1. David Fanning, "Introduction. Talking about eggs: musicology and Shostakovich." in Shostakovich Studies ed. David Fanning (Cambridge: Cambridge University Press, 1995), 8.
3. Patrick McCreless, "The Cycle of Structure and the Cycle of Meaning: the Piano Trio in E minor, Op. 67" in Shostakovich Studies ed. David Fanning (Cambridge: Cambridge University Press, 1995), 118.
4. For an in-depth look into semiotic analysis of Shostakovich's music, see Esti Sheinberg, Irony, Satire, Parody and the Grotesque in the Music of Shostakovich. (Burlington, Vermont: Ashgate Publishing Company, 2000).
5. McCreless, 118.
6. Richard Cohn, "Introduction to Neo-Riemannian Theory: a Survey and a Historical Perspective." Journal of Music Theory 42 (Spring 1997): 168.
8. Charles J. Smith, "The Functional Extravagance of Chromatic Chords." Music Theory Spectrum 8 (1986): 94-139.
9. Cohn is quick to note that although the nineteenth-century theories referred to in this system are based upon those of Riemann, many of these concepts were not original to him. See Cohn 1997, 173.
10. For a collection of articles exploring various aspects of New-Riemannian Theory, see Journal of Music Theory 42 (Spring 1997).
11. Gregory Proctor, "Technical Bases of Nineteenth-Century Chromatic Tonality: A Study in Chromaticism" (Ph.D. diss., Princeton University, 1978), 149.
12. Daniel Harrison, Harmonic Function in Chromatic Music: A Renewed Dualist Theory and an Account of Its Precedents (Chicago: University of Chicago Press, 1994), 45ff.
13. McCreless, "An Evolutionary Perspective on Nineteenth-Century Semitonal Relations" in The Second Practice of Nineteenth-Century Tonality ed. William Kinderman and Harald Krebs (Lincoln, Nebraska: University of Nebraska Press, 1996), 103.
14. For examples of other themes from Symphony No. 1 that are dominated by stepwise chromatic motion, see mm. 3-10 of the second movement, mm. 1-16 of the third, and mm. 31-43 of the fourth.
15. Smith, 121.
16. For discussion of the thematic material from this passage and its derivation from the symphony's opening, see Eric Roseberry, Ideology, Style, Content, and Thematic Process in the Symphonies, Cello Concertos and String Quartets of Shostakovich (New York: Garland, 1989): 53-4.
17. In the recapitulation of this theme, which returns in the tonic major, the opening progression of tonic, predominant, and dominant does resolve to tonic as expected.
18. Harrison, 48.
19. Smith, 112.
20. Richard Cohn, "Maximally Smooth Cycles, Hexatonic Systems, and the Analysis of Late-Romantic Triadic Progressions." Music Analysis 15/i (1996): 9-40.
21. Cohn refers to such hexatonic progressions as T2 movements, the transformational "T" referring to the mapping of triads in a hexatonic system, not in chromatic space, and "2" pertaining to the two steps between each harmony in the given system. See Cohn, 1996: 19-20.
22. Ibid., 33.
23. Robert Bailey, "The Structure of the Ring and its Evolution." Nineteenth-Century Music 1 (1977): 51.
24. Dmitri Shostakovich, "Moy tvorcheskiy otvet" [My Creative Response], Vechernyaya Moskva January 1938, p.8; translated by Richard Taruskin in Defining Russia Musically (Princeton, NJ: Princeton University Press, 1997), 523. Taruskin indicates it is unlikely that Shostakovich wrote this article himself, but he did accept the implications of its title. Known for using irony and sarcasm in his writing, one could imagine Shostakovich approving of this statement and its alternate interpretations.
25. McCreless, "The Cycle of Structure and the Cycle of Meaning: the Piano Trio in E minor, Op. 67": 125.
26. It seems that Shostakovich intentionally created an expectation of E at the end of the ostinato, for when this passacaglia progression returns in the finale at rehearsal 105, the penultimate harmony of B minor resolves to E major, an authentic resolution making the hypothetical resolution shown in Example 11b not so hypothetical. In retrospect, the original passacaglia progression with its unconventional ending is set up to make the authentic resolution in the finale more poignant as the expected conclusion never reached in the passacaglia is finally achieved.
27. My thanks to Stefan Kostka who suggested this example to clarify my point.
28. Ian MacDonald, The New Shostakovich (Boston: Northeastern University Press, 1990), 172-4. The piano trio was begun in December of 1943, a few months before Sollertinsky's death on February 11, 1944, but Shostakovich worked on the final three movements during the following summer, completing the entire composition on August 13, with Sollertinsky's name in the dedication. (Elizabeth Wilson, ed., Shostakovich: A Life Remembered (Princeton, NJ: Princeton University Press, 1994), 196.)
29. McCreless, "The Cycle of Structure and the Cycle of Meaning: the Piano Trio in E minor, Op. 67": 128.
30. Georgiy Khubov, "5-ya simfoniya D. Shostakovicha," Sovetskaya musika 6, No. 3 (1938): 14-28; translated by Richard Taruskin in Defining Russia Musically (Princeton, NJ: Princeton University Press, 1997), 527.
31. Taruskin, 484-6.
32. Fanning, 6.
End of footnotes