6. The ruling families of the Spring and Autumn states of Qin and Jin regularly intermarried; hence marital alliances came to be called Qin-Jin relations. Mao (introductory note): "In the Spring and Autumn period marriages were habitually entered into by rivals. When Zhen Ying was in Jin, Qin attacked. When Mu Yi was in Qin, Jin severed relations with Qin. Marriage was even less likely to bring harmony to Lü Bu's dealings, for how could the man who had disavowed his fathers have a son-in-law? How could Yuan Shu, who had disavowed his own brother [Shao], have a relationship with a stranger?"
7. Mao: "Chen Gui is partial to Liu; Chen Gong to Lü."
8. Mao: "Most vicious and subtle! Also, this lays a foundation for what is to come."
9. Lü Bu has driven Xuande to seek Cao Cao's support. The central narrative of the novel may be said to begin with this episode.
10. Mao (introductory note): "Fear of Liu Bei led Cao Cao to have Lü Bu try to kill him and to induce Yuan Shu to attack him. But the reason Cao Cao would not act himself is because he wanted to shift the consequences to others. He was unwilling to kill a worthy man in his own name and thus alienate his admirers."
11. The TS (p. 162) dates this to Jian An 2, 5th month (a. d. 197).
12. Mao: "A beloved commander, a beloved son, lost for the sake of a woman.... But what happened to Lady Zou?"
13. The Qingzhou force was made up largely of Yellow Scarves who had surrendered to Cao Cao.
14. TS (p. 164): "Cao Cao told them of Yu Jin's betrayal. Dun prepared to do battle with him."
15. Mao: "Zhang Xiu's move lays the basis for the narrative line to come."
16. Cao Cao faced danger on all sides. To the west and south he contended with Zhang Xiu for Nanyang imperial district, the northern part of the province of Jingzhou, which Liu Biao governed. To the east and north he had to deal with Yuan Shao, his most formidable adversary, who governed the four provinces north of the Yellow River. To the south he faced the challenge of Yuan Shu, his rival for control of Xuzhou province, which Lü Bu ruled.
CHAPTER 17
1. Yao, mythic first emperor of the Chinese, selected a stranger, Shun, for his successor. After a period of joint rule during which he educated Shun, Yao yielded the throne to him, passing over his own son. The legend of Shun is often invoked to justify succession out of the blood line. See Shu jing, "Yao dian" and "Shun dian."
2. Mao: "Referring to descent from Shun's second son." Zhong means "second;" shi, "clan."
3. The city is Shouchun. After enthronement the emperor made offerings to Heaven on the southern outskirts of the capital and to earth on the northern outskirts.
4. Mao: "The last two generals [surrendered from the imperial side] will figure in the events to come."
5. See chapter 13.
6. Similar accoutrements were worn by Zhou Wuwang at his last battle against the Shang, according to the account in the Shu jing, "Mu shi."
7. Mao (introductory note): "Once Yuan Shu arrogated the name of emperor, he became the common target of the rest of the realm. That is why Cao Cao held back from such a step. Cao Cao feared the realm even more than he coveted it... keeping real power to himself while letting the Emperor rule in name. Yuan Shu, lacking real power, gambled for the name. How cunning the one; how clumsy the other!"
8. The TS (p. 173) notes in this paragraph that Cao Cao was making all important decisions alone, notifying the Emperor afterward. The expedition is dated to the ninth month of Jian An 2 (a. d. 197).
9. The principal city of Yangzhou, Shouchun was in northwest Jiujiang, slightly south of the River Huai.
10. Mao: "Earlier he borrowed grain from Sun Ce. Still short, he borrowed Wang Hou's head.... How can a head be 'borrowed'?... When can it be returned?" Mao (introductory note): "Cao Cao was always borrowing something. He borrowed the Emperor to command the feudal lords; he borrowed some feudal lords to attack others; he borrowed a man's head to calm the troops; he even borrowed his own hair."
11. Mao (introductory note): "Cao Cao dreaded Lü Bu as much as he dreaded Liu Bei. When Lü Bu and Liu Bei joined forces, Cao Cao tried his best to divide them. Then, when Lü Bu and Liu Bei became enemies but it was not yet opportune for Cao Cao to attack [either one], Cao arranged for [the two enemies] to combine temporarily. Thus he acted in a way that brought them together while secretly giving instructions that would ultimately estrange them from each other. First Cao Cao used the plan called 'Two Tigers Fight for Food. ' Next he used a plan called 'Drive the Tiger to Swallow the Wolf. ' Finally he tried one called 'Dig a Pit and Wait for the Tiger. ' In each case his intention was malicious. Lü Bu was fooled, but Liu Bei complied with Cao Cao's orders out of expedience. Cao Cao for his part knew full well that Liu Bei understood the actual situation; meanwhile, everyone feigned ignorance."
12. The translation "silver wolves" is based on Arthur Waley's translation of Shi jing, ode 261, "Han yi." See The Book of Songs (1937; rpt. New York: Grove Press, 1960), p. 148. The term is a metaphor for fierce warriors.
The name Cao Man for Cao Cao is discussed in chapter 1, n. 29.
CHAPTER 18
1. TS (p. 182): "Chen Gong, read me what this says" (implying that Lü Bu is illiterate).
2. Zhang Liao will be an important character.
3. She was the ci qi or second principal wife; the first wife presumably was Lady Gan, whom he married when he went to Xiaopei. Children have not yet been mentioned. His son Ah Dou (Houzhu) was not born until he moved to Jingzhou. See SGZ, p. 905.
4. Mi Zhu came from a family of enormous wealth and ten thousand servants. His biography in the SGZ (p. 969) states: "Tao Qian, protector of Xuzhou, raised Mi Zhu to serve as his lieutenant [biejia]. After Tao Qian's death, Mi Zhu, on the authority of the late protector's testament, installed Xuande in Xiaopei. In Jian An 1 [a. d. 196] Lü Bu took advantage of the fact that Xuande was in the field against Yuan Shu to surprise Xiapi and abduct Xuande's family. Xuande then shifted his forces to Haixi in Guangling, and Mi Zhu married his younger sister to him. At the same time Mi Zhu granted Xuande a retinue of two thousand as well as gold, silver, money, and silk to resupply his army. Thanks to this fund, Xuande recovered from a grave defeat."
5. TS (p. 183): "Unable to crack Xiaopei, Lü Bu challenged Xuande to single combat. Appearing at the top of the city wall, Xuande said with fervor, 'I have committed no offense. Prime Minister Cao had an imperial decree that I had to answer. I can show you the document. ' Lü Bu considered this and ordered the blockade maintained but no further attacks. He returned to Xuzhou and dispatched He Meng to Yuan Shu to apologize and offer his daughter in marriage."
6. Mao (introductory note): "What a cunning man, Cao Cao! When Yuan Shu attacked Lü Bu, Cao Cao came to Lü Bu's aid, fearing reconciliation between Yuan Shu and Lü Bu. After Lü Bu defeated Yuan Shu, Cao Cao allied with Liu Bei against Lü Bu, knowing that Yuan Shu would never again join forces with Lü Bu. As much as Cao Cao dreaded an alliance of Liu Bei and Lü Bu, he feared the alliance of Yuan Shao and Lü Bu even more. When Liu Bei and Yuan Shu had broken with Lü Bu, Cao Cao struck."
CHAPTER 19
1. Mao: "In this chapter Xuande loses his wife, Liu An kills his wife, and Lü Bu can't leave his wife. These contrasts enliven the narrative.... Again Xuande loses Xiaopei, a city he gains and quits three times."
There is little information on Xuande's family prior to this time. The biography of Empress Gan says, "When Liu Bei came to Yuzhou, he stayed in Xiaopei and took her [Lady Gan] as his secondary wife. Liu Bei had suffered the death of a principal wife several times, so Lady Gan often took charge of domestic affairs" (SGZ, p. 905).
2. TS (p. 185): "And lived as outlaws."
3. Mao: "Brothers before family."
4. Tao Qian, the former inspector, recommended Xuande for this title; Cao Cao had it confirmed after Xuande became his ally against Lü Bu. When Tao Qian died, Mi Zhu arranged for Xuande to succeed him as imperial inspector of Xuzhou—that is when Yuan Shu attacked him in Jian An 1 (a. d. 196) (SGZ, pp.
873-74).
5. Mao: "Xuande once compared his wife to clothes; Liu An now takes his wife for food."
6. In the TS, Xuande wants to take Liu An with him; but Liu An refuses, saying that he must care for his mother. Frightful though it is, this scene shows the readiness of a true brother to sacrifice his family to the cause. In the Shuo chang ci hua collection dating from the 1470s, "Hua Guan Suo zhuan" gives the following account of the formation of the brotherhood:
After the three—Guan, Zhang, and Liu Bei—had made their vows to Heaven in the templ of Jiang Ziya, Liu Bei said, "I am without family. You both have old and young to worr about. Your concern might cause a change of heart." Lord Guan replied, "I shall join you, elder brother, after I have killed them." Zhang Fei said, "How could you kill your own? Yo kill mine, and I'll kill yours." "That is best," Liu Bei said. The song goes:
Zhang Fei did not wait:
With bronze blade firm in hand,
He entered his brother's home
And killed the first he met,
And then two more—but spared
His sister-in-law, Hu Dingjin.
Hu Dingjin bore Hua Guan Suo, Lord Guan's son. This character appears briefly in chapter 87. See CZL, p. 19; also, Gail Oman King, The Story of Hua Guan Suo (Tempe: Center for Asian Studies, Arizona State University, 1989). A footnote on p. 35 states: "Jiang Ziya... was the officially promulgated God of War throughout the Yuan dynasty. His worship in this capacity was abolished by imperial decree in 1387."
7. The Yingxiong ji dates this meeting between Liu Bei and Cao Cao to the tenth month of Jian An 3 (a. d. 198); see SGZ, pp. 874-75.
8. Mao: "Chen Deng waited for Lü Bu to mention his family—ingenious."
9. Xiaopei is slightly north of Xiao Pass; it is a strategic point between Cao Cao's province, Yanzhou, and Lü Bu's, Xuzhou.
10. In the TS version (p. 190) Lü Bu moves to kill Gong; Zhang Liao saves him, saying, "He acted from loyalty." Bu then demands of Gong a plan to stop Cao.
11. The envoys' use of "Your Majesty" refers to Yuan Shu's assumption of imperial power.
12. Mao (introductory note): "Had Bu killed Xuande after discovering his reply to Cao Cao [see previous chapter], Cao Cao would have said, 'Bu did it, not I. ' Had Xuande let Lü Bu through the southern route he was guarding and been executed, Cao Cao would have said, 'I didn't kill him, military law did. ' Cao Cao wanted someone else to kill Xuande but lacked a rift he could exploit.... Cao Cao had no justification for killing Xuande himself: only violation of military law could have justified it. At every step of the way Cao Cao was trying to eliminate Xuande, even as he seemed to be taking every possible measure to protect him. Xuande, for his part, remained on the alert every step of the way, even as he seemed to be taking every possible step to appease Cao."
13. See chapter 4; Chen Gong was the guard who joined Cao Cao after refusing to arrest him.
14. With the executions of Lü Bu and Chen Gong (Feb. a. d. 199) the PH's first section (of three) ends. The PH (p. 44) reads: "Cao Cao said, 'Execute Chen Gong but release his family. ' Chen Gong shouted back, 'Do not make that mistake, Your Excellency. If you spare my son, he will plague you in times to come. Let your mercy touch my mother and wife only. ' Thus Cao Cao executed the son but spared Chen Gong's mother and wife."
15. Mao: "Chen Gong spared Cao Cao twice: first, when he arrested him; and once again, outside the farmhouse [of Lü Boshe]. Cao Cao will not spare Chen Gong once. Indeed, he is like a wolf."
16. Mao (introductory note): "There are some who hold the view that Xuande, knowing the fate of Ding Yuan and Dong Zhuo, should have tried to persuade Cao Cao to retain Lü Bu. That would have given Xuande some leverage against Cao Cao in the future. I disagree. Cao was a far different sort from Zhuo and Yuan.... He would have known how to make use of Bu and guard against him at the same time. Xuande would only have been augmenting Cao's strength, and he knew that at the time."
CHAPTER 20
1. Mao: "This forms the basis for Zhang Liao's rescue of Lord Guan" (see chap. 25).
2. Guannei or guanzhong hou: "These 'lords within the passes' have no territory but are supported by the revenue from the counties in which they live. The amount of tax revenue is determined by the number of households" (HHS, p. 3631). "Lesser marquis" is the translation used in Denis Twitchett and Michael Loewe, eds., The Cambridge History of China, vol. 1, The Ch’in and Han Empires (Cambridge: Cambridge University Press, 1986).
3. Instead of this sentence, the TS (p. 197) reads: "Cao said to Xuande, 'After you have paid homage to the Emperor in court, Xuzhou will be returned. ' Xuande expressed his appreciation."
4. The text continues, anachronistically, to call the capital Xuchang instead of Xudu ( "the capital at Xu" ). The name was not changed to Xuchang until the next dynasty. This translation consistently refers to the city as Xuchang. It is not to be confused with Xuzhou, the name of a different place, employing different graphs.
5. In the TS Xuande is deeply moved by the Emperor's question and weeps.
6. Mao: "This is the real reason Cao Cao did not leave Liu Bei behind to rule Xuzhou." Liu Bei claims descent from Emperor Jing (r. 157-141 b. c. ) of the Former Han. Liu Xiu, founder of the Later Han, claimed descent from the same emperor. See Xu Tianlin, Dong Han huiyao (Shanghai: Shanghai guji chubanshe, 1978), p. 1. (This huiyao is a Southern Song work. )
7. Mao: "Earlier Yang Biao had persuaded the Emperor to call for Cao Cao's help."
8. Mao: "Kong Rong was last seen when Liu Bei and Taishi Ci rescued him from a siege at Beihai" (see chap. 11). For a discussion of Cao Cao's court at Xuchang, see Chi-yun Chen [Chen Qiyun], Hsün Yüeh a. d. 148-209 (Cambridge: Cambridge University Press, 1975).
9. Cao Cao's inviting the Emperor to hunt was in fact lese majesty, implying the subordination of the king to a minister. See the Spring and Autumn Annals, "Xigong," year 28.
10. In his introductory note Mao says, "Zhao Gao examined the king's attendants for loyalty by pointing to a deer [and insisting it was a horse]. Cao Cao tested his acceptance among the courtiers by shooting the deer." For the story of Zhao Gao, see SJ, "Qin Shihuang benji," p. 80: "Zhao Gao wanted to overthrow the [Qin] dynasty. Fearing that the officials would refuse to obey him, he devised a test: he brought a deer to court and presented it as tribute to the Emperor [Er Shi, the second Qin emperor] but called it a horse. The Emperor laughed and said, 'Your Excellency is mistaken. ' Among those in attendance, some kept silent; some said that it was indeed a horse, to appease Zhao Gao; and some said it was a deer. In accordance with their answers, Zhao Gao had those who had said it was a deer secretly executed; the officials thereafter lived in dread of him."
11. The Changshui (Chang River) command was one of the five commands (xiaoyu) in the capital under the beijun zhonghou. See Yang Hongnian, Han Wei zhidu congkao (Wuhan: Wuhan daxue chubanshe, 1985), pp. 154-55.
12. Mao: "Through a relative of the Empress [i. e., Dong Cheng] a kinsman of the Emperor [Liu Bei] was named."
CHAPTER 21
1. TS: "Xuande is one of Cao's henchmen" (lit., tooth and claw).
2. Silang: either a full member of the Secretariat staff who has already served three years' probation, or a lieutenant to an Imperial Corps commander.
3. Mao (introductory note): "By setting his name to Dong Cheng's righteous roster, Xuande established his claim as legitimate successor to the Han. The words 'General of the Left Liu Bei' count for more than 'August Emperor, Reflecting Han's Glory' [Zhao Lie, Xuande's posthumous temple title]. When Liu Bang, founder of the Han, took up righteous arms against Xiang Yu, his edict read, 'I vow to join with the feudal lords and kings in attacking those who have killed the Righteous Emperor. ' By that action his cause was vindicated, and the realm gave him its allegiance. In the case of Xuande, it was his receiving the Emperor's edict hidden in the girdle that established the legitimacy of all his future actions." In this context the word yi (righteous) may be understood as "loyalist."
4. The TS version (p
. 206): "Lord Guan said, 'Brother, you seem to care no more for the conquest of the realm by bow and horse, devoting yourself instead to lowly tasks. ' Xuande replied, 'You would not understand. ' Lord Guan whiled away his time reading the Spring and Autumn Annals and its commentary, the Zuo zhuan, or else practicing his horsemanship and marksmanship." His interest in the Zuo identifies Lord Guan as an Old Text student; Xuande had studied with Zheng Xuan and Lu Zhi, two of the school's exponents. The school emphasized moral factors in interpreting history; the rival New Text school emphasized numerology and superstition.
5. Mao: "Was he also thinking of Zhang Ji's wife?"
6. Here, shijun; in the TS, Xiandi, "worthy brother."
7. The dragon was the symbol of rain and more broadly the cycle of condensation and precipitation. It also symbolized the emperor, particularly as orchestrator (through the calendar) of the natural cycle.
8. Mao: "Yuan Shu is mentioned first because he had declared himself emperor."
9. Analects, 10. 16. Xuande's biography is the source for the incident (SGZ, p. 875).
10. "Hongmen" alludes to a situation of murderous intrigue. Shortly before conquering the empire, Liu Bang attended his rival Xiang Yu's banquet at Hongmen. Yu's adviser tried to have a sword dancer assassinate Bang, but a second performer checked his every move. Finally one of Bang's commanders, Fan Kuai, burst in, fully armed, and put an end to the sword dancing performance, thus saving the future first emperor of the Han. See Ssu-ma Ch'ien [Sima Qian], Records of the Grand Historian of China, trans. Burton Watson (New York: Columbia University Press, 1961), 1: 52-54.
11. According to the TS (p. 212), "Yuan Shao desired to usurp the dynasty; accordingly, he summoned Yuan Shu. Shu collected his army and the forbidden regalia of the emperor. First he went to seize Xuzhou."
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