2. Mao: "With members of Dong Zhuo's faction at the top, there are corresponding uprisings below."
3. Zhang Liang (Zifang) was an important adviser to Han Gao Zu. Mao: "[Cao was] implicitly treating himself as the founder of the Han."
4. Elai's physical strength was legendary. He was a subject of the last ruler of the Shang dynasty.
5. Mao: "In attacking the Yellow Scarves instead of Li Jue and Guo Si, Cao Cao gave greater weight to the wide world than to the court. In calling for his father before rescuing the Emperor, he put his own concerns before the public good."
6. Suspecting that Cao Cao meant to kill him, Dong Zhuo had issued a warrant for his arrest. On such a charge the whole clan, including Cao Cao's father, would have been held responsible. See chapter 4.
7. Xuzhou was the main city and governing center of Xuzhou province. The invasion took place in the autumn of a. d. 193.
8. When Cao Cao was fleeing from Dong Zhuo, Chen Gong was the guard who first detained Cao Cao, then joined him in flight.
9. Mao: "[This] sets the stage for Lü Bu's subsequent attack on Xuzhou."
CHAPTER 11
1. "Con" is the latinized form of "Kong," Confucius' surname.
2. Surnamed Li, according to one tradition.
3. Mao: "Cao Cao was avenging his father; Taishi Ci was repaying Kong Rong's kindness to his mother."
4. Mao: "Mi Zhu had no sooner sought Kong Rong's help for Tao Qian than Taishi Ci was sent to seek Liu Bei's help for Kong Rong. The developments [of the plot] are unimaginable." The facts are historical according to Liu Bei's biography in SGZ and Kong Rong's in HHS.
5. Mao: "Every word striking home with Liu Xuande."
6. In the TS Lord Guan is characterized by two phrases: reader of the Zuo zhuan; and wielder of the Green Dragon. The Zuo zhuan was the principal text of the Old Text school.
7. SGZ ( "Xianzhu zhuan" ), p. 873: "At this time Liu Bei had somewhat more than a thousand soldiers, as well as a sprinkling of nomad horsemen from the Wuwan [i. e., Wuhuan] people in Youzhou. He also had a few thousand commoners [fleeing famine]." The ZZTJ (p. 1949) places Tao Qian's call for help in early a. d. 194.
8. Mao: "This sentence answers Xuande's earlier remark, 'So the governor of Beihai knows there's a Liu Bei in this world?" ' From his introductory note: "What began with Tao Qian seeking help ended with Kong Rong seeking help. What began with Taishi Ci helping Kong Rong ended with Liu Xuande helping Kong Rong. What began with Kong Rong seeking Xuande's help ended with Tao Qian seeking Xuande's help. These fantastic changes are beyond anyone's power to fathom, much less grasp."
9. Mao: "Genuine? Or specious?"
10. Mao (introductory note): "How can a man set out to avenge his father and do his enemy a good turn? A filial son bent on vengeance does not consider his own life. How could he think of his home and break off his mission midway?... Taishi Ci is a filial son.... Cao Cao is not."
11. The TS (p. 107) reads: "'Bring the insignia then; I'll take them. It's not up to elder brother to refuse, ' said Zhang Fei. 'Will you drive me to dishonor? ' said Xuande. 'Then I will take my own life. ' With that, he held his sword to his throat, but Zhao Zilong pulled it from him."
12. According to SGZ (p. 873), Tao Qian at this point recommended to the court that Liu Xuande be appointed imperial inspector of Yuzhou, a position later approved through Cao Cao. Later in the narrative Xuande is sometimes called Liu Yuzhou.
13. According to the "Wudi ji," after Liu Dai was killed fighting the Yellow Scarves, the remaining officials of Yanzhou went to Dongjun and invited Cao Cao to rule their province (SGZ, p. 9).
14. This battle took place in the eighth month of a. d. 194.
CHAPTER 12
1. The TS dates the action to a. d. 194, 9th month, 21st day.
2. The Chinese word translated as "government building" is zhouya, a term of the Song period; it does not recur.
3. According to the SGZ, "that year [a. d. 194] one bushel of unhusked grain cost more than five hundred thousand cash" (see p. 177 on Dong Zhuo's degradation of the currency in a. d. 190). Cannibalism was practiced, according to the "Wudi ji," p. 12.
4. Guang Wu is the posthumous temple name of Liu Xiu, founder of the Later Han.
5. In his introductory note Mao criticizes Xun Wenruo for planting notions of sovereignty in Cao's mind with these references to the founders of the Former and Later Han: "How could he [Wenruo] later object to Cao Cao's subsequent disloyalty to the Emperor, having himself alluded to these precedents?" (See also his interlinear notes. )
6. Dated to Xing Ping 1, 12th month (early a. d. 195) in the TS (p. 117).
7. Where Cao Cao was burned out.
8. Mao: "Who would have expected his false surrender would turn out to be true?"
9. Mao: "No news of Diaochan."
CHAPTER 13
1. Regent-general, or dasima, is not a standard title of the Jian An period. During the Han it alternated with that of grand commandant, or taiyu. In the Former Han the regent was called dasima, and that may be why Li Jue, as the Emperor's caretaker, assumed it. The title here is used retroactively. The official appointment by the Emperor comes later in the chapter.
He Jin, brother of the Empress, was the last regent-marshal, or dajiangjun. The position had been held in the Later Han by a member of the empress's family. After He Jin's death there was no regent (until Cao Cao), and the highest military position was general of Chariots and Cavalry.
2. Mao (introductory note): "Like Wang Yun, Yang Biao used a woman to divide his enemies. Wang Yun's action eased the crisis; Yang Biao's made it worse.... Lü Bu had the Emperor's mandate to kill Dong Zhuo; Guo Si attacked Li Jue without one.... Thus, there is a difference between Lü Bu and Dong Zhuo; there is none between Li Jue and Guo Si." The conflict between generals Li and Guo took place in the summer of a. d. 195.
3. This character appears in chapter 1 (as one of three Imperial Corps commanders sent to suppress the Yellow Scarves) and occasionally thereafter as a loyalist bureaucrat. Dong Zhuo left him in the eastern capital, Luoyang, when he moved the court to Chang'an. At the time he had been promoted to general of Chariots and Cavalry. He died holding the office of treasurer, dasinong.
4. Hou Yi was the king of the Youqiong in the Xia era. According to legend, he was an expert marksman who relied on strength and courage alone. Politically incompetent, however, he was eventually murdered by his subordinates.
5. The Qiang dominated the area covered by present-day Gansu as well as parts of Sichuan and Qinghai. They were the main threat to the Later Han during the last century of its rule. Dong Zhuo, partly of Qiang stock himself, rose to power as a general who could manage the Qiang.
6. Zhang Ji was the third of Dong Zhuo's "four generals."
7. Zhang Ji had troops stationed in Hongnong. The district, roughly midway between Chang'an and Luoyang, was under the authority of the commander of the Capital Districts (silixiaoyu). The unusual visibility of the Emperor in this chapter suggests his vulnerability.
8. Dong Cheng was an uncle of Emperor Xian and a nephew of Emperor Ling's mother. He will play a critical role in the plot in chapter 20. Emperor Xian reached Hongnong early in a. d. 196.
9. In his introductory note the editor, Mao Zonggang, compliments the author for tracing the totality of the action regardless of its length or complexity, 'in the hands of the raconteurs of today the reemergence of Cao Cao would have followed directly after the fall of Dong Zhuo. But the author purposefully goes into the story of Li Jue and Guo Si as an aftereffect of the Dong Zhuo episode; and then into the story of White Wave leader Li Yue as an aftereffect of the Li Jue-Guo Si episode. That is followed by the transitional passages describing Yang Feng and Dong Cheng rescuing the Emperor. Only gradually does the narrative lead into the appearance of Cao Cao. Such twists and turns! Truly a master storyteller! "
CHAPTER 14
1. Mao: "The very spot where Sun Jian looked at the moon."
2. Mao: "The idea is 'establish [
Jian] the capital; bring peace [an] to the dynasty. ' Clearly the Emperor meant to make Luoyang his capital." The year was a. d. 196. The Emperor arrived in Luoyang on August 12.
3. Liu Bang (see chap. 1) made his comeback from the Mang-Dang marshes and went on to defeat his main rival, Xiang Yu of Chu, who rode his famous war-horse in his final hour.
4. Mao (introductory note): "To those who ask why the Emperor summoned Cao Cao and not Liu Xuande, I would answer: Xuande had too few troops and his position was weak.... The disparity in their strength dictated the choice. What is more, there was danger from Yang Feng and Han Xian and from other outside garrisons as well. How could Xuande have defended [the Emperor] against them all? When Xun Wenruo warned Cao Cao that someone else might reach the Emperor first, he recognized that Yuan Shao or Yuan Shu might have sought a leading role but would have proved incapable, while Xuande, though capable, lacked the means. Cao Cao was the only possibility."
5. This was a key moment in Liu Bang's conquest of power. In 206 b. c. his antagonist Xiang Yu had the nominal King Huai of Chu, the Righteous Emperor (Yidi) murdered (see S], "Xiang Yu benji" ). Liu Bang seized the occasion to portray himself as a loyalist by mourning the Righteous Emperor.
6. Fan Kuai was a general who saved the first Han emperor's life. Mao: "Cao Cao by implication regards himself as another Liu Bang."
7. He left the city to show sincerity and allay suspicion.
8. Yang Feng was a general under Li Jue; Han Xian was a leader of the White Wave rebels.
9. The city of Xu was renamed Xuchang at the beginning of the next dynasty, the Wei. As a capital (du) it is called Xudu or Xu in historical sources.
10. Mao (introductory note): "There is nothing to distinguish Cao's moving the Emperor to Xuchang from Dong Zhuo's moving him to Chang'an or Li and Guo's moving him to Mei. Cao Cao was acting under the cover of obedience, however, a claim the others could not credibly make. A loyalist force cannot be equated with one that abducts an emperor."
11. S], "Tian guan shu" : "Even when a wise king reigns, one must watch where Mars stands."
12. Wei, the name of the dynasty the Cao family will found, was considered to be in the central or fifth direction, hence symbolized by earth and yellow.
13. Mao: "This underpins a coming turn in the narrative."
14. Mao: "The commander of the Capital Districts and the chief of the Secretariat had responsibility for executing imperial commands. In the end Cao Cao left these positions vacant; he might better have assumed them himself. Li Jue and Guo Si wrote down the offices they demanded and left appointment [feng] to the Emperor; Cao Cao made the appointments himself, sparing the Emperor even that effort. Cao Cao's conduct becomes increasingly extraordinary."
15. An office created by Cao Cao.
16. In the TS (p. 137), Cao's speech begins with the following sentences: " Today I have reached the status of elder lord through my devotion and respect to the royal house. In all things I have relied on your advice. My principal concerns are Yuan Shao and Yuan Shu, but they are well established in their territories and we are not ready to act against them. Xuande, however,..
17. Cao Cao is still regent-marshal; his appointment as prime minister (chengxiang) will not occur until Jian An 3; it is still Jian An 1 (a. d. 196).
18. According to the TS, among those who attended the meeting were Mi Zhu, Mi Fang, Jian Yong, Sun Qian, Lord Guan, and Zhang Fei.
19. Yuan Shu (Gonglu), Yuan Shao's half-brother, had risen to Imperial Corps commander of the Imperial Tiger Escort (huben zhonglangjiang) when Dong Zhuo deposed Emperor Shao. On the eve of the dethronement Dong Zhuo appointed Shu as general of the Rear, but Shu fled to Nanyang rather than tie his fortunes to Dong Zhuo. At this time it happened that Sun Jian, governor of Changsha, had killed Zhang Zi, governor of Nanyang; Yuan Shu consequently assumed authority and plundered the rich and populous district of Nanyang. Later, defeated by armies of Yuan Shao and Cao Cao, Yuan Shu fled to Jiujiang (a district in northwest Yangzhou), killed the imperial inspector, and assumed control.
Initially, Yuan Shu and Yuan Shao fell out over Shao's plan to make Liu Yu, protector of Youzhou, emperor and then attack Dong Zhuo in Chang'an. Yuan Shu's plan was to eliminate Dong Zhuo and rescue Emperor Xian. See SGZ, pp. 207-8.
20. Xuande's two wives were Lady Gan and Lady Mi.
CHAPTER 15
1. Mao: "Previously Yuan Shu refused to give Lü Bu refuge. Now he tries to make an ally of him. Such flip-flops are ridiculous."
2. Xiaopei is the town Xuande originally gave Lü Bu (chap. 13). Mao (introductory note): "After Lü Bu seized Yanzhou, Cao Cao finally recovered it. After Lü Bu seized Xuzhou, Liu Xuande could not recover it. This was because of circumstances, not Xuande's failings. What began with Lü Bu dependent on Xuande ended with Xuande dependent on Lü Bu: host and guest exchanged roles."
3. Here the narrative of the Sun family—founders of Wu, the southeastern kingdom—resumes, picking up the thread from chapter 7.
4. Jiangnan and Jiangdong (jiang, the [i. e., Yangzi] River; nan, south; dong, east) are alternative designations for Wu. Both terms are translated "Southland," but Jiangnan emphasizes geography, while Wu accents the region's pre-Han tradition. The administrative designation Yangzhou, as applied to Jiangnan, disappears after this chapter with the defeat of Liu Yao, its last imperial inspector. The southerners, preferring to emphasize regional independence, spoke only of Jiangnan or Wu. However, the two districts north of the Great River, Jiujiang and Lujiang (less than 20 percent of the whole area), were sometimes called Yangzhou by the northern court.
5. Sun Jian was buried in Qu'e.
6. The "Wu shu" supplies background that explains Sun Ce's grievances: "Initially, Yuan Shu allowed Sun Ce to serve as governor of Jiujiang district, but soon gave the position to Chen Ji of Danyang instead.... Later, when Yuan Shu sent Sun Ce to attack [Lujiang], he said, 'I made a mistake replacing you with Chen Ji and never cease regretting that I did not fulfill my original purpose. Now if you capture Lu Kang, Lujiang district will really be yours. ' But after Sun Ce succeeded, Yuan Shu retained the previous governor, Liu Xun, to Sun Ce's deep disappointment. Before these events Liu Yao was the [legitimate] imperial inspector of Yangzhou, and the seat of government was at Shouchun. After Yuan Shu seized Shouchun, Liu Yao crossed the Great River and moved the government to Qu'e. Since [Sun Ce's uncle] Wu Jing was still in Danyang,... he was driven to Liyang by Liu Yao.... Yuan Shu appointed Hui Ju... as imperial inspector of Yangzhou and made Wu Jing his Imperial Corps Commander Supervising the Army.... For years they struggled unsuccessfully [against Liu Yao]. Sun Ce then went to persuade Yuan Shu to let him help Wu Jing pacify the Southland." See SGZ, p. 1102; also see Liu Yao's biography, SGZ, p. 1183. Sun Jian had married Wu Jing's sister; she was the mother of Sun Ce.
7. Yuan Shu in fact was returning to Sun Ce troops that had been under his father's command. According to the Wu li, Zhang Hong had imperial ambitions for Sun Ce: "In ancient times when the house of Zhou was in extremity, the states of Jin and Qi attained power and prosperity. Through their effort the royal house was stabilized, and the lords of the realm paid tribute to it. Now you are following the footsteps of the great hegemons of old, and you have a reputation as a valiant warrior. Go to Danyang, gather your forces at Wujun and Kuaiji, unify the provinces Yangzhou and Jingzhou, and you will be avenged. With the Great River under your control, you can give wide scope to your powerful influence, punish and eliminate the multitude of evildoers, and uphold the house of Han.... Why be content with being a mere border state?" To this Ce replied, "Your words coincide with my own thinking." See SGZ, p. 1103.
8. See chapter 11.
9. Here Luo Guanzhong nods, and the remainder of this chapter may seem tedious. The events leading to an independent Southland under Sun Quan (Ce's brother) are important history, nonetheless. If the reader wishes to skip to the last page of the chapter, the gist of the story is this: Sun Ce defeats the legitimate imperial inspector of Yangzhou, Liu Yao
; wins to his side the great warrior Taishi Ci; and conquers the southern districts of Wujun and Kuaiji. In this way Sun Ce lays the foundation for the southern kingdom that his brother Quan will inherit and rule as regional hegemon and eventually as emperor. The chapter ends with Yuan Shu's preparing to attack Liu Xuande.
10. Sun Ce's victory at Ox Landing is dated by the ZZTJ (p. 1971) to a. d. 195.
11. Literally, a junior Xiang Yu, who had the title of ba wang or hegemon-king. Xiang Yu once dominated the Southland and was Liu Bang's principal rival during the wars that led to the founding of the Han.
12. Mao (introductory note): "The previous section narrates the beginning of Cao Cao's establishment of power. This section narrates the events leading to the establishment of the Southland under the Sun family.... And Liu Xuande is adrift, though he is the true heir to the Han. Hence the chapter concludes with him, and the next section begins with him, though the bulk of the narration is devoted to Cao and Sun. Xuande is like a dragon in the sky: there's the head, here's a claw. The subtlety of the author's art is unsurpassed."
CHAPTER 16
1. Yuan Shu's letter, cited in the TS (p. 154), expresses gratitude to Lü Bu for his earlier victories against two common enemies, Dong Zhuo and Cao Cao.
2. TS: "We'll have to quit Xiaopei and turn to Cao Cao."
3. In the TS, Lü Bu is torn between the two appeals. Chen Gong says, "Although Liu Bei is in your power now, he will eventually be an independent force and a threat to you, General. I would not save him." Lü Bu rejects the advice.
4. See the description of Liu Xuande in chapter 1. Large lobes signify royalty in Buddhist iconography.
5. This is the second of the four verses given in the TS (p. 157). The others—most of them celebrating Lü Bu's marksmanship—are dropped, including one critical of Liu Bei's future betrayal of Lü Bu: "Early on he knew 'Big Ears' was not a man to trust / And came to rue the halberd shot at the war camp gate."
Hou Yi was a mythical marksman of the Xia period. During a severe drought ten suns rose in the sky; he shot nine of them down, ending the crisis. Yang Youji was a figure of the Spring and Autumn period. His lord shot apes for sport. When Yang Youji entered the target area and raised his bow, the apes began to shriek. Literally, the fourth line reads, "At causing apes to shriek he could have surpassed Youji."
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