquer Sichuan I have been separated from my beloved younger
brother Lord Guan and have not seen his face now for several years.” He
ordered someone to go off to Jingzhou and summon the Prince of Jing. The
field marshal could no longer hide or avoid the issue, so he explained Guan
Yu’s death to the emperor in a calm and slow way. But upon hearing it, the
First Ruler immediately collapsed on the floor and was overcome time and
again by rage. The First Ruler had masses read for Lord Guan, and after a
month he discussed the situation with the field marshal. Zhuge informed
him, “In the current transit of the Great Year, the year and the month are
bad for a campaign against Wu. Your Majesty, it is unadvisable.” But the
emperor said, “My thoughts are with the sworn brotherhood of the Peach
Orchard: if we three brothers can be together in death, what’s
‘unadvisable’?” The field marshal could not change his mind.
{146} Xichuan fielded an army of four hundred thousand and borrowed
another one hundred thousand troops from Meng Huo, the king of the
southern barbarians. In the first year of Jianwu, Zhang Fei was appointed as
grand marshal to overturn Wu. The Martial Marquis and the crown prince
were left in the capital to administer the country. Ma Chao was ordered to
hold Sword Pass in the east, and the old general Huang Zhong and Zhao
Yun to hold Mt. Dingjun. The field marshal remonstrated with the First
Ruler, but to the end he did not heed him. [15a] The emperor chose a day
and set out with his troops to overturn Wu.
After a month or so, the emperor reached White Emperor City and set up
five camps linked like pearls on a string. After a few days a scout informed
him, “To the east, the grand marshal of the army of Wu, Lü Meng, has
crossed the River with a hundred famous officers. His army of one hundred
thousand has made camp sixty li from White Emperor City.” The August
Emperor said, “Within two days we will go out with the army to do battle
and we will behead those bandits from Downriver Wu in order take revenge
for Lord Guan.” Outside his tent a lone man shouted, “Give me fifty
thousand troops and I will behead those bandit generals.” The emperor
recognized him as his beloved younger brother Zhang Fei. But Zhang Fei
had had too much drink, and Xuande said, “Brother, you’re old now.”
 The next day the emperor marched out with the troops and ordered
Zhang Fei to guard the camp. He repeated the Sagely Edict three times:
Zhang Fei was not allowed to join the battle. “Think of our oath of
brotherhood in the Peach Orchard,” said Zhang Fei, “we are to die
together.” He drew his sword and was about to cut his own throat, but the
emperor immediately ordered men to hold him back. Zhang Fei showed no
proper respect at all for the First Ruler, so the other officers pressed in
around him and took him back to camp. Zhang Fei looked up to heaven
and, deeply shaken, said, “The First Ruler will not allow me to take revenge
for Lord Guan!” Before he had finished speaking, a sound boomed like the
thunder and a great wind passed by, snapping in half the pole of Zhang Fei’s
banner that carried the word, “Marshal.” Zhang Fei ordered that his flag-
bearer Wang Qiang be given fifty strokes of the bamboo. That night Wang
Qiang returned to his own tent unit.
Explain that when Zhang Fei had his meal, the taste of the meat was not
to his liking, and in his cups, he ordered the cooks to appear before him. He
stared at Zhang Shan and Han Bin. After he uttered a string of curses at
them, Zhang Fei ordered that each be given thirty strokes.152
{147} That night Wang Qiang, Zhang Shan, and Han Bin were drinking
wine together and got utterly drunk so they could bear the pain. One of
them said, “Today in his stupor Zhang Fei has only picked on minor
transgressions!” These three, all unreconciled to their treatment, went to his
tent together. After they had killed Zhang Fei they picked up his head and
went off to surrender to Wu.
When the emperor learned of this the next day, he collapsed several times
from rage. He took to his bed, sick, for several days.

Lü Meng sent someone with a letter to the First Ruler. Within three days the
First Ruler led his army to square off with Lü Meng. When the latter
feigned defeat and the First Ruler pursued him and had crossed a small
river, Lü Meng turned back and again engaged him in battle. The First
Ruler was heavily defeated and his troops fought their way westward back
to confluence of the small river, but he was brought to a standstill by Lu
Xun, the grand marshal of the state of Wu. The First Ruler was defeated
again, and the troops of Wu pursued him. Forty li after crossing the river,
[15b] the First Ruler made camp and let his men cook food. The very
moment it was ready, fires started on the bank, and Lü Meng attacked from
behind. Then fires erupted on the western side, but ahead and behind they
were blocked by troops lying in ambush. They pursued the First Ruler for
three days and nights, and when he arrived at White Emperor City his
troops numbered fewer than thirty thousand.
The First Ruler nursed his illness in the Precious Woman Palace of White
Emperor City, but could not eat or drink and blood flowed from his mouth
and nose. He hurriedly dispatched someone to Xichuan to summon the
crown prince Liu Shan to come together with the field marshal and the old
general Zhao Yun. Within a month the crown prince and the field marshal
arrived. When they met with the emperor, he pulled the crown prince to him
and held the Martial Marquis tightly. As his tears coursed down he said to
the field marshal, “We almost didn’t see each other again.” Over the next
few days the illness of the First Ruler increased. He told the field marshal,
“This realm right now could only have been won with you!” He summoned
the crown prince to his side and had him bow to the Martial Marquis. The
latter wanted him to rise, but the emperor pushed him down. The Martial
Marquis protested, “This old official should be sentenced to death!” The
First Ruler said, “Field Marshal, you must have heard the story of how Dan
the Duke of Zhou carried King Cheng in his arms!” The emperor also said,
“Aji is still young and cannot yet be the ruler. If he is fit to be enthroned,
enthrone him, but if he is not fit, field marshal, you do it yourself.” The
Martial Marquis replied, “What virtue do I have that Your Majesty now
entrusts your son to me? Even if I were to kill myself, I could never repay
this trust.” The crown prince knelt down and came forward on his {148}
knees then made his bows, and the emperor said, “My son, in any public
decision make sure the field marshal agrees.” When he had said this, the
emperor passed away at the age of sixty-four.
In the second year of Jianwu Liu Shan was enthroned, and the reign
period was changed to the first year of Jianxing.

Let us now turn to speak of how the field marshal pinned down the
Emperor Star153 and had ten thousand soldiers and laborers establish a
camp twenty li east of White Emperor City where they assembled eight
piles of rocks, and on each of these piles there were eight times eight, that is
sixty-four, flags. When this was reported to Lü Meng, he led his troops to
have a look. He summoned the grand marshal Lu Xun, who was stunned.
The officers asked what it meant, and Lü Meng replied, “If one arranges
trees into formations, it corresponds to the element Fire; if it’s a formation
of weeds, it corresponds to the element Water. But a formation of rocks
creates a puzzle. Officers, don’t you see there are sixty-four flags on each
pile of rocks? According to the eight trigrams of the Duke of Zhou, I see
that Zhuge understands “‘the method for making the heavens revolve one
circuit,’” and eight hundred times ten thousand times one hundred million
star gods are present on these eight piles of rocks.”154 Lü Meng also said,
“If you are not Great Duke Jiang, Master Sun Wu, Guan Zhong, or Zhang
Liang, you cannot undo it.” Before he had finished speaking, a soldier from
the rear came to report, [16a] “Zhuge has ordered Wei Yan to make his way
through small rocky backways to plunder your main camp, Marshal.”
When Lü Meng retreated with his troops, he was pursued from behind by
the field marshal with his army. From both sides he was harassed by Ma
Chao and Guan Ping and he was heavily attacked by the Martial Marquis
from the rear. After Lü Meng crossed the River, the field marshal had a
team of four horses pull the carriage carrying the casket. Once the crown
prince and the officers had entered Chengdu Prefecture in Sichuan, the First
Ruler was buried according to the mourning stipulations for an emperor,
and masses were read for one month.

{149} A Threat from the South

A half-year after Liu Shan had mounted the throne, Meng Huo, the king of
the southern barbarians, sent a barbarian general to ask for the one hundred
thousand troops that the First Ruler had borrowed. “What are your
intentions toward us?”155 The field marshal had him entertained with tea
and food, and after half a month gave him gold and gems to send him off.
The Young Ruler asked the field marshal, “I’m afraid that this barbarian
general will come back again. How will we then handle him?” The field
marshal said, “That will be no problem.”
In the fourth month of the second year of Jianxing,156 the Young Ruler
banqueted in the Drunk on the Wind Tower, and discussed the state
business with the field marshal, “Within one year Meng Huo will field an
army of one hundred thousand in order to take Sichuan.” The field marshal
said, “I will definitely campaign and chastise those southern barbarians.”
The emperor was stunned and asked, “How?” The field marshal led the
emperor to wield the “helping scepter” in the southern direction,157 and the
emperor saw a red aura rise all the way into the Lion Palace.158 The
emperor asked, “What good or bad fortune does this portend?” Zhuge
replied, “When your father conquered Xichuan earlier, there was a Grand
Defender before the palace named Xiong Kai,159 who was unwilling to
accept the situation. The First Ruler once told me that, when he took
Xichuan, Xiong Kai beheaded the prefect of Chuan and the people all bore
a grudge against him, so he has now been appointed prefect of Yunnan
Commandery, but he’s creating trouble.”
{150} Three days later Yi Ji reported, “South of the River three garrisons
have revolted. Xiong Kai, the prefect of Yunnan Commandery, has
concluded an alliance with Lü Kai, the prefect of Buwei City, and then there
is Du Qi, the prefect of Cloud-Gate Pass as well. These three garrisons have
concluded an alliance with Meng Huo, the king of the southern barbarians
of the Nine Valleys and Eighteen Grottoes. They have all rebelled.” The
emperor was terrified and asked the field marshal what kind of strategy he
might have. The Martial Marquis said, “Meng Huo is the sole reason that
these garrisons have revolted. The First Ruler borrowed a hundred thousand
troops from him, and therefore he has risen in rebellion. I will lead fifty
thousand troops to retake the garrisons and chastise the barbarians.”
The emperor granted him authority and within half a month the Martial
Marquis had departed with fifty thousand troops and a hundred famous
officers. After more than a month he reached Yunnan Commandery and
made camp less than ten li away. On the third day Xiong Kai came out to
give battle, but he was beheaded in front of his horse by Wei Yan. [16b] The
field marshal persuaded the common people to surrender the city and
pacified them. A few days later they reached Buwei City. The prefect Lü
Kai opined, “By dividing his army into five battalions, the field marshal has
killed and harmed the common folk.” With thirty thousand troops he came
out to give battle. Guan Yu’s son Guan Suo feigned defeat, and Lü Kai
pursued him thirty li outside the city. Someone then told him, “Zhuge has
employed this plot to capture Buwei City and take your family prisoner.”
Lü Kai returned and the next day squared off with the Martial Marquis. The
Martial Marquis had men armored with swords closely guard Lü Kai’s
family on all sides. Lü Kai only said, “I may die, but I can plead for my
mother’s life.” Lü Kai was extremely filial. He dismounted from his horse,
took off his bow and arrow, and came forward to implore the field marshal,
“I will die, but please spare my mother.” When the field marshal saw how
filial Lü Kai was, he released his family.
In a few more days they reached Cloud-Gate Pass. The rebellious general
Du Qi requested a battle, and the old general Wang Ping tried to take
Cloud-Gate Pass with three thousand troops. When it had not fallen for a
few days, the field marshal decapitated Wang Ping. Embracing the corpse,
Lü Kai wept and said, “Alas, prefect, you were my countryman, and now
you have been beheaded by the field marshal.” The field marshal cursed Lü
Kai saying, “You and Wang Ping were both officers of Xichuan. Your guilt
today is not implicated in this decision.” Because his officers kept
imploring him, he released Lü Kai, but that very night the latter got on a
horse and fled with a few trusted men southward to Cloud-Gate Pass. Du Qi
allowed him into the city and they greatly cursed the Martial Marquis.
The next day the field marshal arrived and Du Qi came down from the
pass to square off with him, vilifying him in these words, “Zhuge, you are
shameless. {151} You killed our lord Liu Zhang. We are officers of
Xichuan—how can we not rebel?” After the Martial Marquis had employed
one of his strategems to nab Lü Kai and Du Qi and after he had captured
Cloud-Gate Pass, he went up the pass to reward the troops and to persuade
the common people to surrender and be brought into the fold.
After a few more days, he led his army southward to the territory of the
southern barbarians, arriving at Lu River. The overflowing streams of that
river were so hot that you could not cross. But the field marshal strummed
his zither, and the water of the river cooled itself. The field marshal ordered
his troops to cross quickly, saying, “You must have heard of the misty
miasmas of the Lu River as one of the barbarian sights. Centipedes and
pythons are the poisonous creatures of these barbarian lands.”
They made their camp no more than a hundred li after crossing the river.
Someone reported that Meng Huo challenged them to battle. The next day
they squared off against each other and the field marshal ordered Wei Yan
to ride out to do battle. The barbarian generals were soundly defeated and
Meng Huo was captured. The next day when he met with the Martial
Marquis, Meng Huo said, “The First Ruler Liu Bei borrowed [17a] a
hundred thousand troops from me, but never had a chance to give them
back to me.”
 Zhuge Captures Meng Huo Seven Times

“Bring me a hundred thousand in gold and gems and I will spare your life.”
The barbarian generals handed over the gold and gems and ransomed Meng
Huo. A few days later, when Meng Huo went off to the Temple of the
Weeping Maiden to burn incense, soldiers in ambush emerged on all four
sides to nab Meng Huo again, and again he refused to formally surrender.
Another hundred thousand in gold and gems and he was again ransomed.
The field marshal said, “In just a few days I will capture you in my tent.”
The king of the southern barbarians didn’t believe it. Zhuge had Meng Huo
lavishly treated to wine and food. When he arrived in his own camp, the
king of the southern barbarians said, “Zhuge is tough. What is his point in
releasing me several times?”
But the next day the king of the southern barbarians was laid down by
illness and could not rise. He was in great pain for three days.160 On the
third day the field marshal had Guan Ping ask why the king neither
surrendered nor gave battle. The king told him that he was suffering from
an illness. Guan Ping said, “You know, our field marshal is also very good
at medicinal cures.” The king of the southern barbarians went along with
Guan Ping to see the field marshal. The field marshal had the illness cured
with medicinal wine. After he {152} had sipped it, the king immediately
felt as he had before the illness. The field marshal asked, “Do you
surrender? Today I have captured you in my tent.” The king of the southern
barbarians refused to surrender, so the field marshal said, “I will lock you in
chains and take you to Xichuan. I will decapitate you after I have chastised
this barbarian kingdom.” Afraid to die, the king of the southern barbarians
had himself ransomed once again with gold and gems. The field marshal’s
officers told him, “That king of the southern barbarians is just a foreigner.
But you have released him a number of times.” The field marshal said with
a smile, “In my eyes this bandit is just like weeds and little seeds.
Moreover, our own country of Xichuan was also broke.”
Within a few days again the king of the southern barbarians issued a
challenge to battle. The Martial Marquis said, “Will you surrender when I
capture you this time?” When the two armies squared off against each other,
the barbarians took the higher ground and had their men scatter poisonous
drugs downhill.161 The Martial Marquis quickly dismounted, and letting his
hair flow and going barefoot, he made a sacrifice to the wind as he held his
sword. The king of the southern barbarians was in the south and the Han
army was in the north. The wind the field marshal evoked through sacrifice
began in the north, and countless numbers of the southern troops fell over
backwards. The field marshal captured the king of the southern barbarians
once more and again had him ransomed for gold and gems. The field
marshal also said, “The next time we meet in battle, I will make you
dismount from your horse with a single shout. Will you surrender then?”
The king would not credit it.
A few days after he had left, the field marshal and the barbarian army
squared off. The field marshal rode out and gave three shouts and, in the
southern battle line, the king of the southern barbarians dismounted. When
the field marshal reached the camp, [17b] the king still wouldn’t surrender.
Again he was allowed to be ransomed for gold and gems. When the king of
the southern barbarians had returned to his camp, he discussed the situation
with his officers, and they sent people to drive out tigers and leopards.
After one full month he again issued a challenge to battle, but the field
marshal had a grasp of what he was up to. Within five days the armies
squared off and the king ordered his men to drive out those tigers and
leopards. As soon as the field marshal gave one shout, it brought forth a
thousand men who lined up behind him, one hand holding a shield and one
hand raising their swords—this is called “the shield against the southern
barbarians.” This stirred up the tigers and leopards and they became
frightened. The field marshal had the cymbals all sounded at once from
behind them, and again he captured the king of the southern barbarians.
And again he received five hundred thousand strings’ worth of gold and
gems as ransom. When the king had returned to his camp, {153} his
officers deliberated, “If he captures you again, will Zhuge be willing to set
you free?” The king replied, “I don’t ever want to see Zhuge again.” That
night the king of the southern barbarians slipped away down the southern
bank of the Scorching Red River, and settled fifteen li away at Reed Pass.

Later tell about the field marshal thinking to himself, “If these barbarian
bandits do not surrender they will cause trouble in the future.” The field
marshal wanted to cross the Scorching Red River with his army, but the
heat was unbearable. They all lost their hair, and wore seven-layer turbans.
The field marshal marched on for several more days, but it was so hot they
could not go on. The Martial Marquis said again, “The Scorching Red River
is three li wide bank to bank and a hundred feet deep. It’s like quenching
your thirst by looking at a plum.”162 So again he strummed his zither.
Right there, in the middle of the sixth month of the second year of
Jianxing,163 heavy snow fell, and during that interval the army reached the
Scorching Red River, but it was so deep and wide that they had no way to
cross. The field marshal ordered his men to make huge kites and they
crossed the river on the wind and touched down at Reed Pass, precisely
where the king was staying. The king of the southern barbarians said,
“Zhuge is no mortal man, he is a celestial divinity.” He invited the field
marshal into Reed Pass where he entertained him for a couple of days. He
presented him with ten carts of gold and gems and, breaking an arrow, he
swore an oath that in his lifetime he would never again rebel against the
Han. The field marshal also said, “I spare your life. And when I write you a
letter, no more than five years hence, you will have to travel all the way to
Mt. Qi to come and rescue me.”

The Threat from the North

The Field Marshal Sets Out from Mt. Qi Six Times164

Speak now of the field marshal taking his army back to Sichuan where,
after they arrived in Chengdu Prefecture in Yizhou, he rewarded his troops
and comforted the common folk.
Later, halfway through the second month of the fifteenth year of
Jianxing,165 the prefect of Sword Pass reported to the Son of Heaven that
Emperor Wen {154} had ascended the throne.166 In the fourth year of the
Qinglong reign period,167 Emperor Ming of the Wei appointed Meng Da as
grand marshal. Leading fifty thousand troops he set his camp forty li from
Sword Pass, with the intention to conquer Xichuan. The Young Ruler and
the field marshal discussed leading fifty thousand troops and a hundred
famous officers to set their camp [18a] ten li east of Sword Pass.
Zhuge had a trusted servant deliver a letter to Meng Da. When Meng Da
opened the letter to read, it said,

You, grandee, are a man from Xichuan. It was not your fault that
Yunchang was earlier brought down in Jingzhou. It was all due to the
 adopted son Liu Feng, who already has been sentenced. The graves of
your ancestors, your village, and your land are all located in Xichuan.
You must have heard that a bird from Yue builds its nest facing south,
and that horses from the steppe will whinny toward the north.168
Grandee, if you bring your allegiance back to Xichuan, how can you not
be appointed to high office? I will serve as your guarantor, so you will be
ranked among the senior grandees.

Meng Da said with a smile, “The field marshal is right.” He immediately

wrote a letter back to Zhuge. But a few days later Meng Da’s second in
command, Zhang Sheng, dispatched a report to the Wei emperor, who
appointed Sima Zhongda as grand marshal to lead a hundred thousand
troops to Sword Pass in the southwest. When Meng Da learned of this, he
sent another letter to Zhuge,169 but Zhuge did not come even though Sima
Yi was getting close. When Meng Da again wrote a letter to Zhuge and
Zhuge still did not come, Meng Da grasped his intention, and said, “One of
Zhuge’s tricks!” He then committed suicide by hanging himself.
After Sima’s army arrived, he and the field marshal were at a standoff for
half a month. Then one day an envoy arrived to report that Emperor Ming
had passed away and that his younger brother, Cao Fang, had been
enthroned and had changed the reign period to the first year of Zhengshi.170
Sima Yi then returned with his troops.

{155} Next tell that when the field marshal had been encamped there with
his troops for one month, he led his army to a place more than a hundred li
from Sword Pass because he wanted to conquer the area known as West of
the Pass.171 This was the first time he set out from Mt. Qi toward the east.
The field marshal said, “Ahead of us we have the territory of Qinchuan.172 I
see that for an area of a hundred li square there are no grasses or trees at all.
So before the army can advance, grain and fodder will have to be brought
in. When the army crosses the trestle way wishing to conquer the area to the
west of the pass, it will follow the grain and fodder. How can I otherwise
conquer Qinchuan if there are no grasses and trees at all?” By the side of
the road he saw a fortification built by the King of Wei. When the field
marshal had observed Qinchuan, he sent someone to ask the neighboring
farmers, “What is the name of the military officer guarding the pass in
Qinchuan?” They answered, “His name is Jiang Wei, and he is also known
as Boyue. Earlier he was the military commander of Qinchuan but later, on
the recommendation of officials and the common people, he became the
prefect of Qin.” The field marshal said, “So, it turns out he is a capable
man. ‘This is a person who can be instructed.’” The field marshal then
returned to Sword Pass.

Zhuge Constructs Wooden Oxen and Streaming Horses

From everywhere he summoned carpenters who constructed wooden cattle

and streaming horses,173 more than three hundred in total. The field marshal
entered the pass, and for a second time set out from Mt. Qi. [18b] He
proceeded to a spot forty li from Qinchuan were he made camp.
A few days later Guan Ping led three thousand troops to reconnoiter in
Qinchuan. When he arrived at a forest, he dismounted and thought to
himself, “The field marshal called Jiang Wei a capable man.” When Guan
Ping ordered his men to cook their food, Jiang Wei arrived with his troops
to attack Guan Ping. But Jiang Wei gathered his troops back in and entered
the city.
After a few days he saw the wooden cattle and streaming horses. Jiang
Wei said, “Even the Great Lord174 or Guan Zhong could not have
accomplished this!” He then saw Zhuge’s wooden cattle and streaming
horses pass his city, {156} and ordered Zhang Zhong to capture them. But
when Jiang Wei left the city, he found his way blocked by Wei Yan. Using a
trick, the field marshal captured Jiang Wei and also conquered Qinchuan.
The field marshal saw that Jiang Wei’s appearance was extraordinary as
were the surrendered troops and officers they had seized. Jiang Wei honored
the Martial Marquis as his father.
A few days later the field marshal led his troops to Jieting Pass—
Xichuan could be taken any day! His army remained encamped there for
three months but was clueless about how to capture the pass.
Then one day the senior grandee Yi Ji sent someone with a letter all the
way to the field marshal.

Go on to say that when that private letter written by the grandee had been
read by the field marshal, he hastily ordered his servants to prepare his
luggage. The next day he called Jiang Wei in to tell him, “I have to go back
to Chuan. I have to go in all haste because I am afraid Xichuan may be
lost.” Then he whispered something in Jiang Wei’s ear. After Jiang Wei had
agreed to the scheme, the field marshal set out on the road. When Jiang Wei
took command, he said, “The field commander has told me the scheme.”
And, the next day he led his troops to a location west of Jieting where they
made camp.

Next tell that the officer guarding the pass at Jieting was the old general
Xiahou Dun, who said, “Jiang Wei has moved his camp to thirty li west of
Jieting. It is a narrow valley, only three hundred paces wide and a hundred
li long from south to north. That is a dangerous place to make your camp. I
fear only Zhuge. Whoever heard about this stupid little boy, Jiang Wei?”
That night he led his troops in a surprise attack on Jiang Wei’s camp. But
there was no one in there. Then soldiers hidden in ambush emerged on all
sides. Wei Yan and the other officers gave Xiahou Dun’s army such a
beating that they fled straight west. When Jiang Wei later occupied Jieting it
turned out that Xiahou Dun had fled in the melee.

Next relate that when the field marshal arrived in Chengdu Prefecture, he
was welcomed by all officials. With sword in hand the field marshal entered
the inner apartments and straightaway ascended the palace hall. There he
saw the [19a] Young Ruler sitting side by side with the eunuch Huang Hao
and having a good time. The field marshal gave a shout as loud as the
thunder, and roundly cursed Huang Hao, “How dare you, a eunuch
servant!” In a panic Huang Hao rose to his feet. Only after the field marshal
had given orders to lock him in chains did he formally greet the Young
Ruler with the prescribed rituals. The Young Ruler was at a loss about how
to answer and simply said, “I wasn’t aware that you had arrived.” Zhuge
took formal leave of the emperor and went to his house.
{157} When the next morning the civil officials and military officers had
assembled for the morning audience, the field marshal looked up to heaven
and, deeply shaken, confronted the emperor, “And then I remember how the
First Ruler gathered troops and defeated the Yellow Scarves—their saddles
never left their horses, their armor never left their bodies; for over thirty
years. This went on until he could take Chuan—this castrated slave was
about to undo it.” The field marshal also said, “Your Majesty, you must
have heard how Emperor Ling favored the Ten Constant Attendants, and
because of those castrated slaves the empire was undone. It’s not that I want
to bully you, but the late emperor entrusted Your Majesty to me. After my
death the loss of the empire will be Your Majesty’s fault, but as long as I am
alive, the loss of the empire will be mine. Just think about the times of Wu
and Yue—because of that beauty Xi Shi, they did not lay down their armor
for twenty years. If Your Majesty loves a castrated slave, historians will
vilify your name for ten thousand generations.” The Young Ruler had no
way to answer but simply wept grieviously in front of the ancestral tablet of
his late father. After the officials and officers had made their prescribed
bows, Huang Hao was taken to the marketplace and sliced into ten thousand
pieces, while his relations were cruelly executed. The Young Ruler offered
his apologies to the field marshal, and the latter replied, “I did this on behalf
of my lord’s empire!” The emperor set out a banquet and after a few days
the field marshal mounted his horse and went out through the pass. This
was the third time he had set out from Mt. Qi.

The Song “Daoist Nun,” in the Mode of Zhonglü

Hot at dusk, cold at daybreak—

Thrice visited in the thatched cottage:
A man of such great integrity is rare indeed!
Like a cock pecking at its food;
Like a fish finding its stream:
Such nobility that the crowd will never reach.
All alone he went to Dangyang,
Was besieged in Ravenwood,
And greatly crushed Cao Cao at Red Cliff.
He pacified Jing and Chu,
Conquered Xichuan,
And at Mt. Dingjun put Xiahou Yuan to an early death.

Entrusted with the orphan, yielding the throne,

He reestablished peace with the state of Wu;
{158} Seven times he captured Meng Huo—how miraculously!
He subdued Jiang Wei
He was a model of a teacher—
Because of the ingenuity of his wooden cattle and streaming horses!
 He morally transformed Dingshan and Rongguo,
Decapitated Wang Shuang,
And made good use of Zhang He and Sima Bao.
How could he know that over the autumnal plain
Only evening clouds and withering grasses would remain.

Later There Was Also a Temple Encomium by Su Dongbo,

Inscrutable as gods and ghosts

As rapid as wind and thunder:
When advancing he could not be stopped,
When retreating he could not be pursued. [19b]
During daylight he could not be attacked;
During nighttime he could not be surprised.
If he was with many, he could not be withstood;
If he was with only a few, he could not be bullied.
In front and behind he understood the situation;
To the left and the right he gave his orders.
He moved the nature of the Five Elements;
He changed the climate of the Four Seasons.
A man? A god? Or an immortal?
I do not know: he was a true Recumbent Dragon!

Now speak about the field marshal who arrived in Jieting after several days
and asked the officers about the situation. Wei Yan and Jiang Wei had
defeated the Wei army and conquered Jieting; the field marshal was very
pleased.

Go on then to speak about how the old general Xiahou Dun went to
Chang’an where he was received in audience by the emperor, Cao Fang.
The latter appointed Sima Yi as grand marshal and he arrived a month later
in Jieting, at the head of two hundred thousand troops, setting his camp
some fifty li away. Sima Yi did not know Zhuge, and for half a month they
were at a standoff. Guan Ping came to challenge Sima Yi to battle but he
was soundly beaten. And when Lü Kai challenged Sima Yi to battle, he was
also soundly beaten {159} a number of times. Sima said, “I heard that
Zhuge is famous throughout the world, but now he is old!”
One day when Zhuge squared off with Sima Yi, Zhuge was heavily
defeated, and the Wei troops pursued him more than forty li from Jieting
until he entered Mt. Qi. They were blocked in front by Wei Yan, by Zhuge
in their rear, by Jiang Wei to their left, and by Yang Yi to their right.
Soldiers hidden in ambush emerged from all directions. Zhuge battled the
Wei army for a full day and night and, from the original one hundred
thousand troops, no more than three thousand made their way back. Sima
Yi was forced to change his battle dress so that he could flee! Sima Yi made
camp at eighty li from Jieting but dared not even contemplate looking at the
place.

Now our story divides into two.

Let us go back and tell how, in Chengdu Prefecture in Yizhou as the

emperor sat in court, a senior grandee said, “Zhuge has rebelled in Jieting!”
The emperor questioned his civil officials and military officers, saying, “If
the field marshal has rebelled, Xichuan cannot take responsibility for
itself!” Yi Ji said to the emperor, “The field marshal will not rebel. Have an
envoy go and summon him. If the field marshal comes, he has not rebelled;
if he doesn’t, he has rebelled.” When the emperor sent an envoy to summon
him, Zhuge came to court to see the emperor, who told him the whole story.
Zhuge said, “This must have been a trick by Sima Yi.” The emperor nodded
his head, “Your words are right on the mark.” The emperor banqueted him
for several days.
The field marshal again set out from Mt. Qi: the fourth time. He
proceeded to Gemao Pass, which is also known as Jieting. Fifty li before he
reached the pass all the officers welcomed him, and he went on another
forty li then made camp. When Zhuge asked them what had happened in
Jieting, [20a] the subordinate officers Yang Yi and Jiang Wei said, “Ma Wei
lost Jieting.” Zhuge was greatly upset, “This is an inaccessible location—
how could he lose it?” Jiang Wei replied, “Ma Wei was in his cups, and
when Sima Yi issued a battle challenge, Ma Wei wanted to fight him. Wei
Yan tried to dissuade him, but was repeatedly vilified, and none of the other
officers could make him change his mind either. Ma Wei also cursed the
prefect, telling him, ‘The field marshal is my fellow townsman. Even if I
would lose the city, it wouldn’t matter.’ The Wei troops first encircled Ma
Wei, and when we went out to fight them, we lost Jieting.” The field
marshal ordered Ma Wei summoned for questioning, and when Ma Wei
could say nothing in his own defense, he had him pushed outside and
ordered him beheaded.

{160} Zhuge Decapitates Ma Wei

The officers failed to change his mind and Ma Wei was beheaded.

Now tell that Zhuge repeatedly tried to capture Jieting, but without success.
He then took a woman’s dress and hair ornaments, and called to Sima Yi,
“Hey hero, come on down from the wall!”175 But Sima Yi, seated in armor,
did not come out of the city to fight. This standoff lasted half a year.
One day his spies informed him that the emperor’s father-in-law was
visiting the border. Sima Yi hastily led his officers to welcome him to the
city. This man was the Wei general and emperor’s father-in-law Zhang He,
and they banqueted for half a month.
One day the Martial Marquis led three thousand troops with light bows
and short arrows, all well-tested men on fine horses. The field marshal
himself rode in a plain carriage and sent someone to curse Sima Yi. Zhang
He said, “You are a famous general of Wei, and when Zhuge curses you,
there are no officers who dare ride out?” Sima replied, “There are none who
can match Zhuge.” But Zhang He was in his cups and left the city with
thirty thousand men, even though Zhang Yi warned him, “Grand Teacher,
you’re too old!” But Zhang He said, “I came here at the order of the Sage.
When Zhuge challenges you to battle, grand marshal, if you do not go out,
you weaken the authority and power of the house of Wei!” The officers
could not change his mind and he departed to square off with the Martial
Marquis. The Martial Marquis was soundly defeated, and Zhang He’s army
pursued him for several li. When he saw that the Han troops had all
dispersed, Zhang He was at the forefront of his army when the Martial
Marquis leaned over to look back.

Zhang He Is Shot and Killed by a Hundred Arrows

Zhang He died in front of his army. Minister Sima attacked the Martial
Marquis, but he had Yang Yi at his back, and with this trick they captured
Jieting. Sima Yi made camp sixty li to the northwest of Jieting and looked
at Jieting like a tiger.
This standoff had been going on for some days when the field marshal
was informed that a secret summons had arrived at the border. After he had
read it, he left Jiang Wei in command and hurried on horseback to the court.
[20b] When he arrived in Chengdu Prefecture and saw the emperor, he was
told, “Sun Quan of the southern bank of the River has died, and Sun Liang
has {161} become the ruler of Wu, changing his reign period to the first
year of Jianxing.” Zhuge proposed to the emperor, “Send the senior grandee
Yi Ji with ten thousand strings’ worth of gold and gems to the area of
Jiangnan to offer condolences.” He also said that he feared that Wu might
cause trouble. After he had been treated to imperial banquets for a few days,
he bade the emperor farewell and went east to Sword Pass. Once again he
set out from Mt. Qi—the fifth time. The field marshal went to Jieting.

Next tell that Sima Yi had taken his formal seat in his tent and discussed the
situation with his officers. The grand marshal said, “From past to present no
one has seen a marshal like Zhuge. There is nothing that can be done
against him!” Again in a few days, the grand marshal and his troops were
marching three li from his camp, when he saw the Han general Zhou Cang
transporting grains with wooden cattle and streaming horses. He sent the
infantry general Deng Ai with three thousand troops to capture ten or so of
these wooden cattle and streaming horses. The grand marshal ordered the
carpenters in his camp to take them apart to measure their size and shape.
Then following the pattern, they built several hundred of them. But when he
had people raise a wooden mallet and hit them, they would only move a few
paces. Sima Yi said, “Zhuge’s wooden cattle and streaming horses go three
hundred paces every time they are hit and they get on the road to transport
grain, but in my camp I only hear the bengbeng as they are beaten, but still
they don’t move. What kind of special method does Zhuge have?”
In a few more days he saw the escorting general and three hundred troops
come to the front of his camp. Zhou Cang was in his cups and shouted to
the grand marshal, “The field marshal has told me to deliver a letter
challenging the grand marshal to do battle; he will meet you in the field to
see who is the winner. If you don’t want to fight, you should surrender. You
are a famous general of the state of Wei, why do you close up your gates
and stay inside?” The grand marshal said, “Zhou Cang is in his cups!” and
ordered his servants to get wine for Zhou Cang, who drank till he was drunk
as a skunk. Sima said, “I will give you plenty of gold and gems and money
and treasure. If you beat them once with a mallet, Zhuge’s wooden cattle
and streaming horses will go three hundred paces, but the wooden cattle and
streaming horses that I made only move a few paces when you hit them.
Tell me what method he uses and I will give you millions of strings’ worth
of gold and gems so your whole family can live in wealth and glory.” Zhou
Cang said with a smile, “As for the field marshal’s wooden cattle and
streaming horses—when the men raise their mallets they all recite the
Wooden Cattle Streaming Horses Sutra.” He also said, “Those who beat the
wooden cattle and streaming horses are all under my control. Tonight when
I go into the camp, grand marshal, I will copy out that Wooden Cattle
Streaming Horses Sutra for you.” [21a] Sima was greatly pleased and he
gave {162} Zhou Cang thirty strings’ worth of gold and gems and two fine
horses. “Zhou Cang, if you make a copy for me, you will live in
indescribable riches and glory.”

Zhou Cang returned on the third day. Sima received him hurriedly, and told
his servants to take the text from him. After Zhou Cang left, Sima took it
and read it, he was flabbergasted: it was in the Martial Marquis’ own hand
and spelled out,

Of all generals since ancient times not even five have been able to
construct wooden cattle and streaming horses. How can future
generations not laugh at you, a famous general of Wei, wanting to learn
the Wooden Cattle Streaming Horses Sutra from me.

Sima tore the piece of paper to shreds.

The Death of Zhuge Liang

In the seventeenth year of Yanxing176 the Young Lord summoned Zhuge,

saying, “Xichuan is suffering a terrible drought but the Washing Brocade
River has overflowed its banks.” When Zhuge looked at how much the
water had risen, he grasped it portended misfortune. Spurring his horse on,
Zhuge hurried to the court to meet with the emperor. All the useless goods
that had been made in the palace were sold in the market, the gold and gems
that filled the storerooms were given to the officials, and the useless objects
there were also sold in the market in order to purchase grain and fodder. In
a few days he had acquired rice and grain beyond counting. One half was
stored in the imperial capital city and one half was stored at Mt. Dingjun,
where a trusted follower guarded the stores.
When he saw the place called Gold Sand Confluence where the Brocade
Washing River joined the River, the two banks were more than ten li apart:
from east to west it was a hundred thousand feet. But when the field
marshal sent men to probe the depth of Gold Sand Junction, it was less than
ten feet deep. The field marshal thought to himself, “The next time I set out
from Mt. Qi those bandits from Downriver Wu might cause problems.” He
established foundries at fifty places, some for bronze and some for iron, that
were to produce a hundred long pillars. On top of each of these pillars was a
large eye. {163} He also had stone workers produce five hundred stone
pillars, and he had iron workers produce iron chains with links of one inch
in diameter, and they made a few hundred of these. Fifty thousand people
were employed in the production of these articles in bronze, iron, and stone.
They worked as one and finished in a year and a half. When put into place,
these pillars covered an area seven li wide from north to south and twenty li
long from east to west. And they were all connected with iron chains.

This Was Called the Iron Chain Defense Pond

On the northern and southern banks he stationed twenty thousand troops

and four famous generals to guard this strategic entry, because he was
secretly afraid that Wu would send its troops and horses into Chuan
territory.
When the field marshal had returned to Chengdu Prefecture in Yizhou to
see the emperor, the latter [21b] treated him to an imperial banquet for
several days. The field marshal said, “Now I want to seize the area of
Guanxi and Chang’an in order to restore the Great Han.” The emperor was
delighted. When they were half drunk, Zhuge suddenly collapsed on the
floor, blood streaming from his mouth and nose. The emperor was terrified,
and the civil officials and military officers helped him up. Zhuge explained,
“From the time I left my thatched cottage forty years ago, I have
campaigned on behalf of Your Majesty against Wu and fought with Wei,
and this has all broken my one-inch heart into ten-thousand pieces.” The
emperor said, “Do not try to seize Guanxi. I implore you, field marshal, to
summon the border troops back to Chengdu Prefecture.” But Zhuge
protested, “That is impossible! We will be the laughing stock of later
historians! Your Majesty should imitate Yao, Shun, Yu, and Tang, not Jie
and Zhou. If we lose the empire, ten thousand generations will curse our
names. This year I want once again to try to take the area of Guanxi. If I
don’t, I will not return.” The Young Ruler tried everything he could to make
Zhuge stay, but he stubbornly refused, so the emperor could only see him
off.

Next speak of Zhuge setting out eastward for Sword Pass. As his wife bade
farewell and was about to go back, Zhuge said, “I have a son but he is an
incompetent weakling, and I am afraid that if he takes office he will stain
my clear name. We have eight hundred mulberry trees and fifty qing of
fields, and that should be enough to make a living.” Zhuge and his wife said
goodbye, and then he set out eastward from Mt. Qi with a line of a hundred
carts.
After Zhuge had been on the march for a several days, Sima Yi learned
about it, and he lay troops in ambush who suddenly emerged on all sides,
but the field marshal had the carts form a carré, so the troops of Wei could
not get near. A few days later Jiang Wei led the officers in welcoming the
field marshal {164} into Jieting. For a full month he repeatedly sent battle
challenges, but Sima never came out. Zhuge thought, “Sima has made a
long-term camp at the foot of a pagoda and over half a month his troops
have been on the march, wearing their armor and keeping their padded
battle dress on—so many of them must be suffering from sores.” He
ordered Jiang Wei and Yang Yi to surprise the camp, and they fought so
valiantly that Sima Yi’s fifty thousand troops dispersed in all directions.
The field marshal said, “A heavy rain will fall.”177 He quickly ordered the
men to get out oiled capes and umbrellas. That heavy rain fell for over a
day before it stopped.
Zhuge led three thousand troops and several famous officers down Jieting
for a secret trip. When Jiang Wei asked him why, the field marshal
whispered in his ear and told him, “My own Great Year and my major and
minor cycles all coincide.”178 When the field marshal had led the three
thousand troops under his command about a hundred li from Jieting, they
came to a large tree, to the west of which they saw a farm. A messenger
called out a woman and Zhuge asked directly, [22a] “What district controls
this place?” The woman replied, “Fengxiang Prefecture of Qizhou on Mt.
Qi. This is Granny Huang’s Inn.”179 And when he then asked her, “Has it
rained a lot this year?” she replied, “How can it it not rain heavily when a
Recumbent Dragon ascends to heaven?” The woman also said, “Sir, don’t
blame me, you must have heard the old saw, ‘When the lord dies at White
Emperor, the vassal will die at Granny Huang’s.’” The field marshal
remembered then that such a saying did exist. When he also asked for the
name of the high mountain to their west, the woman said, “It’s the Autumn
Wind Fifty Feet Plain.” When she had said this, the woman turned into a
breeze and disappeared, nobody knows where.
The field marshal

Ascended Autumn Wind Fifty Feet Plain to the West

and his troops established camp there. The field marshal thought to himself
that the words of that old woman were so inauspicious and he could not get
{165} them out of his mind. He also considered that Sima Yi, who was so
skilled at waiting things out, was in fact made of the stuff of generals.
The field marshal was laid up with illness for more than a month and
neither the acupuncture needle nor herbal simples could cure him—blood
flowed from his mouth and nose. Jiang Wei asked his teacher-father, “You
are so adept at medicine. How come you cannot cure your own disease?”
Zhuge replied, “From the time I left my thatched cottage at the age of
twenty-nine, I have exerted my heart for my ruler for over forty years
before we managed to conquer Chuan. This shattered my inch-square heart
into ten thousand pieces.” Suddenly they heard a commotion outside the
gate of the camp, and when Jiang Wei went out to have a look, he saw Wei
Yan who entered and said, “If something is wrong with the field marshal, I
will look after his seal and tally.” The field marshal didn’t say a word, but
called Wei Yan over and said, “General, it was only thirty years ago that
you submitted to the Han, and then only after Jingzhou had subdued the
four commanderies to the south of the River. Yet you have repeatedly
established great merit for our state. Wei Yan shall be marshal and wear the
seal after I die.” Wei Yan then left happily.
After another few days he called the Great Defenders Yang Yi, Jiang Wei,
and Zhao Yun to his side. Weeping, the field marshal implored them,
“Please take my remains back to Chuan when I have died.” These men all
shed tears.
That night the field marshal, supported by a soldier, held his seal in his
left hand and raised a sword with his right; he unbound his hair, and lit a
lamp. He used a bowl of water and one black chicken, which he put in the
bowl, and so he fixed the General Star. When the Martial Marquis had
returned to heaven, Jiang Wei hung up a spirit picture of the former ruler
and beheaded Wei Yan. There is a poem later that may serve as evidence,

Where does one seek the shrine of the Prime Minister?

Outside the Brocade Official’s City in a dense grove of cypresses.
Darkening the stairs, green grass turns naturally to the color of spring;
Separated by leaves, yellow orioles sing sweet songs in vain.
Repeatedly importuned by triple visits: [22b] a plan for all-under-heaven;
Establishing the enterprise under two rulers: the mind of a seasoned vassal.
But his army not yet victorious, he succumbed first,
Forever causing the tears of heroes to saturate their lapels.180

Zhuge’s army began to wail as one and their lamentations shook the earth.
The common people hastened to inform Sima Yi, telling him that the
Martial Marquis had died.
{166} When Sima Yi heard this, he came with his troops to steal the
corpse of the Martial Marquis. The two armies immediately squared off.
Sima said, “The only one I feared was the Martial Marquis. Now that he is
dead, you should leave his corpse behind. If you don’t, not a single piece of
armor will return!” Enraged, Jiang Wei spurred out on his horse, drew his
sword, and straightaway took on Sima. The two men engaged in battle, but
after a few rounds Jiang Wei was defeated and fled. When Sima pursued
him, the cymbals sounded, and from the flanks a division of soldiers
attacked him: this was Yang Yi. Sima could not stop him and fled in retreat,
but troops hiding in ambush sprung up on all sides. Sima was heavily
defeated and lost half of his men. When he had returned to his camp, he
dared not come out anymore. In Chang’an the people said of him, “Even a
dead Zhuge can set a living Zhongda to flight!” When Zhongda heard this,
he smiled and said, “I took his measure when he was alive, but how could I
do so in death?”

Let us go back now and tell how the generals escorted Zhuge’s casket back
to Sichuan. The Han emperor welcomed the cortege and gave himself over
to lamentation, his painful weeping never ending. He immediately selected
a grave tumulus and buried him, erecting a temple in which to offer
sacrifice. He ennobled him as the Loyal and Martial Marquis. When the
common people heard about it, it was as if they had lost their own parents.
In administering the people, the Martial Marquis was sparing with
mutilations and fines and imposed only light taxes and corvées; in
commanding the troops, his rewards and fines were strict and his
commands and orders were clear. That’s why both the military and the
people loved him.

Now back to speak of that Sima Yi, who led his troops to have a look at
Zhuge’s barracks and camp, and sighed, “The most extraordinary talent of
our world!” Thereupon he composed a dirge and offered sacrifice. That
night, after a fierce storm had passed, he saw a divinity who said, “The field
marshal has sent me with a letter.” When Sima took the letter to read it, its
message was roughly as follows,

I may have died, but Heaven’s Mandate for the Han has another thirty
years to run. If the Han disappears, the Wei also will be exterminated,
and the Wu will follow. Your lineage is bound to bring about one
reunification. But if you stick to your delusions and commit outrageous
actions, disaster will strike you!

When Sima had read this he had a mind to pay no attention to it. But the
divinity gave a loud shout and Sima said in the most humble way, “I will
follow the order of the field marshal.” The divinity then pushed Sima to the
ground, {167} who wanted to shout but couldn’t. When he woke up, it had
all been a dream. This is why each time Sima would establish his
boundaries he never crossed swords with the Han.
Karma Fulfilled: The World of the Simas

[23a] Sima returned to the court where he found the ruler of Wei’s
incompetence and stupidity increasing day by day. He was unable to put
him on the proper path. The Great Prime Minister Cao Shuang usurped all
authority. Sima subsequently mobilized his troops and executed Cao
Shuang, deposed the King of Wei, and enthroned the Duke of Gaogui.181
Sima Yi’s power grew and the emperor could not restrain him. The emperor
plotted with others to kill him but, when Sima found out about it, he sent Jia
Chong to kill the emperor. He then enthroned the young emperor,182 and all
authority over the empire rested with Sima. The young emperor could only
sit with folded hands. Subsequently he ennobled Sima as Prince of Jin and
then ceded the throne to him, who appointed the young emperor as Prince
of Chenliu. When Emperor Xian of the Han heard of this, he laughed until
he died.
The Prince of Jin sent Deng Ai and Zhong Hui into Sichuan in a
campaign against the Han. The grand marshal of the Han, Jiang Wei, was
on a campaign against the state of Xiliang. For this reason Deng Ai’s army
quickly entered Sichuan. When the Han emperor wanted to surrender, his
Prime Minister Wang Zhan183 admonished the emperor, saying, “We should
make fathers and sons, prince and vassals fight together with their backs to
the wall, to die together for the sake of the altars of the land and grain, so
that we might be able to see the Former Emperor. Why would you want to
surrender?” But the emperor did not heed him. Wang Zhan performed a
sacrifice and wailed in the temple of the Shining and Valorous Ancestor of
the Han.184 Then he first killed his wife and children, and next sliced his
own throat. The Han emperor ordered all of his border generals to
surrender. When Jiang Wei received this edict, he and the other officers
were furious. He cleaved a rock with his sword, but had {168} no other
option but to surrender. The Prince of Jin appointed the emperor of Han as
the Prince of Fufeng Commandery. But Liu Yuan, a son of a daughter of the
emperor of Han, escaped, and fled to the north.
Later Sima Yi led the great generals Wang Jun and Wang Hun in a
campaign against Wu. Wu was defeated, and Sun Hao, the ruler of Wu,
surrendered to Jin. Emperor Wu summoned Sun Hao to a banquet. That
villainous minister Jia Chong asked Sun Hao, “I have heard that south of
the River you gouge out people’s eyes and flay people’s skins—now what
kind of punishments are those for?” Sun Hao replied, “Those are the
punishments applied to ministers who slay their rulers and for disloyal
sycophants.” When Jia Chong heard these words, he felt deeply ashamed
and desisted.
Liu Yuan stood out as exception from his earliest youth. He venerated
Confucianism and honored Daoism; he was widely read in the classics and
histories and had studied military affairs. When he grew up he was an
excellent shot with his gibbon’s arms, and his strength surpassed others, so
many brave men gathered around him. His son Liu Cong excelled others in
daring courage. He was widely conversant with the classics and histories,
was an excellent writer, and coud bend a bow of three hundred pounds pull.
Noted men in the capital all associated with him, and he assembled around
him tens of thousands of the bravest and finest men from the Zuoguo Area.
Many in the empire reverted their allegiance to him.
Liu Yuan said to these men, “The Han possessed the empire for a long
time and the people are still attached to them because of their grace. I am a
grandson of the Han too, so why should I not take revenge for my mother’s
family that has been enslaved by the Jin?” Thereupon he adopted his
mother’s family name, called himself Liu, and established a state called
Han.185 He subsequently followed the example of his Han ancestors and
called himself King of Han, and changed the reign period to Yuanxi (304–
307). He posthumously honored Liu Shan as the Filial and Caring August
Emperor, made soul tablets of the Three Progenitors and Five Ancestors,
and offered sacrifice to them. He ennobled his wife of the Huyan clan as his
empress. Liu Xuan served as minister, Cui Wu as censor, Liu Hong as grand
defender, Wei Long as chamberlain for dependencies, Zhu Yuan as
chamberlain for ceremonials, and Chen Da as gate attendant, while his
nephew Liu Yao served as Jianwu general. In the first {169} month of the
third year (307) he moved his capital to Pingyang Prefecture in Shanxi and
ascended the imperial throne.
Now after Emperor Wu of the Jin had passed away, Emperor Hui of the
Jin was enthroned but he was an idiot. When he heard the croaking of frogs
in the imperial park, he asked his servants, “Do these frogs croak for public
reasons or for private matters?” This was how feeble he was and so ignorant
of the world. His empress was a daughter of Jia Chong. She was lascivious,
jealous, and barren. She sent her underlings out of the palace, and when
they would see any young men in the marketplace who were handsome,
they would dress them up as women and take them into the palace, where
she would have sex with them. Once her desires were satisfied, she would
kill them. Because of this, the country descended into chaos. When
Emperor Hui died, Emperor Huai was enthroned.

Let us now speak of how the King of Han first campaigned against the Jin,
leading an army two hundred thousand men strong against Jin at Luoyang.
Emperor Huai of the Jin came out of the city to meet him in battle but was
defeated. When the Han troops captured him, they killed him and sacrificed
him in the temple of Liu Shan.
Then there was Emperor Min of the Jin, who ascended the throne in
Chang’an. The King of Han dispatched Liu Yao against him, captured
Emperor Min of the Jin, and then married Emperor Hui’s Empress Yang.
Subsequently he sent the Jin emperor to his capital, Pingyang. The King of
Han subsequently annihilated the state of Jin and ascended the throne of the
emperors of Han. Subsequently he paid his respects in the temple of Gaozu,
and also in the temple of Emperor Wen of the Han, in the temple of
Guangwu of the Han, in the temple of the Shining and Valorous Emperor,
and in the temple of Liu Shan, the Caring Emperor of the Han, offering
sacrifice, and he proclaimed a general pardon for the empire.

The lord of Han weak and cowardly; Cao and Wu both hegemons:
The Shining and Valorous Hero established his imperial capital in Shu.
Sima Zhongda pacified the Three Kingdoms,
But Liu Yuan restored the Han, solidifying the august enterprise.

The New and Completely Illustrated Plain Tales: Records of the Three
Kingdoms, Part III. The End.

_____________________________
110. This was a camp that was surrounded by chevaux-de-frise, and had a protective circle of men
armed with lances inside its circumference. This provided a well-fortified and protected area, or
headquarters, inside a larger military encampment.
111. In the Sanguo zhi, Zhou Yu perishes in Baqiu, which is located southeast of Jingzhou, as he
returns from the capital to make preparations for his campaign against Xichuan. In the Sanguo yanyi,
he dies in Baqiu while trying to lure Liu Bei out of Jingzhou in order to capture him. This text retains
the place name of Baqiu, but since the text has Zhou Yu going westward for five days after entering
the border of Xichuan, it is a good example of how freely the Plain Tales adapts, changes, and
recontextualizes time, place, and people.
112. When a great commander dies, the General Star drops from the sky as a meteor. By pinning
down the General Star in its position Pang Tong hopes to mislead enemy diviners into believing that
Zhou Yu is very much alive. On the eve of his own death Zhuge Liang will also perform this ritual so
his enemies will believe he is still alive even after his death.
113. Conventional symbolic actions of submission.
114. While the text here simply says shi bing da dao , this may refer to the well-known
swords called chang bing da dao . On the other hand, it is quite common to drop the
numeral “one” before a measure word (bing).
115. We assume here that there is some form of magical battle of wits: Pang Tong had somehow
made the water rise to surround Liu Feng and Zhuge Liang had countered this with an equally
magical plan; the burning of the reeds may be a play on word magic, it is homophonous with “putting
the encirclement in the oven” ( ), i.e., “drying up the waters.”
116. The text says Jinling, the area along the southern bank of the Yangtze near modern Nanjing.
However, since they are traveling west, not east, from Wuling, this is completely unlikely. The
nearest major commandery due west of Wuling is Fuling , which lies between Wuling
Commandery and Yizhou.
117. Here, he means the Ten Constant Attendants.
118. Zhong Zhaohua (1990, 487 note 30) suggests this means he was made Chamberlain of the
Palace Garrison , responsible for protection of the palace.
119. Fei Wuji had been sent as envoy to the state of Qin to select a mate for the crown prince. He
selected one, but told the emperor how beautiful she was and that “he should take her himself and
find another for the crown prince.” The emperor did just that.
120. Huhai was the last emperor of the Qin dynasty; he had usurped the throne from his elder brother
with the aid of Zhao Gao. See note 74.
121. The text consistently writes Lou Zijiu for the well-known strategist Lou Zibo ,a
scribal confusion of the short form character jiu for the character bo . As in other cases where a
mistranscription is used consistently, we retain the reading as found in the original publication.
122. There is something garbled in the text here, from the time Lou Zijiu visits Cao Cao to this point.
Bian Zhang and Han Sui were both from the western reaches, in the area of modern Gansu, and Cao
Cao was stationed in Chang’an; there would of course be no “return” for anyone to Xinye, which is
in Hebei.
123. This line seems out of place and redundant here as part of the story. We suspect that it may be a
section break that remains unmarked in the text, lacking both the usual spacing before and after and
the black box.
124. Liu Zhang.
125. Following the suggested reading of Zhong Zhaohua (1990, 461).
126. The Writings of Mengde contained the original writings of Cao Cao, who had also composed a
commentary to the Writings of Master Sun.
127. These metaphors describe the superior ease with which Zhang Song reads these texts that he
encounters for the first time.
128. To fight Ma Chao and Zhang Lu.
129. A nonobservable baleful planet in traditional Chinese astrology, a shadow star across the
heavens from Jupiter. It is called the “great year” because it makes a complete circle of heaven, like
Jupiter, once every twelve years, moving through the twelve sections of the Chinese zodiac, each
marking one year. In the four cardinal directions, the west is the direction of harshness, executions,
and death.
130. Liu Zhang.
131. The word hui has apparently been copied into the text incorrectly. The term Fujianghui can only
mean “the meeting at Fu River.” The original term might have been an “episode marker”; that is,
what follows would be “the episode of [Liu Bei and Liu Zhang] Meeting at Fu River.” If this were a
narratorial address to the audience/reader then it could be understood as, “‘I would like to meet the
Imperial Uncle at a place a hundred li away from Chengdu.’ This is called the Meeting at Fu River.”
132. He was just thirty-six when he was slain.
133. One breaks an arrow when making a vow and swearing an oath.
134. These were called “jumping towers” in the Song, and were moveable temporary structures in the
shape of a goose [egg?] that were placed on the top of the city walls for the protection of the
defenders.
135. The normal black box is missing here.
136. Because of the blood that was shed.
137. Reading (autumn) as (sorrow), although this may also be a case in which both meanings
would obtain: “A thousand autumns in the Brocade Washing River of Shu,” i.e., the eternal river, and
its eternal sorrow. The reader would have automatically made the connection between the two.
138. Zhong Zhaohua suggests that the words Shouzhong yan are superfluous, in which case the line
would be understood as, “If a great army is going to reach here, then Xichuan cannot remain
independent.”
139. Long and powerful arms that have the strength to pull a powerful bow; these long arms are
referred to as “gibbon’s arms.”
140. Green Waves is one of the many names for fine rice wine.
141. This is a pun on the homophonic line yu buming (the tone yu [the same character as Guan Yu’s
given name] does not sound) and yu buming (Yu is clueless).
142. A pun on the syllable jing, which can mean both “mirror” and part of Lu Zijing’s given name;
i.e., “you’ll die first.”
143. A term for the fertile and well-watered land of the south.
144. Perhaps a mistake for Bazhou.
145. See note 41.
146. Maid Cao was a young girl from Shangyu. After her father drowned in the river and his body
was not found, she threw herself into the stream. Five days later her body reemerged, carrying her
father in her arms. A stele had been erected that carried an elegy for her by Handan Chun. On the
backside of the stele an eight-character line by Cai Yong in praise of the elegy had been inscribed.
See Mather (2002, 314–15) for a complete description.
147. Cai Yan was a daughter of the famous scholar Cai Yong (132–192). She had been abducted by a
Xiongnu chieftain who made her his wife. She bore him two children, but she had to leave these two
boys behind when she was ransomed by Cao Cao, who had been a good friend of her father. Cao Cao
married her off to a certain Dong Si, and when the latter had incurred his wrath, he was spared death
at the request of Cai Yan.
148. Reading shiwan for qianwan ; common misscription.
149. Fire is the agent of the Five Phases that governed the house of Liu.
150. Of Cao Cao.
151. It is in actuality the Zhangwu reign ( ), but the text consistently writes Jianwu ( ).
152. The names in this passage are quite different than in other historical records or vernacular texts;
instead of Fan Qiang we have here Wang Qiang , and instead of Zhang Da we have
here Zhang Shan .
153. See note 112.
154. The stars rotate once every year in predictable cycles; this is a method for expelling evil by
congregating all the spirits that inhabit the stars in one place simultaneously, assuring the return of
normalcy. This is done by an incremental expansion of the eight trigrams, to eight eights and so on,
until the full number of astral spirits are present in the formation.
155. This unascribed quote seems out of place here.
156. May–June 224.
157. A puzzling phrase, yaodi yi nanmian yizhu , which Zhong Zhaohua (1990,
475) glosses as, “yizhu is a military implement used to conduct dances. Yi is ‘to fly,’ zhu is a military
implement like the vajra (the magical diamond scepter of Tibetan Buddhism), expressing that this
passage is involved with military action.”
158. That is, the Western constellation Leo. Muslim astronomers had introduced the Twelve Zodiacs
of the Greeks into Chinese astronomy by the Northern Song, which is substantiated by the eleventh-
century text, Wujing zongyao. In that text we find under the heading, “Prognosticating the Five Day
Period of the Year” (zhanhou ), and subheading, “Random Prognostications for Assuring Victory
When Sending out an Army,” the following passage: “[Solar period] Great Heat, in the sixth month
the sun [along the ecliptic] is in the Willow Constellation at five degrees and 28 minutes. Three days
later it enters the Constellation Leo. Its spirit is ‘ray of victory.’” While a total anachronism, this
passage is meant to indicate Zhuge Liang’s deep knowledge of the astral phenomena that govern
military action on Earth.
159. A mistranscription of the actual name Yong Kai , confusing yong and xiong . We
retain the reading in the text.
160. As a result of the wine and food, one imagines.
161. The equivalent of using poisonous gas. The verb implies scattering or sifting down.
162. That is, we are trying to do something that is impossible.
163. July–August 224.
164. This phrase is not printed white on black in the original, but it is clearly intended to match the
earlier “Zhuge Captures Meng Huo Seven Times.”
165. April–May 237.
166. An excellent example of how free the text is with anachronisms. This date actually refers to the
inauguration of the third reign name (Jingchu) of Emperor Wen’s successor, Emperor Ming.
167. The year 236.
168. These two lines are conventional metaphors for homesickness, as the two animals are looking
toward their homes, but also toward their native environments; akin perhaps to the English “fish out
of water.”
169. Appealing for reinforcements.
170. February 10, 240.
171. The area west of Tong Pass, near the confluence of the Wei and Yellow Rivers, from Shaanxi
into the Gansu Corridor.
172. Roughly the area of modern Shaanxi and the eastern part of Gansu.
173. Despite the illustrations to the original text, which show horses and cattle laden with supplies,
these are surely terms for one-wheeled wheelbarrows and two-wheeled pull-carts, perhaps
constructed so that the human labor required to move them was concealed from view.
174. See note 71.
175. He was offering to give Sima Yi the woman’s clothing as a gift, to make the point that he
refused to come out and fight, but stayed in the city like a woman would stay in her boudoir.
176. This would be 263, the final year of the Shu-Han, which is clearly a mistake because, as Zhuge
Liang remarks below, the Shu-Han still had some thirty years left. It may be a mistake for the
Jianxing reign period, which would make it roughly 223–238.
177. Prognosticating his own death; he was a dragon, and traditionally the dragon was associated
with water and with rain.
178. It was believed that one’s life span (shou ) was fixed and alloted by heaven. The transit of
Jupiter’s shadow star marked a twelve-year cycle in a person’s life; the major cycle was a ten-year
span in which one’s life would have a major transformation and it governed one’s good and bad luck;
the minor cycle governed each year and had the ability to alter the progress of the larger cycle. Here,
it means that all of the cycles that govern his life are reaching a simultaneous ending point; he will
die.
179. Fengxiang may translated as “soaring phoenix,” while Huang is also the term for yellow; the
Chinese underworld was called “the yellow springs,” like the inn, a resting place.
180. A poem by the renowned Tang poet Du Fu (712–770), “The Minister of Shu (Shu xiang ).”
181. Cao Mao (241–260), grandson of Cao Pi, who ruled 254–260.
182. Cao Huan (246–303, r. 260–265).
183. The more common term Wang Chen of the northern territory (beidi Wang Chen ) has
been converted here to Prime Minister Wang Zhan (zaixiang Wang Zhan ). While the character
is different (a scribal error confusing the simplified radical on the left side of the phonetic (i.e., zhan
for chen ), the title is a creation of the author of this text.
184. Liu Bei.
185. This would be the Han-Zhao dynasty (304–328), a short-lived dynasty that destroyed the
Western Jin under Liu Cong in 316. Although he was always surnamed Liu (his father, a Xiongnu,
had early on adopted the surname Liu), the text here refers to the close blood bonds between the Han
empire, which sent imperial women as brides to the Xiongnu, and the Xiongnu confederation.
Xiongnu families often changed their name to Liu to reify the bond with the Han ruling family.
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 {180} Glossary

The entries are arranged in alphabetical order. The Chinese characters

provided are those used in the Records of the Three Kingdoms in Plain
Language. When these characters depart from the more usual forms, these
are also provided.

Adou
ai
Aji
Anxi
August Emperor Guangwu of the Han

Ba
Baling
Ban
baojuan
Baozhou
Baqiu
Bazhou
beidi Wang Chen
Bian Zhang
Bianliang
Boyue
Bozhong
Bu
Buwei

Cai
Cai Mao
Cai Yan
Cai Yang
Cai Yong
Cangwu
Cangzhou
Cao
Cao Bao
Cao Bozhong
Cao Cao
Cao Fang
Cao Huan
Cao Mao
Cao Pi
Cao Ren
Cao Shuang
Cao Xiang
Cao Zhang
Chaisang
chang bing da dao
Chang’an
Changsha
Che Zhou
Chencang
Chen Da
Chen Deng
Chen Gong
Chenliu
Chen Shou
Cheng (King Cheng)
Chengdu
Chibi fu
Chibi huaigu
Chi You
chu
Chu
Chu Chou (→Fan Chou )
Chu Pingwang (King Ping of Chu)
Chuan
ci
cihua
ciwen
cuigang
cuigang weiruo
Cui Lian
Cui Yu

{181} Da Liang Wang

Dan
Dan (Duke of Zhou)
Dangyang
Dasang
Deng Ai
Dengzhou
Deran
Dezhou
Di Renjie
dianjun xiaowei
dianku
Diaochan
Ding
Ding Jianyang
Dingjun
Dingzhou
Dong Cheng
Dong Zhuo
Dongrong
Du Fu
Du Qi
Duan Gui
Dunhuang

E
Epang
Fa Zheng
Fancheng
Fan Chou
Fan Qiang
Fanyang
Fan Ye
Fei Wuji
Fenzhou
Feng
Fengxian
Fengxiang
Fu
Fuchun
Fufeng
Fu Huanghou (Empress)
Fuling

Gan
Gan Ning
Gansu
Gaogui (Duke of Gaogui)
Gao Yao
Gaozu
Gemao
gong
Gong Gu
Gongjin
Gongsun Zan
guan
Guan
Guan Hanqing
Guan Jing
Guan Ping
Guan Suo
Guanxi
Guan Yu
Guan Yunchang
Guan Zhong
Guanzhong
Guang
Guangdong
Guangning
Guangwu (Emperor)
Guangxi
Guiyang
Guo Qian
Guo Si

Haizhou
Han Bin
Han Fu
Han Guozhong
Han Sui
Han Xin
Hansheng
Hanshou
Hanzhong
Hanzhou
hao
Hebei
Henei
Hengshan
{182} Honghai
Hou Cheng
Hou Han shu
houshuo
Hu Zeng
Hubei
Huhai
Hua
Hua Guan Suo zhuan
Hua Tuo
haufen liangtou
huafen liang shuo
Huai
Huaidi (Han)
Huaiyin
Huaizhou
Huang
Huangchu
Huangfu Song
Huang Gai
Huang Hao
Huang Zhong
Huarong
Huidi (Jin)
huisan
Huizong (Song)

Ji
ji
ji
Ji Ling
Ji Ping
Ji Xin
Jia
Jia Chong
Jia Xu
Jiaming
Jian Xianhe
Jian’an
Jiang Taigong
Jiang Wei
Jiang Wu
Jiankang
Jianwu
Jianxing
jianxiong
Jianyang
Jiang Gan
Jiang Shang
Jiang Xiong
Jiang Ziya
Jiangnan
jiangshi
Jiangsu
Jiangxi
Jiangxia
Jie
Jieting
Jin Zu
Jing
jing
Jingchu
Jingdi (Han)
jingji
Jingshan
Jingzhou
Jinling
Jiujiang
Jiujiang Wang
Jizhou
ju tao wang zhi zuo
juan
jue
jue
juemiao haoci

Kaifeng
Kong
Kong Xiu
Kongming
Kuai
Kuai Che
Kuai Wentong
Kuai Yue
Kunlun

Langya
Laozi
Li
li
{183} Li Dian
Li Guang
Li Jue
Li Ru
Li Su
Lian
Lianggong jiu jian
Lianjiang
Lintao
Lingdi (Han)
Ling Tong
Lingyan
Liu
Liu Ba
Liu Bang
Liu Bei
Liu Bi
Liu Biao
Liu Cong
Liu Deran
Liu Feng
Liu Hong
Liu Qi
Liu Shan
Liu Sheng
Liutao
Liu Xiu
Liu Xuan
Liu Yao
Liu Yuan
Liu Zhang
Liu Zhen
Liyang
Long Ju
Longzhou
Lou Zibo
Lou Zijiu
Lu
Lu Su
Lu Xun
Lu Zhi
Lu Zijing
Luocheng
Luoyang
luwei
Lü Bu
Lü Fanan
Lü Hou (→Lü Taihou)
Lü Kai
Lü Meng
Lü Shang
Lü Taihou (Dowager Empress)
Lü Wang

Ma Chao
Ma Da
Ma Gou
Ma Shouzhong
Ma Teng
Ma Wei
Ma Yuan
Mangtang
maoci bu jian
Mei Fang
Mei Zhu
Meiwu
Meiyang
Meng Da
Meng Huo
Meng Tian
Mengde
Mengqi
Mi Fang
Mi Zhu
Mijian
Mianzhou
miao
Miao
Mindi (Jin)
Mingdi (Wei)
mingyue

Nanjing
Nanyang
Niu Xin

Pang
Pang De
Pang Tong
Pangu
{184} Pei
Pei Songzhi
Peng Yue
Pingdi (Han)
pinghua
Pingliang
Pingyang
Pingyuan
Puzhou

Qi
qianwan
Qiao
Qiao
Qin
Qin Fu
Qin Shihuang zhuan
Qinchuan
Qinglong
Qingzhou
Qiwang (King of Qi)
Qizhou
quan
Quanxiang pinghua Qian Hanshu xuji

Quanxiang pinghua Wuwang fa Zhou shu

Quanxiang pinghua wuzhong

Quanxiang pinghua Yue Yi

tu Qi qiguo chunqiu houji

Quanxiang Qin bing liuguo pinghua

queshuo

Ran Qing
Ren
Rencheng
Rongguo

San Qi wang (King of the Three Qi)

Sanfen shilüe
Sanguo
Sanguozhi
Sanguozhi pinghua
Sanguozhi tongsu yanyi
Sanlue
Shandong
shang
Shangsi
Shangyu
Shanxi
Shanyang
Shaoxing
Shengzhou
shi bing da dao
Shifang
shihua
shiwan
Shiyuan
shou
Shouchun
Shouting
Shu
Shu xiang
Shun
shuo
Si
Sichuan
Sima Bao
Sima Guang
Sima Yi
Sima Zhongda
Sima Zhongxiang
Song Wenju
Su Dongpo
Su Shi
Suishui
Suiyang
Sun
Sun Hao
Sun Jian
Sun Liang
Sun Qian
Sun Quan
Sun Wu
Sun Zhongmou
Suzhou

{185} Taihang
Taishan
Taizhou
Tang
Tao Qian
Tiekou
Tong
Tongjian gangmu

Wang Hun
Wang Jun
Wang Mang
Wang Ping
Wang Qiang
Wang Shouzhong
Wang Shuang
Wang Yun
Wang Zhan
Wei Long
Wei shui (Wei River)
Wei Yan
Weiyang
wen
Wen
Wen Chou
Wenchang
Wenshu
Wentong
wu
Wudaishi pinghua
Wudang
Wudi (Jin)
Wu Fan →Lü Fan
Wu gou
Wu Sansi
Wu Zetian
Wu Zilan
Wu Zixu
wulon
wuzuo zhi chu

Xi Shi
Xiahou Dun
Xiakou
Xiandi (Han)
Xiangyang
Xiang Yu
Xiao He
Xiaopei
xiao shimin
Xiapi
Xichang
Xichuan
Xieliang
xiezhi
Xiliang
Xiqing
Xindu
Xinye
Xingyang
Xiong Kai
Xiuwu
Xu Chu
Xu Shu
Xu You
Xuande
Xuanhe yishi
Xuanyuan
Xuchang
Xue Rengui yijin huanxiang

Xue Rengui zheng Liao shilüe

Xuzhou

Yan
Yan Liang
Yan Yan
Yang Feng
Yanghou
Yang Xiu
Yang Yi
Yangping
Yangzhou
Yanxi
Yanzhou
Yao (sage king)
Yao
yaodi yi nanmian yizhu

{186} Ye
Yi
Yi Ji
Yide
Ying Bu
Yizhou
Yong Kai
Yongle dadian
you
Youzhou
Yu (sage king)
yu
Yu
yu buming
Yu Chang
Yu Fan
Yu Jin
Yu Zhang
Yuan Qiao
Yuan Shao
Yuan Shu
Yuan Tan
Yuan Xiang
Yuanqi
Yuanxi
Yunchang
Yunmeng
Yunnan
Yunzhou
Yuzhou

zaixiang Wang Zhan

zhanhou
Zhang
Zhang Bangrui
Zhang Bao
Zhang Ben
Zhang Biao
Zhang Da
Zhang Fei
Zhang He
Zhang Ji
Zhang Jue
Zhang Liang
Zhang Liao
Zhang Lu
Zhang Mao
Zhang Ren
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