The next day Xiahou Dun spearheaded Cao Cao's attack. With five thousand in his command he tried to provoke Lord Guan to battle, but it was in vain. Finally, he sent a man to the base of the city wall to denounce Lord Guan personally. And Lord Guan, incensed, rode forth with three thousand. The two warriors clashed, but after ten bouts Dun wheeled and fled. As Lord Guan pursued, Dun fought and ran in turn until he had drawn his man some twenty li from the city. Fearing that Cao's army might seize Xiapi, Lord Guan turned back—only to hear the peal of bombards. To his left, Xu Huang; to his right, Xu Chu—their squadrons checked his retreat. Lord Guan moved to force a path. Ambushers concentrated their crossbow shots from two sides, and bolts whizzed down like locusts. Lord Guan could not pass. He pulled his men back, but Xu Huang and Xu Chu were ready for him. With a supreme effort Lord Guan pushed them back, making a valiant last attempt to fight his way through to Xiapi, but Xiahou Dun barred the way. The battle raged into the night. Finding no way home, Lord Guan struggled to a hilltop with his followers. There he rested.
Cao Cao's men clustered around the base of the hill, sealing all avenues of escape.1 In the distance Lord Guan could see flames rising from the city. (In fact, the false defectors sent by Cao Cao had quietly opened the gates, and Cao, after battling his way into Xiapi, had told his men to set some harmless fires to weaken Lord Guan's will.) Distraught at the sight, Lord Guan charged down the hill again and again throughout the night, only to be driven back by volleys of arrows. At dawn he marshaled his men for a breakthrough when he saw a single rider—as if from nowhere—racing toward him. He recognized Zhang Liao.2
"You come as an adversary, I presume," Lord Guan called to him as he approached. "No," Liao replied. "I come in respect of our long-standing friendship." The envoy threw down his sword and dismounted. The formalities concluded, the two men sat together at the summit. "You must have come to win me over," Lord Guan began. "Not so," Zhang Liao responded. "Brother, you once saved my life. How could I not try to return the favor?" "Then you come to lend us aid!" Lord Guan exclaimed. "Not that, either," Zhang Liao said. "Then why have you come?" Lord Guan asked.3 "Xuande's survival is in doubt," Zhang Liao went on, "as is Zhang Fei's. Last night Lord Cao took Xiapi, without injury to soldier or civilian. A special detail guards Xuande's family for their safety and peace of mind. I come first of all to tell you this."
"You will not succeed in influencing me," Lord Guan said angrily. "Bad as things look, death means no more to me than a welcome homecoming. You'd better leave at once. I will be riding down to do battle." Zhang Liao laughed loudly. "Brother," he said, "do you want to be the laughingstock of the empire?" "I will die," Lord Guan said, "devoted to my duty. I don't think the world will take it as a joke." "Dying here," Zhang Liao said, "you commit three offenses."4 "Well then," Lord Guan replied, "what are they?"
"In the beginning," Zhang Liao said, "when you, brother, and Protector Liu5 bound yourselves in fraternal allegiance, you swore to share life or death. Now your brother has been defeated, and you are about to die in combat. If Xuande survives and seeks your aid in vain, won't you have betrayed your oath? That is your first offense. Protector Liu's immediate family was placed in your care. If you die now, his two wives will have no one to defend them, and you will have betrayed his trust.6 That is your second offense. And third, not only is your martial skill incomparable, you are learned in the classics and the histories. You joined with the protector to uphold the house of Han. If you lapse in your determination and achieve a fool's valor instead by vainly rushing to certain death, how have you fulfilled your 'duty'? This is the statement, brother, I felt obliged to make."
Lord Guan pondered. "Well," he said at last, "you have explained the three offenses. What would you have me do?" "Lord Cao's troops," Zhang Liao replied, "are on four sides. If you refuse to submit, you will die. To die in vain avails nothing. It makes more sense to submit, for now, while you seek news of the protector. When you learn where he is, you may go to him immediately. That way you will ensure the safety of the two ladies, you will remain true to the peach garden oath, and you will preserve your own most useful life. These, brother, are the advantages for you to weigh." "Brother," Lord Guan replied, "you speak of three advantages. I have three conditions. If His Excellency agrees, I will lay down my arms at once. If not, I am content to die with the three offenses upon my head." "His Excellency is magnanimous and accomodating and has always shown forebearance. I beg to hear your conditions," answered Zhang Liao.
"First," Lord Guan said, "the imperial uncle, Liu Xuande, and I have sworn to uphold the house of Han. I shall surrender to the Emperor, not to Cao Cao.7 Second, I request for my two sisters-in-law the consideration befitting an imperial uncle's wives. No one, however high his station, is to approach their gate. And third, the moment we learn of Imperial Uncle Liu's whereabouts, no matter how far away he may be, I shall depart forthwith. Denied any of these conditions, I shall not surrender. Please return to Cao Cao with my terms."
Zhang Liao communicated Lord Guan's terms to Cao Cao. Told of Lord Guan's insistence on yielding to the Emperor and not to the prime minister, Cao Cao laughed and said, "I am the prime minister of the Han. The Han and I are one. This then may be granted." To the second condition, protection of the women, Cao Cao responded, "To the income of an imperial uncle I will add a like amount, thus doubling it. As for prohibiting outsiders from entering the residence of Xuande's wives, that is the rule of any decent house and a matter of course here." But at Lord Guan's third condition, rejoining Xuande if he was located, Cao Cao demurred. "In that case," he said, "I would be feeding him for nothing. It is difficult to grant." Zhang Liao asked Cao Cao, "Have you forgotten Yurang's saying?8 Liu Xuande treats Lord Guan with generosity and consideration—no more. If Your Excellency extends a greater largess to bind his love, need we fear his leaving us?" "Apt words," Cao replied. "I agree to his three conditions."9
Zhang Liao returned to the hilltop and announced Cao Cao's acceptance. "Nevertheless," Lord Guan said, "I shall have to request that His Excellency withdraw temporarily so that, before formally surrendering, I may reenter the city and inform my two sisters of the arrangements." Zhang Liao carried this new request back to Cao Cao, who ordered the army to remove thirty li. Xun Wenruo opposed it, saying, "It could be a trap." But Cao Cao answered, "Lord Guan's word is his bond. He would never break faith." The pullback was implemented.
Escorted by his own soldiers, Lord Guan entered Xiapi. He found public order undisturbed. At Xuande's residence Lady Gan and Lady Mi received him eagerly. Lord Guan saluted them from below the stair. "The distress you have suffered," he said, "is my fault." "Where is the imperial uncle?" they asked. "I do not know," Lord Guan replied. "What are we to do now, brother-in law?" they asked. "When I left the city," he replied, "I fought as hard as I could but was trapped on a hill. Cao Cao sent Zhang Liao to talk me into surrendering, and I agreed—but on three conditions, which Cao Cao has already accepted. Then, at my request, he withdrew his troops, enabling me to enter the city and consult you two first."
"What are the three conditions?" the ladies asked. Lord Guan recounted the terms of his agreement with Cao Cao. Lady Gan said, "Yesterday, when Cao's army entered the city, we thought we were doomed.10 To our surprise we have enjoyed security. Not a single soldier has dared come through our gate. Brother-in-law, since you have already given your word, why bother asking us? But I do fear Cao Cao will prevent you from finding the imperial uncle." "Rest assured, sisters," he said. "I will handle that in my own way." "Brother," they said, "make all these decisions yourself. It is not necessary to consult us womenfolk."
Lord Guan took his leave and rode to Cao Cao's camp with a few dozen horsemen. Cao greeted him before the entrance as Lord Guan dismounted and made obeisance. Cao rushed forward to reciprocate. "As the general of a defeated army," Lord Guan began, "I am obliged by your mercy in sparing me." "Having long esteemed your loyalty and sense of honor," Cao responded, "I am favored today with a meeting which f
ulfills a lifelong desire." Lord Guan said, "Zhang Liao has conveyed to you on my behalf the three conditions of my surrender. I am honored by your consent and trust there will be no retraction." "My word, once given, is honored," was Cao's reply. "Should I learn of the imperial uncle's whereabouts," Lord Guan went on, "I must go to join him, whatever the dangers or obstacles. In that event, I may not have time even to take formal leave, so I humbly beg your pardon against that time." "If Liu Xuande still lives," Cao Cao said, "you are free to join him. But he may have perished unnoticed in the confusion of battle. For the time being you might as well content yourself while we gather more information." Lord Guan expressed his respectful appreciation. Cao Cao held a banquet in his honor.
The following day Cao Cao began withdrawing the imperial army from the newly conquered Xiapi for the march back to the capital. Lord Guan prepared for the journey, provided the carriage guard, and bade his sisters-in-law ascend. En route he rode alongside in attendance.
They broke their trip at a hostel, where Cao Cao, aiming to disrupt the proprieties between lord and liege man, assigned Lord Guan and his sisters-in-law to a single chamber. But Lord Guan never entered the chamber; he remained at attention outside the door, holding a candle that burned through the night until dawn. His eyes showed no trace of fatigue. Cao Cao's respect for him grew.11 In the capital Cao Cao provided official quarters for Lord Guan and Xuande's wives. Lord Guan had the dwelling divided into two compounds. At the inner gate he posted ten elderly guards. He occupied the outer compound himself.
Cao Cao conducted Lord Guan into the presence of the Emperor, who conferred on him the title adjutant general. Lord Guan gave thanks for the sovereign's grace and returned to his quarters. The next day Cao Cao held a grand banquet, assembling his entire corps of advisers and officers and treating Lord Guan as an honored guest. Cao invited him to take the seat of honor and presented him with brocade silks as well as gold and silver utensils—all of which Lord Guan gave over to his sisters-in-law for safekeeping. Cao Cao showed unusual generosity, giving him small banquets every third day, large ones every fifth. Ten handsome women were given to Lord Guan, but he sent them on to serve his two sisters-in-law. Every three days he would appear at their door to perform the proper formalities and inquire about their condition. They in turn would ask for news of the imperial uncle. Only when the ladies had excused him would he retire. Learning of this high courtesy, Cao Cao inwardly honored Lord Guan more than ever.
One day Cao Cao noticed that Lord Guan's green embroidered combat garb was badly worn. He had the warrior's measure taken and presented him with battle dress of the rarest brocade. Lord Guan accepted it, but he wore it underneath the old one. Cao Cao teased him for being frugal, and Lord Guan said, "It is not frugality. The old dress was a gift from Imperial Uncle Liu. I feel near him when I wear it. I could never forget my elder brother's gift on account of Your Excellency's new one. That is why I wear it underneath." "Truly, a man of honor," Cao Cao exclaimed. But inwardly he was troubled.
One day a message was brought to Lord Guan; "The ladies have collapsed in tears. No one knows why. Pray go to their chamber soon." Lord Guan, formally attired, kneeled before their door and asked the cause of their distress. "Last night," Lady Gan began, "I dreamed the imperial uncle was trapped in a pit. I woke and told Lady Mi, and we believe he is now in the netherworld. That is why we have lost our composure." "Dreams of the night bear no credence," Lord Guan responded. "This is from excessive worry. Please do not let such matters vex you."
At this time Cao Cao invited Lord Guan to a banquet. Lord Guan took leave of his sisters and came before Cao Cao, who asked the reason for his sorrowful look. "My sisters-in-law," Lord Guan replied, "yearn for my elder brother and cry so pitifully that I grieve despite myself." Cao Cao smiled and tried to console him, urging him to drink. Lord Guan became intoxicated and, stroking his beard, said, "I have lived in vain, having neglected my responsibility to the imperial house and my duty to my elder brother." "Have you ever counted the hairs in your beard?" Cao asked. "There are several hundred," Lord Guan replied. "In autumn I lose a few. In winter I wrap it in a black silk sack so the hairs don't break." Cao Cao had a gorgeous silk sack made to protect Lord Guan's beard.
Early the next morning they were received by the Emperor, who asked the purpose of the sack that hung on Lord Guan's chest. "As my beard is rather long," Lord Guan informed the sovereign, "the prime minister bestowed this sack on me to keep it safe." At the Emperor's request he unfurled it in the royal sanctum, and it reached below his stomach. The Emperor called him the Man of the Magnificent Beard—and so he was known thereafter.
One day after a banquet Cao Cao was escorting Lord Guan from the ministerial residence when he noticed that his mount was emaciated. "Why is your horse so skinny?" Cao inquired. "My worthless carcass has grown heavy," Lord Guan replied. "The horse is worn out from bearing me." Cao had his aides bring in a horse. Its color was like fiery coal, its stature magnificent. Pointing to it, Cao asked, "Do you recognize this horse?" "Isn't it Red Hare," Lord Guan answered, "the horse Lü Bu once rode?"12 Cao Cao nodded and presented the mount, completely equipped, to Lord Guan, who bowed repeatedly and declared his gratitude. Piqued, Cao Cao asked, "I have sent you beautiful women, gold, rolls of silk, one after the other, and never did you condescend to bow. Now for this horse you keep bowing and bowing. Do you value a beast above humans?" "I admire this horse," Lord Guan said. "It can cover a thousand li in a single day. It is a gift that will enable me to reach my brother in a single day should his whereabouts become known." Cao Cao swallowed his astonishment and regretted the gift. Later a poet wrote:
Upon a realm divided shines this hero's fame;
Staying by his sisters, he kept his honor clean.
The cunning chancellor showed false courtesy,
Little knowing Guan would never bend the knee.
Cao Cao asked Zhang Liao, "Why is Lord Guan so determined to leave us when I have treated him with the greatest generosity?" "Let me look into it," Zhang Liao replied. The next day he visited Lord Guan. After greetings were exchanged, Zhang Liao said, "Since I recommended you to the prime minister, has anyone been favored over you?" "I am deeply grateful," Lord Guan answered, "for the prime minister's generosity. But though my body is here, my heart is still with the imperial uncle. He never leaves my thoughts." "I believe your attitude is incorrect," Zhang Liao said. "In this world a real man must be able to establish correct priorities. Xuande could not have treated you better than His Excellency has. Why are you bent on leaving?" "I know only too well," Lord Guan continued, "how lavishly Lord Cao honors me. But I have received Xuande's favor. We are sworn to die for each other. Bound by that oath, I cannot remain here. Nonetheless, before I leave, I am determined to perform some act of merit to requite Lord Cao's kindness." "And if Xuande is no longer alive?" Zhang Liao asked. "I am bound to follow him to the world below."13 Seeing Lord Guan immune to persuasion, Zhang Liao took his leave and went to report the results of his conversation to Cao Cao. "To follow one's lord, always true to the first oath," the prime minister said with a sigh, "that is the meaning of loyalty in this world." Then Xun Wenruo added, "He said he would not leave until he had done us a major service. If we deny him the opportunity to do so, it will be difficult for him to go." Cao Cao indicated his approval.
Meanwhile, having joined Yuan Shao, Liu Xuande was in a state of constant fretfulness. "What troubles you?" Yuan Shao asked him. "Not a shred of news of my two brothers," Xuande answered. "My family is in the traitor Cao's hands. I have neither served the Han nor kept my loved ones from harm. How can I help grieving?" "I have long wanted," Yuan Shao said, "to move against the capital. The spring thaw has arrived—the ideal time for marshaling the army." The two men discussed strategies for defeating Cao Cao. But Tian Feng objected. "Last time," he said, "when Cao attacked Xuzhou and left the capital undefended, you did not respond to the opportunity. Now Xuzhou has fallen, and Cao's troops are keen. He is formidable now. Should
n't we hold fast here until some weakness shows itself in Cao's army?" "Give me time to think it over," Yuan Shao said.
Yuan Shao asked Xuande's view of Tian Feng's conservative tactics. "Cao Cao," Xuande said, "is a traitor to the sovereign. If Your Lordship fails to bring him to justice, I fear that in the eyes of the world you will forfeit our claim on the great principle of allegiance." "Your position is well taken," Yuan Shao replied and ordered the mobilization. To Tian Feng's repeated protests he said angrily, "Those like you, addicted to civil procedures, despise the military side of things. Do you want us to renege on our allegiance to the Han?" Tian Feng bowed low and knocked his head on the ground. "Ignore my words," he cried, "and you will march into disaster." Yuan Shao wanted Tian Feng executed, but agreed to have him simply incarcerated after Xuande's strenuous appeals.
Tian Feng's fate prompted Ju Shou to gather his clan, distribute his property among them, and say farewell. "I am off to war," he explained. "If we win, there will be no limit to my wealth and influence. If we lose, not even my life can be saved." Tearfully, his people saw him off.
Yuan Shao sent General Yan Liang in the lead; his first target, Baima. Ju Shou protested: "Yan Liang, though brave and spirited, is too narrow to assume command alone." "He is my best general," Yuan Shao replied. "The likes of you cannot take his measure." Yuan Shao's army advanced to Liyang. Liu Yan, governor of Dongjun, reported the invasion to the capital, and Cao Cao called his advisers into conference to work out tactics. Lord Guan went to see the prime minister. "I understand Your Excellency is calling up the army," he said. "I volunteer for the vanguard." "I don't think I should trouble you, General," Cao Cao replied. "But sooner or later we will require your services, and I shall come to you then." Lord Guan withdrew.
Cao Cao had command of a force of one hundred and fifty thousand divided into three armies. As they marched, bulletins from Liu Yan kept arriving. Cao Cao took one army of fifty thousand to Baima and pitched camp there with the hills to his back. In the distance he could see Yan Liang's one hundred thousand deployed over the open fields and the flats near the river. Uneasily Cao said to Song Xian, formerly in Lü Bu's service, "You are known as one of Lü Bu's fiercest fighters. I want you to go against Yan Liang." As ordered, Song Xian galloped out in front of his line, spear couched for combat. Yan Liang, sword leveled, horse poised, waited beneath the bannered entrance to his formation. When he spotted Song Xian, a roar burst from his throat, and he raced forth. The clash was brief. A hand rose, a sword struck, and Song Xian fell. "What a warrior!" Cao Cao exclaimed in consternation.
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