University of Cincinnati: July 25, 2005 Jaejin Lee Doctor of Musical Arts Piano Performance

UNIVERSITY OF CINCINNATI
July 25, 2005

Date:___________________
Jaejin Lee
I, _________________________________________________________,
hereby submit this work as part of the requirements for the degree of:
Doctor of Musical Arts
in:
Piano Performance
It is entitled:
A Pedagogical Approach to Franz Liszt’s Second Ballade
This work and its defense approved by:
Professor Robert Zierolf

Chair: _______________________________
Professor Eugene Pridonoff
_______________________________
Professor Michelle Conda
_______________________________
_______________________________
_______________________________
A Pedagogical Approach to
Franz Liszt’s Second Ballade
A graduate document proposal submitted to the
Division of Graduate Studies

at the University of Cincinnati
In partial fulfillment of the

requirements for the degree of
DOCTOR OF MUSICAL ARTS
in the Keyboard Studies Division

of the College-Conservatory of Music
July 25, 2005
by
Jaejin Lee
2337 Meadow Springs Circle
Columbus, OH 43235
leejae@email.uc.edu
M.M. Michigan State University, 1997

B.M. Seoul National University, 1995
Advisor Professor Robert Zierolf ________________________
Readers Professor Michelle Conda ________________________
Professor Eugene Pridonoff ________________________

ABSTRACT
Franz Liszt’s second ballade was composed in 1853 and published by Kistner in
Leipzig. It was dedicated to Count Charles de Linange, who was the half-brother of
Queen Victoria. It was written in B-minor, the same tonality as his piano sonata. The
sonata and the ballade were composed and published in the same year. Liszt’s B-minor
sonata has drawn an enormous amount of scholarly attention and has become standard
repertoire. Yet, the B-minor ballade has been somewhat neglected. Most pianists are
familiar with the four ballades by Chopin, but few know that Liszt wrote two.
This document is intended to guide students, teachers, and performers toward
preparation and performance of Liszt’s second ballade. Therefore, I have decided to write
this document from the viewpoint of a pianist who is learning this piece by him- or
herself. With that idea, pertinent questions needed to be answered such as: What
background information do I need to know? What is the overall structure of the work?
What details do I need to pay attention to in order to understand Liszt’s intentions? How
should I overcome technical difficulties in certain passages? Each chapter is designed to
answer these questions, respectively.
In chapter I, the historical background of the composer and overview of the

genre aids in understanding the origin of the work. In chapter II, a formal analysis
provides the performer with an overall picture of the work through the realization of the
whole structure. A stylistic analysis assists in understanding the composer’s unique use of
melodic, harmonic, and rhythmic elements, thus giving details on the foreground level.
There are also more elements to consider such as phrasing, articulation, dynamics,
pedaling, and fingering, which are all included in the interpretative analysis, given in
chapter III. In the last chapter, three representative technically difficult passages are cited
to provide practical, step-by-step solutions using various practice techniques and Gyorgy
Sandor’s methodology to identify and apply basic physical motions.

i
TABLE OF CONTENTS
Chapters
I. Introduction. . . . . . . . . . . . . . 1
1. Historical Overview of Ballade as a Genre. . . . . 2
2. Chopin’s Influence on Liszt. . . . . . . . . 4
3. Liszt’s Second Ballade. . . . . . . . . . 5
4. Liszt and Technique. . . . . . . . . . 7
II. Formal Analysis. . . . . . . . . . . . . 9

1. Adaptation of Sonata Design . . . . . . . . . 10
2. Deviation from Sonata Design. . . . . . . . 16
III. An Interpretative Analysis. . . . . . . . . . . 19

1. Exposition
Allegro moderato
Allegretto
2. Development. . . . . . . . . . . . 26
Allegro deciso
Tertiary Theme— A piacere
Variations of the Primary Theme
Variations of the Secondary Theme
3. Recapitulation . . . . . . . . . . . . 39
Allegro moderato
Grandioso
Andantino
IV. A Practical Guide to Technical Challenges. . . . . . . 48

1. Gyorgy Sandor’s Basic Technical Patterns
2. Large Leaps in mm. 69-85. . . . . . . . . 52
3. “Liszt Octaves” in mm. 199-215. . . . . . . . 56
4. Scale Passages in mm. 292-97. . . . . . . . 61
V. Conclusion. . . . . . . . . . . . . . 64
SELECTED BIBLIOGRAPHY. . . . . . . . . . 67
ii
LIST OF EXAMPLES
Example 1, mm. 1-6. . . . . . . . . . . . . 10

Example 2, mm. 24-26. . . . . . . . . . 11 . . .
Example 3, mm. 135-38. . .. . . . . . . . . .12
Example 4, mm. 21-23. . .. . . . . . . . . . 22
Example 5, reductions of themes. . . . . . . . . . .25
Example 6, mm. 70-73. . .. . . . . . . . . . 27
Example 7, mm. 82-83. . .. . . . . . . . . . 28
Example 8, mm. 86-95. . .. . . . . . . . . . 28
Example 9, mm. 96-98. . .. . . . . . . . . . 30
Example 10, Sonata in B minor, mm. 357-62. . . . . . . . 31
Example 11, mm. 225-33. . . . . . . . . . . . 32-33
Example 12, mm. 143-46. . . . . . . . . . . . 33
Example 13. mm 162-67. . . . . . . . . . . . 36
Example 14, mm. 181-84. . . . . . . . . . . . 37
Example 15, mm. 207-09. . . . . . . . . . . . 38
Example 16, mm. 254-57. . . . . . . . . . . . 39
Example 17, mm. 261-63. . . . . . . . . . . . 40
Example 18, mm. 269-72. . . . . . . . . . . . 41
Example 19, mm. 275-80. . . . . . . . . . . . 42
Example 20, mm. 284-87. . . . . . . . . . . . 43
Example 21, mm. 292-93. . . . . . . . . . . . 44
Example 22, mm. 301a-04a. . . . . . . . . . . . 45
Example 23, mm. 301b-05b. . . . . . . . . . . . 46
Example 24, mm. 305-16. . . . . . . . . . . . 47
Example 25, mm. 72- 78. . . . . . . . . . . . 53
Example 26, stop-prepare on m. 72. . . . . . . . . . 54
Example 27, simplified version of mm. 73-77. . . . . . . .55
Example 28, chord combination for wide leaps at mm. 76-77. . . . 55
Example 29, from Liszt Exercises . . . . . . . . . . 57-58
Example 30, mm. 199-202. . . . . . . . . . . . 58
Example 31, practice procedure for mm. 199-206. . . . . . . 59
Example 32, practice suggestion for mm. 213-14. . . . . . . 60-61
Example 33, groups backward practice for mm. 292-97. . . . . 62-63
Example 34, isolated practice for leaps in mm. 292-97. . . . . .63
iii
LIST OF TABLES
Table 1, analysis of exposition. . . . . . . . . . . 14.

Table 2, analysis of development. . . . . . . . . . 15
Table 3, analysis of recapitulation. . . . . . . . . . 17
1
I. INTRODUCTION
Franz Liszt’s second ballade was composed in 1853 and published by Kistner in
Leipzig. It was dedicated to Count Charles de Linange, who was the half-brother of
Queen Victoria. It was written in B-minor, the same tonality as his piano sonata. The
sonata and the ballade were composed and published in the same year. Liszt’s B-minor
sonata has drawn an enormous amount of scholarly attention and has become standard
repertoire. Yet, the B-minor ballade has been somewhat neglected. Most pianists are
familiar with the four ballades by Chopin, but few know that Liszt wrote two.
This document is intended to guide students, teachers, and performers toward
preparation and performance of Liszt’s second ballade. Therefore, I have decided to write
this document from the viewpoint of a pianist who is learning this piece by him- or
herself. With that idea, pertinent questions needed to be answered such as: What
background information do I need to know? What is the overall structure of the work?
What details do I need to pay attention to in order to understand Liszt’s intentions? How
should I overcome technical difficulties in certain passages? Each chapter is designed to
answer these questions, respectively.
In chapter I, the historical background of the composer and overview of the
genre aids in understanding the origin of the work. In chapter II, a formal analysis
2
provides the performer with an overall picture of the work through the realization of the
whole structure. A stylistic analysis assists in understanding the composer’s unique use of
melodic, harmonic, and rhythmic elements, thus giving details on the foreground level.
There are also more elements to consider such as phrasing, articulation, dynamics,
pedaling, and fingering, which are all included in the interpretative analysis given in
chapter III. In the last chapter, three representative technically difficult passages are cited
to provide practical, step-by-step solutions using various practice techniques and Gyorgy
Sandor’s methodology to identify and apply basic physical motions.
1. Historical Overview of the Ballade as a Genre
The Ballade as a genre title for piano solo was introduced by Chopin, but ballad
or ballade in general has a long history and refers to a variety of historical sub-genres.
The Latin origin of the term “ballare” means “to dance,” so the work originally referred
to dance-songs such as the carole. By the fourteenth century it had lost that connotation
in English and became a distinctive song type with a narrative core. In the late Middle
Ages epic and heroic songs served as entertainment. The folk and popular ballad referred
to a relatively concise work that combined a narrative, dramatic dialogue, and lyrical
3
passages.1 This folk ballad developed into a type of art song in the eighteenth and
nineteenth centuries, and gained popularity all over Europe. Most often cast in a solo
song with piano accompaniment, it was a narrative of legendary or historical events in
strophic form. Its subjects were largely serious, even tragic, frequently with supernatural
elements. In terms of form, it was told in simple popular verse, usually in a large number
of short strophes.2
Chopin’s idea of adopting this popular genre title to solo piano works is
comparable to that of Mendelssohn’s Songs without Words. It was also a result of
Chopin’s search for a new genre. As Romanticism was beginning to blossom in music,
composers expanded their boundaries by taking freedom from the limitations of
conventional formal patterns and harmonic rules, as did Chopin. In the 1830s Chopin was
beginning to grow out of the musical style of his early works, which resembled the
“brilliant style” of Hummel and Weber, and looking for a new medium.3 His re-creative
approach to the genre resulted in a series of character pieces titled scherzo, ballade, and
1
James Porter. “Ballad,” The New Grove Dictionary of Music and Musicians ed. S.
Sadie and J. Tyrrell (London: Macmillan, 2001), ii, 541.
2
Rufus Hallmark. “Ballade 2” The Harvard Dictionary of Music ed. D. M. Randel
(Cambridge: The Belknap Press of Harvard University Press, 2003), 72-73.
3
Jim Samson. Chopin: The Four Ballades (Cambridge: Cambridge University
Press, 1992), 1-7.
4
fantasy. Scherzo and fantasy were reinterpretations of existing genres, and ballade was
his subtle adoption of program music. Chopin wrote four ballades from 1831 to 1843.
The first one is in G minor, Op. 23; the second is in F major, Op. 38; the third is in A-flat
major, Op. 47; and the last is in F minor, Op. 52. They are four individual, large-scale,
virtuosic compositions.
2. Chopin’s Influence on Liszt’s Two Ballades
Liszt wrote his ballades in homage to Chopin. Alan Walker writes, “Unconscious
imitation is the sincerest form of flattery.”4 Liszt began his first ballade in 1845, by which
time Chopin’s ballades were all published and known to him. Chopin and Liszt lived
close to each other in Paris for a short period between 1836 and ’37. Liszt became a
persuasive supporter of Chopin’s music by programming his etudes and mazurkas
regularly. His biography of the Polish master, titled Life of Chopin, published in 1852,
was an almost unprecedented tribute from one major composer to another. After Chopin’s
death in 1849, Liszt published a group of compositions with titles identical to Chopin’s,
including Polonaise, Berceuse, Mazurka, and Ballade. Chopin’s influence on Liszt is
obvious through his compositions in these genres. Liszt identified so closely with
4
Alan Walker, Franz Liszt: The Weimar Years, 1848-1861 (New York: Alfred A.
Knopf, 1996), 146.
5
Chopin’s musical style that he incorporated some of its characteristics into his own works.
Within Liszt’s first ballade, Günther Wagner has identified elements from four different
works by Chopin: the first Ballade Op. 23, Grande Valse Brillante Op. 18, the “Funeral
March” from the Sonata in B-flat minor Op. 35, and the A-major Polonaise Op. 40, No. 1.
Furthermore, Liszt’s use of four-square, periodic phrasing—rather atypical for him—is a
readily acknowledged feature of Chopin’s ballades.5 Wagner concluded that Liszt’s first
Ballade should be taken as his tribute to the Chopin he knew in the 1830s.
3. Liszt’s Second Ballade
On the other hand, Wagner considered Liszt’s second ballade, written toward the
end of this period of reflection on Chopin, as Liszt’s own contribution to the genre and a
work that strikes out in a direction very different from Chopin’s.6 James Parakilas
considered the second ballade as one of Liszt’s largest, most powerful piano works, fully
narrative or programmatic.7 Maurice Hinson described this piece as “[w]ritten in the
5
Günther Wagner, Die Klavierballade um die Mitte des 19. Yahrhunderts (Munich/
Salzburg: Musikverlag Emil Katzbichler, 1976), 49-54, cited in Dolores Pesce,
“Expressive Resonance in Liszt’s Piano Music” in R. Larry Todd, ed., Nineteenth-
Century Piano Music (New York: Schirmer Books, 1990): 393.
6
Wagner, ibid., 49-57, cited in James Parakilas, Ballads Without Words: Chopin
and the Tradition of the Instrumental Ballade (Portland: Amadeus Press, 1992), 96.
7
James Parakilas, ibid., 101.
6
grand manner, dramatic, with many passages of great beauty, needing imaginative and
rhetoric treatment. It requires a technique that can handle broken and interlocking octaves
and pedaling that can sustain chords while the accompaniment moves over the
keyboard.”8
Romantic composers were fond of program music. Liszt’s works are
predominantly programmatic or dependent on ideas and concepts outside music. Despite
the literary origin of the genre, Liszt did not make any direct connection to literary
sources in this ballade. However, some pianists relate it to the myth of Hero and Leander
without citing specific evidence that Liszt had that intention. Claudio Arrau, who
considered this piece “one of Liszt’s masterworks,”9 attributed this interpretation to an
oral tradition.10 In Encyclopedia Britannica, Hero and Leander is described as follows:
Lovers celebrated in Greek legend. Hero, virgin priestess of Aphrodite, was

seen by Leander of Abydos during a festival, and the two fell in love. He swam
the Hellespont nightly to be with her, guided by a light from her tower. One
stormy night the lamp was extinguished, and Leander was drowned. When Hero
8
Maurice Hinson, Guide to the Pianist's Repertoire, 3rd ed. (Bloomington: Indiana
University Press, 2000), 453-54.
9
Joseph Horowitz, Conversation with Arrau, 2nd ed. (New York: Limelight
Editions, 1992; reprint, New York: Knopf, 1982), 146.
10
Horowitz, ibid., 143.
7
saw his body on the shore, she threw herself from the tower into the sea.11
It is impossible to prove whether Liszt had this story in mind while composing this work.
However, actual listening allows the audience to agree with Arrau to a certain degree.
4. Liszt and Technique
In addition to his contribution to nineteenth-century piano repertoire, Liszt had
an immense influence on then current performance practices. His concerts in every corner
of Europe between 1838 and 1847 established him as a virtuoso pianist, and he premiered
today’s modern concept of the solo recital. He was the first to appear by himself for a
whole concert, which was played extensively from memory. He always insisted on the
piano being turned at a right angle to the stage with the lid reflecting the sound to the
auditorium. Liszt also invented the concept of the masterclass.
Liszt’s contribution to the historical development of piano technique is also
enormous. Ben Arnold writes that “Liszt’s uniqueness as a composer lies in his virtuoso
interpretation of the Romantic character piece.”12 Inspired by virtuoso violinist of the
11
"Hero and Leander." Britannica Concise Encyclopedia from Encyclopædia
Britannica Premium Service. <http://www.britannica.com/ebc/article?tocId=9366997>
[Accessed May 16, 2005].
12
Ben Arnold, Liszt Companion (Westport, CT: Greenwood, 2002), 171.
8
time, Nicolo Paganini, Liszt developed a totally new style of playing and writing for the
piano, and exploited the capabilities of the instrument. Derek Watson described Liszt’s
favorite devices in his writing as follows:
Use of interlocking hands was a favorite device and famously exploited

in the technique known as ‘Liszt octaves’: double octaves played with alternating
hands. . . . The possibilities of octave playing are extended to their farthest limits.
A technical device such as a trill or tremolo acquires considerable expressive
power with varied application of speed, dynamics and fingering. The simple
concept of the broken chord or arpeggio is approached in a free assortment of
ways—upward, downwards, quickly, slowly, with accelerando, rallentando,
rubato, and in a range of dynamics. Common features are rapid note reiteration;
extended passages of fast, wide leaps; color effects dependent on the pedal; new
scale patterns; endless variations in laying out cantilena and accompaniment;
crossing of hands; new techniques in sequences of tenths—and, above all, the
13
perfection of a legato line.
Examples of those devices are abundant in the second ballade. Often more than one
device is combined within a passage. Needless to say, his virtuosic piano writing
demands an advanced level of technique.
13
Derek Watson, Liszt, The Master Musicians Series, ed. Stanley Sadie (Oxford:
Oxford University Press, 2000), 177.
9
II. FORMAL ANALYSIS
Many scholars believe that Liszt adapted sonata design in his second ballade.
Some features of sonata form, which Michael Griffel identified in Chopin’s ballades, are
also present in Liszt’s second ballade.14 However, it deviates from the conventional form,
as did many works in the Romantic era. In the nineteenth century, composers
experimented with sonata form by rearranging the various parts of the design and
imaginative use of the tonal system as they reordered and combined various melodies,
key areas, tempos, and moods. The relationship of the parts of sonata form to each other
and to the whole underwent constant change. This chapter will be devoted to
investigating how Liszt adapted the sonata principle to the ballade to fit his modes of
expression and compositional purposes.
14
Michael Griffel writes in his article "The Sonata Design in Chopin's Ballades,"
Current Musicology 36 (1983) 127: each of Chopin’s ballades possesses these features
which constitute sonata form: the presentation of a first theme in the tonic key and of a
second theme in a contrasting key during the exposition; the connection of these
contrasting themes through a transitional mechanism involving modulation; the presence
of a developmental section in which such compositional operations as modulation,
fragmentation, and recombination of thematic fragments occur; a build-up of tension
during the development section with a climactic peak leading directly into the
recapitulation; a recapitulation of at least one of the main themes form the exposition
section; and a special closing section for the movement as a whole, which one can safely
call a coda.
10
1. Adaptation of Sonata Design
There are three important themes contrasting in tempo, key area, register, mood,
rhythmic features, and texture. The primary theme, Allegro moderato, is a slow- moving
melody in a gloomy mood set up by the monotonous repetition of ascending and
descending chromatic scale patterns in the bass (Example 1, mm. 1-6).
[Example 1, mm. 1-6]
It is in 6/4 and stays in the low register of the keyboard with a remarkably static
B-minor harmony. The secondary theme, Allegretto, is a lyrical melody in chordal texture
11
(Example 2, mm. 24-26).
With a change to 4/4, it remains in the high register of the keyboard and has
frequent authentic cadences in F-sharp major. There is only a short transition between the
two themes and it elevates the register using the first four notes of the primary theme in
sequence. The secondary theme seems to be spun out somewhat naturally from that
sequence. Therefore, not much conflict is created between the two themes.
The third theme appears close to the middle of the piece, marked a piacere and
cantando (Example 3. mm. 135-38). The a piacere melody is extremely romantic and
lyrical. In its first appearance this short, eight-measure melody is in D major and is
followed by the secondary theme in the same key without transition.
The exact same procedure takes place in its second appearance, at mm. 225-53,
where both the a piacere melody and ensuing secondary theme appear in B major.
12
Because of its brevity and tonal relationship with the ensuing secondary theme, the
tertiary theme almost functions as an introduction to the secondary theme. In its third
appearance, however, it takes on more life of its own.
[Example 3, mm. 135-38]
The unique relationship between these three themes brought forward different
opinions for naming them. Parakilas supposed that the first two are not separate themes,
but theme and co-theme, constituting “thematic complex,” this being Marta Grabócz’s
term.15 Kentner and Grabócz labeled the tertiary theme as “second theme” in the same
vein. Furthermore, Parakilas writes that the theme and co-theme engage in a fixed
progression, and that the progression has no continuation so it breaks off and starts again.
For him the third theme is a new part of the thematic progression already established. In
fact, this unique relationship of two themes resulted in a highly sectional arrangement of
15
Parakilas, ibid., 103. He also described the second ballade as “fully narrative,
programmatic, in nature.” His analysis of the work, called “episodic form,” consists of
five episodes.
13
the work.
Tonally, the primary theme has a dual-key relationship with others. In the
exposition the primary theme is in the tonic key of B minor. The secondary theme is in
the dominant key. The a piacere theme is in the relative major, D, which being the most
common choice for any secondary theme in minor tonality in conventional sonata form.
Thus, the primary theme established a tonic-dominant relationship with the secondary
theme, and a relative minor-major relationship with the tertiary theme (Table 1, analysis
of exposition).
Liszt extensively manipulated several motives from these themes later in the
piece, much the way Beethoven did, especially through a tetrachord that forms the first
four notes of the primary theme (F-sharp–G—A—B) and a characteristic syncopated
rhythm of appoggiaturas in the secondary theme. At the same time he also used the theme
as a whole with variations. The primary, secondary, and tertiary themes appear seven, five,
and three times throughout the work, respectively. He reiterated these themes in different
keys, accompaniment patterns, textures, and moods. For example, each statement of the
primary theme tends to increase complexity in texture and grows louder in dynamic. This
incremental repetition of the primary theme is Chopin’s influence and also similar to the
stanzaic repetition with change in folk ballades. The thematic development and variation
14
technique will be discussed in detail in Chapter III.
[Table 1, analysis of exposition]
Parakilas 1ST Episode 2nd Episode

Episodic form
Legend of Hero First night Second night
and Leander –Leander nothing happens stormy
swam the Hellespont to visit
Hero every night

Hero’s theme Hero’s theme
Tempo Allegro Allegretto Tempo I Allegretto

Indication moderato
Meter 6/4 4/4 6/4 4/4

Theme 1P0 1S0 1P1 1S1
Measure 1 24 36 59
Key B minor F<major B=minor F major
In conventional sonata form the exposition usually concludes with a repeat sign.
In this work, however, the exact repetition of the exposition is fully written out from m.
36, surprisingly transposed one half-step lower, to B-flat minor. Parakilas considered it as
“the strangest event in the work.”16 Dolores Pesce considered it a result of Liszt’s search
16
Parakilas, ibid., 102.
15
for an alternative to the traditional literal repeat of the section. She claimed this unusual
tonal shift might actually bear on the overall pitch design. She writes that “Liszt may
have designed the second ballade to bring B-flat (=A-sharp, the leading tone of B) in and
out of focus, acting within a nexus that includes the lowered seventh degree, A-
natural.”17
[Table 2, analysis of development]
3rd Episode 4th Episode
Third night Fourth night

Terrific storm begins but Leander still manages to reach The biggest storm. Leander drowns.
the other side.
Determination of Love Final Love Funera

Leander to swim to theme struggle theme l bells
Hero
Allegro A Allegre- Appass-
deciso piacere tto ionato
4/4
1T 1P2 2S0 1S2 1P3 2T 2S1 1S 3
70 113 135 143 162 207 225 234
D major F< D —E= D—G G<—C B—C B-E=-

minor major major minor major F<
major
17
Dolores Pesce, “Expressive Resonance in Liszt’s Piano Music,” in R. Larry Todd,
ed., Nineteenth-Century Piano Music (New York: Schirmer Books, 1990), 409.
16
A closer examination satisfies her assertion to a certain degree. A major chord is
emphasized at the beginning of the Allegro deciso section. In fact, the other axis of the
“nexus,” in Pesce’s terms, appears from the very beginning of the work. The melody of
the primary theme starts on the dominant and ascends following the natural minor scale
of B minor (F-sharp—G —A—B) instead of using the harmonic minor in which A-sharp
would be used. It results in the use of the minor dominant of B minor at the cadence,
which allows for a greater sense of continuation rather than ending.
2. Deviation from Sonata Form
One of unique deviations from sonata principle in this ballade is at the
recapitulation proper.18 In conventional sonata form, all themes return in the tonic key
whether it is major or minor. In this B-minor ballade, they reiterate in parallel major keys
as if it were the tonic key. This reminds the practice of using Picardy thirds in the
Baroque period. Liszt expanded it to the whole recapitulation instead of just a final chord
(Table 3, Analysis of Recapitulation).
18
There is disagreement about where recapitulation begins. Kentner considers it as
the return of the a piacere melody where it returns to B major right after the climax. On
the other hand, Wagner and others believe it begins at m. 254, where the initial tempo,
Allegro moderato, returns. This document follows the latter.
17
Secondly, themes are merged to transform into totally different characters. At m.
254 the primary theme returns in its initial tempo and tonality. But the gloomy and
serious theme is transformed into a cantabile melody having the lyrical nature of the
second theme for a moment. Parakilas described this passage as though “the feeling of
strain that has previously characterized this theme is marvelously alleviated.”19
Furthermore, the harmonic ambiguity of the opening with the use of chromatic
accompaniment is lifted by straightforward harmonic progressions including authentic
cadences.
[Table 3, analysis of recapitulation]
5th Episode
Transfiguration Hero gave up the struggle
Hero disembodied and says farewell to Leander
Allegro Grandioso Andantino

moderato
6/4 C 6/4 4/4

1P5 2S2 1P6 1S 4
254 269 284 305
B major
19
18
These features of the recapitulation proper seem to be Liszt’s clever resolution to
the structural dilemma, which was caused by the extensive use of thematic variation
instead of development technique in the middle section. The incremental repetition at the
development proper does not need to reiterate themes literally. Thus he modified the
themes up to the stage of “transfiguration.” Wagner rightly described it as the
“reconciliation” of themes rather than simple “recapitulation.” Also, B major is the
structural goal of the entire work.
In conclusion, Liszt adopted many features of the sonata design in his second
ballade through the tonal relationship between themes and a three-part scheme including
repetition of the exposition. But through the “developing” themes with incremental
repetition with changes, and by “reconciliating” them by combining elements and
transforming characters he updated the sonata design to best suit his Romantic ideal.
19
III. AN INTERPRETIVE ANALYSIS AND A PEDAGOGICAL APPROACH
Pianists realize a composer’s notation into sound. But in order to do this there are
basically two steps: to understand the composer’s intentions by studying the score, and to
actualize it physically. This chapter is devoted to the first step. Sometimes, pianists might
intuitively feel musical meanings of the piece. Most of time they need to interpret the
written music by investigating details. Though interpretation is considered subjective,
there are certainly universal features that give clues to the composer’s intentions. In this
chapter, most attention is paid to the finest details of the piece: melody, harmony, rhythm,
articulation, dynamics, phrasing, pedaling, and fingering.
1. Exposition
Allegro moderato: 6/4
The piece opens with a two-measure accompaniment by introduction of a
chromatic scale pattern. The chromatic accompaniment pattern starts with an anacrusis
and remains tonal by use of tonic and the dominant at the end. The alteration at mm. 9
and 10 implies harmonic change. The use of chromaticism in the low register and static
harmony in the beginning instantly set up a gloomy mood. Harmonic fillers in the middle
voice added every third and sixth beat give a sense of the pulse.
20
The melody, marked marcato, is based on the B natural-minor scale and consists
of a six-measure antecedent phrase and two four-measure consequent phrases. The
antecedent phrase is simply ascending from the dominant to tonic and descending back to
the dominant. The first consequent phrase is short and incomplete as it ascends from the
supertonic to the dominant. The second consequent phrase ascends from the supertonic
and stretches to the tonic. These elements together create a unique atmosphere in the
beginning. According to Arrau’s interpretation, the exposition represents the first night
that Hero swam across the Hellespont. Thus, chromatic accompaniment depicts waves of
water. Parakilas has described the opening as follows:
The practically unchanging bass, the melody with no leading tone, and
the monotonous filler between bass and melody together create a remarkably
static harmony, slow to move away from the tonic and never sounding the
dominant.20
There are a few points for modern pianists to note. First, it is unusual that there is
no dynamic indication at the very beginning. A crescendo appears at m. 15 and leads to a
short transitional passage rinforzando molto. Second, only one pedal marking is indicated
in the first measure. It could mean one of two things: Liszt may have been asking for a
long pedal to create massive sonorities, or he definitively wanted some pedaling but
20
21
neglected to mark the changes. In fact, there is a source that helps to presume Liszt’s
intentions. August Göllerich, who was a pupil of and secretary for Liszt, described his
playing and interpretation of the opening of this ballade:
Liszt played the beginning himself and said, “Not too fast”; at that, he
played the passage in the left hand very broadly and thunderously with a lot of
sound and pedal, not as a “brilliant” run as it is usually done.21
His instruction to play “broadly and thunderously” indicates that Liszt did want to create
massive sonorities from the very beginning. However, a modern pianist also must adjust
accordingly, considering its placement within the larger scope of the piece. Benewetz
wrote about the pedaling of Liszt’s works as follows:
Liszt used syncopated or legato pedaling, a technique then considered

advanced but now universally used and taught. . . . Liszt’s writing generally calls
for a rich, full use of pedal, especially when it is needed as a support for long
pedal points. In his piano transcriptions of works for voice and as well for other
instruments, a liberal or almost constant use of pedal is an absolute necessity.
Liszt advised his students to pedal all long melody notes, particularly those in a
high register, even when they are not supported by underlying harmonic
material.22
His remark implies rich pedaling in the beginning regardless of the underlying
21
Wilhelm, Jerger, ed. The Piano Master Classes of Franz Liszt, 1884-1886: Diary
Notes of August Göllerich, trans. Richard Louis Zimdars (Bloomington: Indiana
University Press, 1996), 39.
22
Joseph Banowetz, The Pianist's Guide to Pedaling (Bloomington: Indiana
University Press, 1992), 206.
22
chromaticism. Careful pedaling should create a blurring effect by using half pedal to
sound the melodic line over the chromatic scale. Performers should feel the rhythmic
pulse in two beats per measure.
The short transition in mm. 17 to 23 leads the primary theme in the low register
into the Allegro theme in a high register. In Lento assai the ascending four-note motive in
the primary melody is placed in the bass, and it needs to be clearly heard (Example 4,
mm. 21-23).
To prepare the ensuing secondary theme, four changes take place in this
transition: The meter changes to 4/4 at m. 19, the dynamic is clearly marked piano for the
first time in the piece, and the repetition of the motive one octave higher brings it to the
register of the secondary theme and una corda. In terms of tempo relationship, a dotted-
half note of the Allegro moderato equals approximately a quarter note in the Lento. The
23
ascending motion seems to depict Hero arriving on the shore and finally getting to
Leander.
Allegretto: 4/4
This secondary theme, or co-theme in Parakilas’s term, is marked dolce. It is in
F-sharp major with a dominant pedal point. The three-measure melody follows the
outline of triads with frequent changes of direction in contrast to the step-wise primary
theme without many changes of melodic direction. Another voice in the tenor has the
countermelody in a similar manner. The syncopated rhythm of the dominant pedal point,
C-sharp, creates uneasiness to the otherwise peaceful melody. This syncopated rhythmic
motive is developed in the transitional passage in the developmental section. With the
new meter, 4/4, una corda, and piano that carry over from the Lento assai section, the
sonority of open-spaced parallel chords at high register evokes dreamy, improvisatory,
and wondering feelings. Arrau named it the “Hero’s theme.”23
After the first statement, the secondary theme is repeated an octave lower and
then spins out freely through repetition and sequence up to the authentic cadence at mm.
32-34. In m. 35 tre corda implies that the left pedal should be held throughout the whole
23
24
Allegretto section. Derek Watson wrote that “His [Liszt’s] ‘una corda’ marking is always
noteworthy as he carefully reserved it for particular effect.”24 It is notable that the una
corda marking is only for the secondary theme in the exposition and the coda. Liszt did
not mark it for any other themes or their variations and transformations in the ballade,
except the coda. This implies a special dreamy, misty sound that he might have wanted to
create. Parakilas wrote,
The Allegretto phrase, with its double and triple appoggiaturas, is in the
same sentimental vein as the main theme of Liszt’s first ballade. This phrase (mm.
24-34) finally brings a cadence; in fact it is nothing but a single, long cadence.
Contrasting in every way with the original melody, it is the resolution of that
melody.25
His comment about the secondary theme being co-theme and resolution of the primary
theme is made more convincing by further examination of phrase rhythm.26 If we reduce
the primary theme’s durations by a factor of 3:1 from 6/4 to 4/4 as shown in Example 5-a
24
Derek Watson, Liszt, The Master Musicians Series, ed. Stanley Sadie (Oxford:
25
26
Rothstein used this term to embrace phrase structure and hypermeter.
Hypermeter refers to the combination of measures on a metrical basis including both the
recurrence of equal-sized measure groups and a definite pattern of alternation between
strong and weak measures. Phrase structure refers to the coherence of musical passages
on the basis of their total musical content—melodic, harmonic, and rhythmic.
William Rothstein (Phrase Rhythm in Tonal Music, New York: Schirmer Books, 1989),
12-13.
25
and b, there are similarities in phrase structure between the primary and secondary
themes.
[Example 5-a, reduction of the primary theme]
[Example 5-b, reduction of the secondary theme]
The phrase rhythm of the primary theme and transition (3+2+3) is similar to the
26
secondary theme with cadence (3+2+3).27 Through this similarity of phrase structure by
closeness of the two themes having only short transitional passages in between and the
absence of cadence at the end of the primary theme, the two themes establish a unique
relationship.
Diminuendo molto and smorzando lead to the authentic cadence in F major at
mm. 32-34. It concludes pianissimo with long rests. By the chromatic motion from F-
sharp to F, the whole exposition is repeated a half-step lower from m. 36. Only two minor
differences can be found. The two anacrusis notes are added to the melody at m. 47, and
the first chord in Allegretto is arpeggiated at m. 59. The final F-major chord leads to the
next section through the common tone “A”.
2. Development
Allegro deciso: 4/4
The beginning of the development presents a totally new sound in a bright march
rhythm in the initial key. Göllerich reported that Liszt had played this section “very
rapidly.”28 Marked marcato, this rhythmically distinctive section is actually just a
27
The numbers refer to phrase lengths expressed in numbers of measures.
28
Jerger, ibid., 39.
27
transition (Example 6, mm. 70-73). The emphasized notes, A, function as dominant pedal
tones.
In mm. 71-75, straightforward tonic-dominant chord progressions are colored
by chromatic appoggiaturas to B-flat in the bass. Fast running ascending scale passages
are inserted in between march. The intervals of the first four notes of the scale (F-sharp–
G—A—B) coincide with that of the primary theme (C-sharp—D—E—F). In mm. 76-81
the sequence of the march theme is based on diminished-seventh chords.
This section also challenges the performer in many ways: quick repeated chords
and rapid changes of register and tone color while maintaining a steady pulse. The
pedaling needs to be cleared after the first beat for dramatic effect of the rests and for
clear multi-level texture. These challenges and solutions are discussed in the next chapter.
In m. 82 the arpeggio passage in F-sharp minor is marked rinforzando molto
(Example 7, mm. 82-83). These passages need to be played fluidly following the natural
28
contours of the melody, yet powerful with accents on the highest D. Large-spanning
chords for the left hand need to be shaped every two measures, emphasizing syncopated
accents while being played very rhythmically. When a chord is arpeggiated, pedaling
should include the bottom note carefully.
Another transitional passage in mm. 86-95 features repeated dominant pedal
tones in a very low register (Example 8, mm. 86-95).

29
The complex layer of the voice for the right hand is supported by the counter-melody in
the bass. Indications of marcato, rinfz, and accents in the bass imply a rather strong
stormy transition.
The pianist’s challenge is to bring out the syncopated rhythm over the steady
dominant pedal tones by the left hand. In order to bring out bass notes at a powerful
dynamic level, it is important to have a proper alignment of the hands: the fifth finger
should be kept in a straight line with forearm while the upper arm is supporting them. The
repeated notes should not be played by only one finger, rather, in alternation of 3—2—1
or 2—1. The dominant pedal tone in triplets gradually slows down to quarter notes and
finally reaches the cadence in mm. 94-95. The appoggiatura is resolved to the ascending
minor second in the upper voice. This ten-measure transition somewhat is similar to the
secondary theme in its use of syncopated rhythm and cadential pattern.
The third part of the transition, which leads to the returning primary theme in F-
sharp major, starts at m. 96 (Example 9, mm.96-98). It presents the antecedent phrase
(2+2+1+1+3) agitato and piano and the consequent phrase (2+2+1+1+2) tempestuoso.
The marking in tempo at the beginning implies that agitation is not from increasing the
tempo. Rather, it should come naturally from the way it is written; syncopated rhythm of
the secondary theme is accompanied by a broken-octave chromatic pattern. Liszt

30
carefully added crescendos and decrescendos according to the contour of the melody. He
also gradually increased dynamics by switching voices at the consequent phrase, which is
very idiomatic piano writing considering register.
Arrau said about the whole transition, “The third night [m. 70], a terrific storm
begins. These [from m. 96] of course are big waves; they must not sound like an exercise
in broken octaves.”29 Not to sound like an exercise, shaping the melodic line while
observing his marks while keeping a steady tempo is important in playing this transition.
Also, the performer should keep the chromatic pattern quite soft at the beginning.
Tertiary Theme—A piacere
This theme, in mm. 135-42, has the most lyrical but most uncertain quality. A
29
31
beautiful cantando melody is played over the ascending broken chords by the left hand as
in Example 3. Liszt often used this basically homophonic texture for lyrical passages,
including the famous one in his B-minor sonata (Example 10).
[Example 10, Sonata in B minor, mm. 357-62]
Rising fifths, syncopated rhythms, and triplets add beautiful turns to otherwise
simple lines. Parakilas described the theme as follows:
This melody, the most tentative, the most incomplete in the ballade,
takes a course typical of the work; it breaks off after four measures and starts in
again, chromatically transposed (in this case, a half-tone higher).30
The use of Neapolitan harmony recalls the opening of Chopin’s G-minor ballade and
Liszt’s imitation of it. Rubato is implied by use of the term a piacere. The chords to be
30
32
held by ties create a rich sonority that Liszt likely would have wanted. Thus this theme
can be played in a most Chopinesque way by using rubato and extensive pedaling. The
harmonic rhythm is fast because it is only eight measures long. The harmonic change of
the bass should be clearly expressed.
Through the comforting authentic cadence at mm. 142-43, this tertiary theme
leads to an Allegretto, a variation of the secondary theme. Both themes share the D-major
tonality. Liszt used the exact same procedure at mm. 225-53, transposed to B minor.
Marked appassionato, the second appearance of the tertiary theme at m. 225 is
more enthusiastic (Example 11, mm. 225-32). The melody in single tone is now enhanced
by doubling in octaves. The original piano dynamic is now mezzoforte, which was carried
over from the transition. Liszt even added accents over the syncopated rhythm and a
fermata. In mm. 230-33 the delicatamente cadenza smooths the way to the ensuing
secondary theme.
[Example 11, mm. 225-32]

33
Variations of the Secondary Theme: Allegretto
In mm. 143-58 the secondary theme returns in D major (Example 12, mm. 143-
46). It keeps an overall eighth-note rhythm against the triplet-eighth-note accompaniment.
The tonic pedal in the bass and regular phrase structure (4+4) give more stability. The
second statement is in G major. It is important to note the C-natural in m. 146; it converts
that tonic D into a new dominant. After the cadence, which features a turn derived from
the tertiary theme, the secondary theme repeats in a new key, G major.
[Example 12, mm. 143-46]
Long tonic pedal tones coincide with phrase marks and provide a rich sonority. It
34
is known that Liszt was introduced to Steinway’s middle, “sostenuto” pedal in 1833.31
Therefore, considering that this ballade was written twenty years after he knew of the
pedal’s existence, it is possible that he planned this passage with use of it in mind.
Modern pianists are encouraged to make use of this valuable source. The top notes of
parallel chords by the right hand need to be clearly voiced in a singing dolce tone.
The second variation of the secondary theme is in B major without the Allegretto
marking. Over dominant pedal tones, it is less settled than ever, dreamily drifting through
E-flat major and F-sharp major. The melody is written with alternation between left and
right hands. It is notable that placido and legato are indicated in addition to dolce, which
Liszt wrote for previous statements. Placed after the climax and the tertiary theme
appassionato, he must have wanted this secondary theme to be especially calm and
tranquil. This demands that a performer have careful control of the tones despite the busy
hand-alternating movements. Whole-note values of the pedal tone justify the use of
longer pedal.
Arrau interpreted this section after the climax as “The love [tertiary] theme that
also represents the Hero’s anxiety, or sadness—subconsciously she probably senses that
31
Watson, ibid.,170.
35
Leander is dead. Later, there are funeral bells.”32 The broken octave in the bass depicts
funeral bells.
Variations of the Primary Theme
In the development there are three variations of the primary theme set in different
keys: F-sharp minor, G-sharp minor, and C-sharp minor. The meter of the beginning, 6/4,
is now all in 4/4, but they literally keep the same melody and harmony. Through the
alteration of the accompaniment pattern and texture, each variation increases intensity
toward the climax.
The first variation, in mm. 113-34, has the most complex texture of the three. The
melody is in F-sharp minor marked fortissimo. The accompaniment has three different
types: arpeggio pattern, chromatic broken octave pattern, and repeated chords that come
from a rhythmic motive of the march theme. It is most important to bring out the melody
even through the frequent shift of different elements between hands and large leaps.
Following the dolce Allegretto section, the second variation, in G-sharp minor, is
present in mm. 162-80 (Example 13, mm. 162-67). Using the same chromatic
accompaniment pattern in the bass, this is closer to the initial statement.
32
36
[Example 13, mm. 162-67]
Because of the meter change, from 6/4 to 4/4, the chromatic scale in the bass starts on
scale degree three instead of one, as in the beginning. The harmonic filler, which provide
syncopated rhythms in the beginning, is treated as broken chords. This variation, marked
mezzoforte, is connected to the third, which is marked forte and tempestuoso. The four-
measure transition between them is marked poco a poco animato and agitato, which
implies an increasing tempo at the third variation. To maximize the increasing intensity
toward the climax, it is important to keep the second variation in a static and subtle mood,
recalling the beginning.
Example 14 shows that the third variation of the primary theme is again
tempestuoso from m. 181. The melody, in C minor, is in full chords and spans an octave,
which was more power than arpeggiated chords. The chromatic scale in the bass is
37
expanded to broken octaves in a shorter span of notes with even more dramatic rests.
[Example 14, mm. 181-84]
The transition in mm. 195-206 presents a four-note chromatic motive in
interlocking octaves. The climax, at mm. 207-15, is a point of maximum tension
(Example 15, mm. 207-09). It strongly recalls the transitional passage at the beginning of
the development section—an alternation of repeated chords in triplets and chromatic
scales in interlocking octaves. Fortississimo dynamics, chords moving in tritones, and
chromatic “Liszt octaves”33 intensify to the greatest extreme.
33
They refer to double octaves played with alternating hands. Derek Watson, Liszt,
The Master Musicians Series, ed. Stanley Sadie (Oxford: Oxford University Press, 2000),
176.
38
[Example 15, mm. 207-09]
Arrau described this climax as Hero’s final struggle through the biggest storm on
the fourth night and descending chromatic octaves in mm. 213-14 as he drowns.34 The
“Liszt octaves” here seem to create turbulence or depict a swirl in this section.
For the performer, it is the most demanding part in the work. A texture that is
actively involved in frequent leaps along with maximum dynamic levels requires the
most advanced technique. The practical guide for “Liszt octave” will be in chapter IV. It
is important to have a clear dynamic plan for effective crescendos from the second
repetition of the primary theme, in m. 162, toward the climax. The effect of turmoil or
swirl can be achieved by holding the damper pedal through the chromatic octaves in this
climax. The dramatic rests on the third beat should be observed by lifting the pedal.
34
39
3. Recapitulation
Allegro moderato: 6/4
The recapitulation in m. 254 is the crux of the work. Previously, two main
themes retained their original characters in the course of increasing intensity. The gloomy
and serious primary theme was illustrated by use of minor tonality and chromaticism. As
it proceeds, the musical intensity is built up through increasing use of thicker texture and
fuller harmony. The dreamy secondary theme returns in a soft dynamic level and
Allegretto tempo, as it was in the initial statement. But here in mm. 254-68 the primary
theme absorbs a rocking eighth-note figuration and the lyrical quality of the secondary
theme is transformed into a cantabile melody (Example 16, mm. 254-57).
[Example 16, mm. 254-57]
Not only is it in the major key for the first time in the piece, it also resolves the
incompleteness and ambiguity of the primary theme in many ways. For example,
40
irregular phrase lengths of the beginning (6+4+4+7) are now balanced by 4+4 phrasing
with authentic cadences, and the static and ambiguous harmony of the chromaticism is
now beautifully harmonized in B major. The transformation is so dramatic that it is hardly
noticeable that the melody starts with the very same note in the initial tempo marking and
meter as the beginning.
The second statement enhances the same melodic line in octaves accompanied by
ascending arpeggio patterns spanning over three octaves (Example 17, mm. 261-63). In
the autograph score this second statement of the theme stands alone. Liszt added the first
statement in front of it just before the score was printed. Parakilas wrote “[T]he
expansion makes a great difference. Not only is the moment underscored, but the theme
in this periodic form now stands complete in itself for the first time.”35
[Example 17, mm. 261-63]
For performers the priority is to bring out this beautiful melody in the middle
35
41
voice. When it shifts to the left hand it is important to keep voicing through large leaps.
Also, careful pedaling is required to hold bass notes.
For the succeeding section, mm. 269-81, the a piacere melody returns poco piu
mosso as seen in example 18.
[Example 18, mm. 269-72]
The meter is changed to 4/4. The first ascending melodic line recalls the primary theme,
which blends into the thematic idea of the a piacere theme. Pesce wrote, “this
coalescence of expressive types was an essential feature of the Ballade’s design.”36
Structurally, this is a transition that transforms the primary theme from a cantabile
version to grandioso. In the beginning it is still in a beautifully singing melody, marked
36
Dolores Pesce, ibid., 409.
42
piano with just a little faster tempo. The crescendo e accelerando, at m. 276, indicates a
rhythmic and dynamic crescendo toward the ensuing fortissimo section (Example 19, mm.
275-80). Along with an accelerating tempo, large leaps by the left hand in fast harmonic
rhythm make this section difficult. To learn the harmonic changes efficiently, the fast-
moving arpeggiated chords should first be practiced as blocked chords in one-octave
ranges, paying attention to common tones. Then, play those blocked chords moving in
designated registers. Note that the bass line is ascending by half-step.
[Example 19, mm. 275-80]

43
Grandioso: 6/4
The last two statements of the primary theme are the ultimate climax. At m. 284
the theme is presented in full chords alternating with running sixteenth-note figurations
(Example 20, mm. 284-87). Full three-or four-note fortissimo chords with widely spaced
bass notes create an extravagant and heroic return of the main theme. This is again the
same texture as the beginning of the Allegro deciso section, the first variation of the
primary theme and the climax. The rising and falling sixteenth notes consist of diatonic
scales instead of the massive chromaticism earlier. The numbers of sixteenth notes
increase towards the end.
[Example 20, mm. 284-87]
Regardless of the change, it is important to keep the last note of the passage on the fourth
44
beat of each measure. In m. 240 it is more effective not to put much force at the
beginning of the tremolo passage even though it read più rinforzando. It should shape the
left-hand octave by starting rather calmly and making a dramatic crescendo to the
ensuing fortississimo section.
The last statement of the primary theme is also marked grandioso, with the
greatest dynamic in the work as seen in the Example 21. Liszt offers two versions of
accompaniment pattern. One is echoing ascending octaves in similar pattern with the
rhythmic motive of the allegro deciso section. The other is an ascending scale passage
that most performers prefer these days.
[Example 21, mm. 292-93]
In the latter the ascending pattern fits comfortably in the B-major scale, but each begins
on a different scale degree. While the right hand firmly plays the first chord and the
45
smooth ascending scales, the left hand plays a scale in unison then takes over the melody.
The scales need to sound like a sweeping motion rather than metrically conforming to the
beat. These powerful reprises of the primary theme seem to be very properly called an
“apotheosis,” as Parakilas did. The use of major tonality transformed the serious nature of
the primary theme into a divine status. Ascending scales seem to depict the elevation
literally.
Andantino
Liszt wrote three different versions of the coda, the passage after the final
transformation of the theme. The first version brings back the secondary theme in an
exciting dotted rhythm (Example 22, mm. 301a-04a). Through the triplets and
interlocking double-octave passagework, it leads to a triumphant conclusion.
[Example 22, mm. 301a-04a]

46
In the second version of the ending, Liszt went even further in the same direction
(Example 23, mm. 301b-05b). He specified a new meter and a tempo that is precisely the
same as the coda of Chopin’s first ballade. He extended this version with another
triumphant climax that recapitulates the climax heard in the development.
[Example 23, mm. 301b-05b]
The final version is much shorter. The Allegretto theme finally arrives in B major
in m. 305 (Example 24, mm. 305-16). It retains the original lyrical quality, but in slower
tempo, Andantino. The long journey of the ballade finally comes to the end with a serene
chordal cadence pianissimo. Parakilas wrote that this ending was satisfactory on the
following counts;
First the co-theme was displaced just before (m. 284), when the A
piacere melody was followed by the Grandioso transformation of the theme; the
restoration of the co-theme is now all that is needed to complete the final episode
and resolve the work. It is also satisfying that the co-theme is restored in its
47
original form, with its original accompaniment. After a long process of

engagement between the theme and co-theme—an engagement in which each
accommodated to the rhythm of the other—the Ballade ends by restoring their
original rhythmic distinctness. The independence remains: the theme still breaks
off, to be completed by the co-theme; but now the completion is made in the
same key, the tonic major. Still incomplete without each other, theme and co-
theme end, in effect, at peace with themselves.37
[Example 24, mm. 305-16]
Whether labeled theme and co-theme or primary and secondary theme, their
unique relationship is one of the characteristics of the work. Liszt’s remarkable treatment
of themes through transformation and variation technique allows the ballade real
dramatic effect to the level of transfiguration.
37
48
III. A PRACTICAL GUIDE TO TECHNICAL CHALLENGES
This chapter will be mainly concerned with the technical issues that performers
would have with this ballade. Three representative passages have been extracted to show
that technical problems cannot be solved solely with endless repetition. The question is
“how effective” and “how musical” must one become to overcome those difficulties. I
will take three steps to answer those questions: first is to analyze the passage with focus
on specific difficulties from the viewpoint of a performer; second is to find how those
passages should be played, that is, what kind of technique or physical movements should
be used; third is to devise practice procedures to achieve musical goals. To be more
practical and comprehensive, I will use the methodology and symbols that Gyorgy
Sandor used in his book titled On Piano Playing.
1. Gyorgy Sandor’s Basic Technical Pattern
A renowned Hungarian pianist, Gyorgy Sandor (b. 1912) defined technique as
“the sum total of organized motions executed by the performer. These motions produce
sounds that recreate the moods of the composer in the performer’s own interpretation.”38
38
Gyorgy Sandor, On Piano Playing (New York: Schirmer Books, 19981), ix.
49
He divided piano technique into five basic motion patterns (free fall, five-fingers, rotation,
staccato, and thrust) and provided methods of execution.
The free fall motion consists of three stages. The first is lifting the upper arm,
forearm, and hand and fingers successively; next is dropping all these four body parts at
the same time using the force of gravity; the third is landing and slight rebound of the
hand and wrist while the fingertips remain on the key. The muscles do not participate
during the downward motion of the arm. Its fall and acceleration are caused exclusively
by the force of gravity.39 On the other hand, the thrust is executed purely by active
muscles, and neither the force of gravity or weight are employed. The fingers are placed
on the surface of the keys and push down with a sudden instantaneous contraction of
some of the strongest body and arm muscles. This action generates maximum speed in
the fingertips. Dynamic level depends on the abruptness of the attack.40
The five-fingers are extensions and a continuation of the forearm muscles and
tendons that move them. Each of the fingers has a characteristic position in which it
functions at its best. The thumb generally requires a lower wrist position than the other
fingers, and the wrist and arm gradually rise with progress toward the fifth finger. Scales
39
Ibid., 37-51.
40
Ibid., 108-14
50
and arpeggios constitute a large part of piano playing. Sandor insisted that the thumb
should not be placed under the palm of the hand since it is forced into the unnatural and
tight position and practically causes immobilization. It is much better to allow the elbow
to swing out and the thumb to reach its note in an unrestricted way than to restrain it by
forcing it under the palm. To play scales and arpeggio passages evenly and fluently in a
fast tempo, we throw the fingers instead of placing them.41
The rotation refers to the rotary motion of the forearm in zig-zagging notes.
Rotation is very helpful in adding power and speed to the fingers. When playing in
sequence, the elbow should shift continuously, the wrist must be inactive and avoid any
twisting motion, and the fingers must be active but must never reach out to the next
note.42
Staccato technique involves an active and coordinated arm, wrist, hand, and
finger motion in which all the components participate simultaneously. Essentially,
staccato motion is a throwing motion. The staccato motion differs from free fall in that
the pianist actively throws the arm with the help of the shoulder and chest muscles. The
41
Ibid., 52-78.
42
Ibid., 79-92.
51
throw is minimal, but it is active. Especially the upper arm is actively engaged at all times.
The force of gravity also contributes to the downward motion, but the main source of
energy is one’s own muscles. One spends as little time as possible on the surface of the
keys and lifts the entire arm simultaneously. The motion of octave technique is
considered the same as the staccato. The volume of the sound is regulated by the joints:
soft joints are used for soft sounds, and resistant and resilient joints are used for louder
sounds. Any fixation of the joints in forte playing should always be instantaneous and not
prolonged.43
These fundamental motions can be applied individually or in combination.
Sandor also defined four distinct touch forms—legato, staccato, portato, and tenuto. In
legato the notes are connected with an upward arm motion and by letting the dampers fall
slowly. On the other hand, the dampers fall freely in tenuto. This will create a slight
disconnection between the notes that is characteristic to tenuto. When tenuto is called for,
a horizontal arm notion with a clear upward articulation of the fingers is used, and the
almost imperceptible separation of the notes is accomplished by the free fall of the
damper. The portato indicates a vertical wrist motion on each note and gentle finger
activity. This subtle down-up motion of the wrist slows the action of the dampers to the
43
Ibid., 93-107.
52
point where the notes are barely separated gradually, not suddenly.
Sandor clearly explained the concept of the five basic motion patterns and their
method of execution. It also helps to understand the four touch forms and how they can
be produced. My first agenda is to translate the notational patterns in the score of Liszt’s
second ballade into their corresponding motion patterns. Markings on the examples are
the symbols that Sandor used in his book.44
A free fall
B five-fingers, scales and arpeggios
C rotation
D staccato
E thrust
↓ low wrist
↑ high wrist
legato
. . . . . portato
–––––– tenuto
. . . or ▼▼▼ staccato
> or ^ marcato
sf sforzato
2. Large Leaps in mm. 69-85
This is one of Liszt’s favorite textures mentioned earlier, i. e., juxtaposition of
44
Ibid., 141.
53
motives in different registers (Example 25, mm. 72-81).
[Example 25, mm. 72-81]
The first is octaves in the extreme of the keyboard, marcato. The symbol is
marked at the beginning of every two measures in accordance with two-measure phrasing.
Those marcato chords should not be played as free fall because it will cause imprecision.
They should be played in a thrust motion. Therefore, they need to be prepared directly on
the surface of keys and played with a sudden and quick contraction of the muscles. At the
fourth beat, though, triplet repeated notes are added as anacrusis to the next downbeat.
Those repeated notes are played staccato and very close to the keys utilizing the rebound
54
effects. Direction to the downbeat can be clear if the first note of the triplet is played
lightly and with a crescendo using a throwing motion to the downbeat. The ascending
scale should be played by a quick drop-and-up wrist motion.
Pianists’ difficulty is large leaps in fast tempos. I suggest practicing those leaps
using “stop—prepare” technique; after playing one chord the hand should be shifted to
the next position using the entire upper arm as quickly as possible. Stop when all
involved fingers are on the surface of the keys, being ready to play the next notes. Repeat
this procedure starting with the smallest unit, two leaping chords at a time, until the
fingers are ready as quickly as is necessary for Allegro (Example 26, stop-prepare on m.
72).
[Example 26, stop-prepare on m. 72]
The next step is to apply this “stop-prepare” technique with a simplified version
of the passage (Example 27). When shifting into a new position is quick enough, one can
55
play more rhythmically without “stop.”
[Example 27, simplified version of mm. 74-77]
Another tip for successful leaps is to shift hand position through common or
close tones. For example, there is a move from a C-sharp diminished-seventh chord to a
F-sharp diminished-seventh chord in mm. 76-77. Instead of thinking of leaps of fourths in
the outer voices (Example 28-a), find closely moving notes-C sharp to C-natural and E to
E-flat (Example 28-b).
[Example 28, chord combination for wide leaps at mm. 76-77]
It is also important to pay attention to the change of the designated fingerings on

56
those close tones. A different combination of chords can be implemented (Example 28-c
to h). The practice technique mentioned above can be also applied to mm. 119-28.
3. “Liszt Octaves” in mm. 199-215
One of the Liszt’s favorite devices is the so-called “Liszt octaves,” double
octaves played by alternating hands. Through a survey on historical piano technique,
Gerig Reginald concluded that the means for specific technical development is “to find
balance between pure drill and the solving of technical problems through intelligent
practice of the serious piano literature itself.”45
Liszt’s Exercises46 contains “pure drills” for many skills including Liszt’s octaves.
Many exercises specifically for the interlocking technique are included in books 3, 7, and
8: diatonic and chromatic scales alternating the hands, combining one, two, three, and
45
Reginald Gerig, “On Liszt's Piano Technique” in New Light on Liszt and His
Music: Essays in Honor of Alan Walker's 65th Birthday. Franz Liszt Studies Series, no. 5.
Edited by Michael Saffle and James Deaville (Stuyvesant, New York: Pendragon Press,
1993), 267.
?
46
They were written between 1869 and 1879 and published in 12 volumes after his
death. Konrad Wolff assumed that these exercises might stem from Liszt’s daily routine
on which he spent for 4 or 5 hours for triplets, sextuplets, octaves, tremolos, repeated
tones, cadences, etc. in his early period, written down for the benefit of his students later.
“Liszt’s Approach to Piano Technique,” Journal of the American Liszt Society, 4 (1978):
45.
57
four notes; scales with alternating hands in double thirds, sixths, and first inversion
chords, scales in octaves with alternating hands.
[Example 29, from Liszt Exercises]
29-a, Diantonic scale using one finger
29-b, Chromatic scale using two-three-four fingers
29-c, Interlocking diantonic sixth

58
29-d, Interlocking chromatic octaves
As shown in Examples 29-a to d, those will be wonderful preparatory exercises
for Liszt’s octave technique, which plays an important role in creating an intensity of the
climax in this ballade.
The chromatically descending “Liszt octaves” dominate at the transitional
passage in mm. 199-206 (Example 30, mm. 199-202).
[Example 30, mm. 199-202]

59
The accents alter what would otherwise be all staccato motions into a low wrist
position every four notes. In terms of practice procedure, I suggest learning the chord
progressions first as in example 31-a. The next step is to practice down-wrist movement
and staccato motion by playing in unison, thumbs only as in example 31-b and with
octaves as in example 31-c. Examples 31-d and 31-e show how to practice alternating
technique focusing on even distribution of weight between hands.
[Example 31, practice procedure for mm. 199-206]

60
In playing interlocking chromatic scales, seen as in mm. 213-14, spatial
allocation of the hands is important. One hand should play the black keys while staying
close to the fallboard with a relatively high wrist, while the other should play close to the
edge of the white keys with a relatively low wrist. Hands must switch their position
between B—C and E—F. In a fast tempo, these switches need to be instantaneous.
Therefore, it is worth noting where the switch happens using “stop-prepare” practice
technique (Example 32-a). Example 32-b shows blocking two notes. Different groupings
of scales are also helpful (Example 32-c, d, e). In these specific measures, shaping the
melodic contour is crucial, crescendo through ascending and decrescendo through
descending.
[Example 32, practice suggestion for mm. 213-14]

61
Octave patterns prevail throughout mm. 199-215 and can be played in basically a
staccato motion. When one basic motion dominates for an extended period of time, it is
important to avoid prolongation of any fixed position. Thus the search for spots for
relaxation is crucial. As mentioned above, the use of down-writst motion at the accents
will be felpful in mm. 199-206. From m. 207 hands should be relaxed in the natural
position between register changes. The same practice procedure, used for mm. 69-85,
including “stop-prepare” techniques, can also be applied to this part.
4. Scale Passages in mm. 292-97
The main goal of this passage is to present the melody over fluidly swift
62
ascending scales regardless of irregular grouping. The B-major scale comfortably fits our
hands; short thumbs on white keys and longer fingers on black keys. What makes this
passage much harder than it looks is the irregular number of notes in each beat, with
various beginning and final notes. The melody also alternates between hands.
Along with the most common practice techniques, such as practicing hands
separately or melody and accompaniment separately, one of the effective practice
techniques for this passage is “groups backward.”47 First on the local level, for example
within one measure here, play the last two beats until an even sound can be produced
comfortably (Example 33-a). Then add a beat from the back one by one (Example 33-b, c,
d).
[Example 33, groups backward practice for mm. 292-97]
47
I have learned this practice technique at the workshop entitled “From Mystery to
Mastery: Guiding Students for the Beginning Stages to the Artistic Performance Using
Creative Practice Techniques” by Ingrid Jacobson Clarfield in 2000 at College-
Conservatory of Music, University of Cincinnati. Ms. Clarfield is the Professor of Piano
at Westminster Choir College of Rider University.
63
This “groups backward” technique can be expanded by adding measures one by
one from the back within the section. It is also an excellent tool for secure memorization
if applied to the whole work by adding one section at a time from the last one. To practice
the leap, which is another challenge in this passage, only every fifth and sixth beat to the
next downbeat can be played as in Example 34-a and b. The focus is to bring out the
melody here. The musical goal in this passage is to sound fluidly, never metrical, in this
final stage of the transfiguration.
[Example 34, isolated practice for leaps in mm. 292-97]

64
V. CONCLUSION
Liszt’s second ballade is a large-scale character piece in distinctive formal
structure. Using many deviant features, it is obvious that he adapted the sonata principle
consisting of contrasting thematic ideas and tonal relationships between themes and
three-part schemes, though it can be divided into more parts including the repetition of
the exposition.
Three themes are individually unique and at the same time closely related. The
primary theme is a step-wise melody in the low register in minor tonality featuring a
chromatic accompaniment pattern, while the secondary theme is chordal in high registers
in a dominant tonality featuring syncopated rhythms. However, these two themes have
similar irregular phrase structures and “fixed progressions,” thus sounding more
continuous than conflicting. Appearing in the middle of the development, the tertiary
theme is lyrical and tentative with beautiful melodic turns and leaps. It shares the same
tonality with the ensuing secondary theme and functions as the introduction to it. The
primary theme has a tonic-dominant key relationship with the secondary theme and
relative minor—major relationship with the tertiary theme.
In addition to developing a fragment of the four-note motive and syncopated

65
rhythm, Liszt used variation technique extensively in the development section. The
variation technique can be characterized as incremental repetition with changes in a
manner similar to Chopin’s. Furthermore, Liszt used thematic transformation in the
recapitulation. Not only is the theme transformed into totally different characters, but also
different thematic ideas are joined together. Especially, Allegro moderato from m. 254 is
the true crux of the work because it resolves the incomplete and uncertain nature of the
primary theme by use of relative major tonality with beautifully harmonized
accompaniment and regular phrase structures consisting of two periods with cadence. The
last return of the primary theme is rather heroic and a real climax of the work. Wagner
describes the distinct reconciliation of the themes as “transfiguration.”
Liszt’s music generally calls for extensive pedaling. He requested syncopated
pedal at the beginning even over the chromaticism and una corda for the secondary
theme. The syncopated bass notes in two variations of the secondary theme imply the
possible use of the middle pedal. Performers should plan overall dynamics within this
end-directed structure and tempo relationships between themes carefully established.
Technical difficulties including “Liszt’s octaves” in the ballade can be overcome by
devising effective practice procedures. One should also seek musical solutions to the
technical challenges. Derek Watson wrote, “Innovation, with Liszt, is always the servant
66
of expression. Technique is refinement. Even the most advanced technique remains the
servant of expression in Liszt’s aesthetic ideal.”48
48
Derek Watson, Liszt, The Master Musicians series, ed. Stanley Sadie (Oxford:
67
SELECTED BIBLIOGRAPHY
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________. Ballades, München: G. Henle Verlag, 1996.
________. Ballade for Pianoforte. Berlin: Feja, 2000. Reprint, Leipzig: F. Kistner, 1849.
________. The Liszt Studies: Essential Selections from the Original 12-Volume set of
Technical Studies for the Piano. Translated and edited by Elyse Mach. New
York, London: Associated Music Publishers, 1973.
________. Nine Works by Franz Liszt. Jorge Bolet Memorial Editions, v.5, ed. Teresa
Escandon: Warner Bros. Publications Inc., 1995.
________. Technical Exercises for the Piano. Edited by Julio Esteban. Port Washington,
N.Y.: Alfred Music, 1971.
Secondary Sources
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Brendel, Alfred. Musical Thoughts and Afterthoughts. London: Robson Books, 1976.
Chaffin, Roger, Gabrela Imreh, and Mary Crawford. Practicing Perfection: Memory and
Piano Performance. Mahwah, N.J.: Lawrence Erlbaum Associates, Pub.,
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Chasins, Abram. Speaking of Pianists. New York: Knopf, 1958.

68
Colomer, Consuelo. Sobre Tecnica Pianistica (On Piano Technique). Translated by

Octavio Roca. New York: Vantage Press, 1991.
Cooke, James Francis. Great Pianists on Piano Playing. Philadelphia: Theodore

Presser Co., 1917.
Cortot, Alfred. Cours d'interprétion (Alfred Cortot's Studies in Musical Interpretation).

Translated by Robert Jaques. New York: Da Capo Press, 1989.
________. Principes rationnels de la technique pianistique (Rational Principles of

Pianoforte Technique). Translated by R. Le Roy-Metaxas. Paris New York:
Salabert, c 1930.
Coviello, Ambrose. Foundations of Pianoforte Technique: Co-ordination Exercises.

London: Oxford University Press, 1934.
Dale, Kathleen. Nineteenth-Century Piano Music. New York: Da Capo Press, 1972.
Dumesnil, Maurice. Pedaling. Chicago: Summy Publishing Company, 1956.
Fay, Amy. Music-Study in Germany. Edited by Fay Peirce. New York: Da Capo Press,
1979. Reprint, New York: The Macmillan Co., 1908.
Fink, Seymour. Mastering Piano Technique: A Guide for Students, Teachers, and
Performers. Portland, Oregon: Amadeus Press, 1992.
Friedberg, Ruth C. The Complete Pianist: Body, Mind, Synthesis. Metuchen, N.J.: The
Scarecrow Press, Inc., 1993.
Friskin, James. The Principles of Pianoforte Practice. New York: H. W. Gray, c 1921.
Gebhard, Heinrich. The Art of Pedaling: A Manual for the Use of the Piano Pedal. New
York: F. Colombo, 1963.
Gerig, Reginald. Famous Pianists and Their Technique. Washington: Robert B. Luce, Inc.,
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1974.
Gieseking, Walter, and Karl Leimer. Piano Technique Consisting of the Two Complete
Books: The Shortest Way to Pianistic Perfection and Rhythm, Dynamics, Pedal
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1972. Reprint, Bryn Mawr: Theodore Presser Co., 1932.
Gillespie, John. Five Centuries of Keyboard Music. London: Wadsworth Publishing

Company, 1965. Reprint, New York: Dover Publications, 1972.
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the Problem of Artistic Piano Playing. 2nd ed. n.p., 1969.
Hinson, Maurice. Guide to the Pianist's Repertoire. 3rd ed. Bloomington: Indiana
University Press, 2000.
________, ed. Masters of the Piano Ballade: A Guide to Style and Interpretation. Van
Nuys, Calif.: Alfred Publishing Co., n.d.
Hofmann, Josef. Piano Playing with Piano Questions Answered. New York: Dover
Publications, Inc., 1976. Reprint, Philadelphia: Theodore Presser Co., 1920.
Horowitz, Joseph. Conversation with Arrau. New York: Limelight Editions, 1992.
Jerger, Wilhelm, ed. The Piano Master Classes of Franz Liszt, 1884-1886: Diary Notes of
August Göllerich. Translated, edited, and enlarged by Richard Louis Zimdars.
Bloomington and Indianapolis: Indiana University Press, 1996.
Kinderman, William and Harald Krebs, ed. The Second Practice of Nineteenth-Century
Tonality. Lincoln: University of Nebraska Press, 1996.
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70
Lachmund, Carl. Living with Liszt: From the Diary of Carl Lachmund, an American
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Cneturies: A Study of Theory and Practice Usicn Origianal Documents.
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Reeves, 1913.
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Merrick, Frank. Practicing The Piano. 3rd ed. London: Barrie and Rockliff, 1965.
Musafia, Julien. The Art of Fingering in Piano Playing. New York: MCA Music, 1971.
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London: The University of Chicago Press, 1998.
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1989.
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UNIVERSITY OF CINCINNATI

July 25, 2005

This work and its defense approved by:

Professor Robert Zierolf

A graduate document proposal submitted to the

Division of Graduate Studies

In partial fulfillment of the

DOCTOR OF MUSICAL ARTS

in the Keyboard Studies Division

July 25, 2005

M.M. Michigan State University, 1997

Advisor Professor Robert Zierolf ________________________

Readers Professor Michelle Conda ________________________

Professor Eugene Pridonoff ________________________

This document is intended to guide students, teachers, and performers toward

should I overcome technical difficulties in certain passages? Each chapter is designed to

answer these questions, respectively.

In chapter I, the historical background of the composer and overview of the

Sandor’s methodology to identify and apply basic physical motions.

II. Formal Analysis. . . . . . . . . . . . . 9

III. An Interpretative Analysis. . . . . . . . . . . 19

IV. A Practical Guide to Technical Challenges. . . . . . . 48

Example 1, mm. 1-6. . . . . . . . . . . . . 10

Table 1, analysis of exposition. . . . . . . . . . . 14.

This document is intended to guide students, teachers, and performers toward

should I overcome technical difficulties in certain passages? Each chapter is designed to

answer these questions, respectively.

In chapter I, the historical background of the composer and overview of the

Sandor’s methodology to identify and apply basic physical motions.

1. Historical Overview of the Ballade as a Genre

song with piano accompaniment, it was a narrative of legendary or historical events in

comparable to that of Mendelssohn’s Songs without Words. It was also a result of

composers expanded their boundaries by taking freedom from the limitations of

2. Chopin’s Influence on Liszt’s Two Ballades

persuasive supporter of Chopin’s music by programming his etudes and mazurkas

including Polonaise, Berceuse, Mazurka, and Ballade. Chopin’s influence on Liszt is

Furthermore, Liszt’s use of four-square, periodic phrasing—rather atypical for him—is a

3. Liszt’s Second Ballade

narrative or programmatic.7 Maurice Hinson described this piece as “[w]ritten in the

Romantic composers were fond of program music. Liszt’s works are

predominantly programmatic or dependent on ideas and concepts outside music. Despite

considered this piece “one of Liszt’s masterworks,”9 attributed this interpretation to an

oral tradition.10 In Encyclopedia Britannica, Hero and Leander is described as follows:

Lovers celebrated in Greek legend. Hero, virgin priestess of Aphrodite, was

4. Liszt and Technique

In addition to his contribution to nineteenth-century piano repertoire, Liszt had

auditorium. Liszt also invented the concept of the masterclass.

Liszt’s contribution to the historical development of piano technique is also

interpretation of the Romantic character piece.”12 Inspired by virtuoso violinist of the

favorite devices in his writing as follows:

Use of interlocking hands was a favorite device and famously exploited

demands an advanced level of technique.

II. FORMAL ANALYSIS

expression and compositional purposes.

1. Adaptation of Sonata Design

melody in a gloomy mood set up by the monotonous repetition of ascending and

descending chromatic scale patterns in the bass (Example 1, mm. 1-6).

[Example 1, mm. 1-6]

(Example 2, mm. 24-26).