3 Some basic linguistic relations


In Chapters 1 and 2, we presented various pieces of evidence for the existence of syntactic structure in human language. The facts presented there raise a basic question---what is the basis of syntactic structure? In this chapter, we introduce three fundamental linguistic relationships that underlie syntactic structure. Two of these relationships, argumenthood and modification, are at bottom semantic relationships (although the expression of argumenthood is more constrained in natural language than purely semantic considerations would dictate), whereas the third, predication, is purely syntactic.

Argumenthood

Semantic valency

The most obvious factor that determines how vocabulary items combine has to do with their meaning, a point most conveniently illustrated with verbs. From the point of view of a very simple formal semantics, the verb laugh denotes the set of laughing entities, as illustrated in (1).

(1)     laugh = { Beatrice, Chris, Eva, Gary, Lukas, Tina, ... }

Laugh can combine with a single argument, which denotes an entity. Intuitively, we can think of arguments as the central participants in a situation. Combining laugh with an argument (say, Lukas) has a syntactic effect and a corresponding semantic effect. The syntactic effect is to yield the sentence in (2a). The corresonponding semantic effect is to select the entity denoted by the argument and to yield the proposition that the selected entity belongs to the set of laughing entities, as expressed in (2b). (For simplicity, we disregard the past tense morpheme -ed, which has the further effect of anchoring the proposition in the past.)

(2) a.   Lukas laughed.
b.   The entity 'Lukas' is-a-member-of the set 'laugh'.

In addition to denoting sets, verbs can also denote relations between sets. Let's say, for instance, that (3a) is a set of hosts and (3b) is a set of guests.

(3) a.   host = { Andy, Bill, Chris }
b.   guest = { Dave, Elmer, Fred, Gideon, Harrison }

Then the verb invite denotes the relation between these two sets, which can be represented as the set of ordered pairs in (4).

(4)     invite = { (Andy, Dave), (Andy, Elmer), (Andy, Fred), (Andy, Gideon), (Andy, Harrison),
(Bill, Dave), (Bill, Elmer), (Bill, Fred), (Bill, Gideon), (Bill, Harrison),
(Chris, Dave), (Chris, Elmer), (Chris, Fred), (Chris, Gideon), (Chris, Harrison),

Combining invite with a theme argument (say, Dave) has the syntactic effect of yielding the phrase in (5a). The corresponding semantic effect is to select a subset of the ordered pairs in (4), given in (5b), and to yield the proposition in (5c). (Once again, we disregard the past tense morpheme for simplicity.)

(5) a. invited Dave
b.   invite1 = { (Andy, Dave), (Bill, Dave), (Chris, Dave) }
c.   The ordered pair in the set 'invite1' are-members-of the set 'invite'.

Further combining invite with an agent argument (say, Chris), as in the sentence in (6), has the semantic effect of yielding the further subset in (6b), with the property in (6c).

(6) a.   Chris invited Dave.
b.   invite2 = { (Chris, Dave) }
c.   The ordered pair (Chris, Dave) is-a-member-of the set 'invite1' (and, by logical transitivity,1 is-a-member-of the original set 'invite')

Verbs like laugh and invite are instances of one-place and two-place predicates, respectively. The term predicate here refers to a vocabulary item, with a focus on its capacity to combine with one or more arguments. The number of arguments that a predicate requires is its semantic valency.

The relations denoted by predicates can involve more than two arguments. An example of a three-place predicate is give, which denotes the relation among a set of givers, a set of gifts, and a set of recipients. Even more complex relations are possible. For instance, rent is a five-place predicate denoting a relation among landlords or other sorts of owners, tenants, rental property, amounts of money, and lengths of time (lease terms).

Transitivity

In principle, a predicate's valency might completely determine the syntactic structure that it appears in. The ungrammaticality of the sentences in (7) would directly fall out from such a system.

(7) a. * Lukas laughed the train. (one-place predicate; superfluous argument)
b. * Andy invited. (two-place predicate; missing theme argument)

The actual situation, however, is more complex. For instance, eat denotes a relation between eaters and food. It is therefore a two-place predicate, like invite. However, unlike invite, eat has both a transitive and an intransitive use, as illustrated in (8).

(8) a. Transitive:   The children have eaten their supper.
b. Intransitive:   The children have eaten.

Notice that the semantic properties of eat remain constant in (8). In other words, (8a) and (8b) are both interpreted as involving the ingestion of food, even though there is no explicit mention of food in (8b).

In view of the mismatch between the semantic and syntactic properties of eat in sentences like (8b), it is useful to distinguish between semantic and syntactic arguments. As mentioned earlier, we can think of semantic arguments as central participants in a situation. Syntactic arguments, on the other hand, are constituents that appear in particular syntactic positions (see Chapter 4 for further discussion). Semantic arguments are typically expressed as syntactic arguments, but the correspondence between the two is not perfect, as (8b) shows.

The term transitivity refers to the number of arguments that a verb combines with in syntactic structure, and we can divide verbs into three subcategories as in (9).

We are using the term 'transitivity' in a slightly unorthodox way. Traditionally, the term refers to the number of a verb's objects, which is one less than the number of its arguments. Thus, as the terms imply, an intransitive takes no objects, and a ditransitive takes two.


(9) Transitivity Number of syntactic arguments

Intransitive 1
Transitive 2
Ditransitive 3

Because of mismatches as in (8), it turns out to be quite rare for verbs to belong to just one syntactic subcategory. (10) shows some two-place verbs besides eat that can be used either transitively or intransitively. The slashes separate the arguments from the predicate and each other.

Basically transitive Intransitive
(10) a. He / interrupted / the meeting. He / interrupted.
b. Amy / knits / sweaters. Amy / knits.
c. They / are reading / a book. They / are reading.

Conversely, certain one-place verbs can be used not only intransitively, but transitively as well, as illustrated in (11). Notice that the verb and its object in the transitive examples are etymologically related, or cognate. For this reason, the transitive use of one-place verbs as in (11) is known as the cognate object construction.

Basically intransitive Transitive
(11) a. Dennis / died. Dennis / died / a peaceful death.
b. Lukas / laughed. Lukas / laughed / an infectious laugh.
c. Mona Lisa / was smiling. Mona Lisa / was smiling / a mysterious smile.

Further, it is possible to use some basically three-place verbs not just ditransitively, but transitively and even intransitively.

Basically ditransitive Transitive Intransitive
(12) a. We / teach / college students / syntax. We / teach / college students.
We / teach / syntax.
We / teach.
b. He / told / me / the whole story. He / told / me.
He / told / the whole story.
He / better not tell.

Finally, it is possible to use basically two-place verbs ditransitively.

Basically transitive Ditransitive
(13) a. I / baked / a delicious cake. I / baked / my friends / a delicious cake.
b. The lions / killed / a gazelle. The lions / killed / themselves / a gazelle.
c. She / sang / a lullaby. She / sang / her baby / a lullaby.

Modification

Events are associated with more or less central participants and properties. The central participants are the semantic arguments just discussed. Properties of a situation typically taken to be less central, such as manner, time (point in time, duration, frequency), place (location, origin, destination), reason (cause, purpose), and so on, can be expressed by modifiers.

Arguments and modifiers both introduce restrictions on the denotation of a predicate, and the relationships of argumenthood and modification do not differ semantically in this respect. For instance, the situations denoted by invite Dave are a subset of those denoted by invite, just as the situations denoted by laugh uproariously are a subset of those denoted by laugh.

Modifiers of verb phrases are typically adverbial phrases or prepositional phrases, but noun phrases can serve as modifiers as well (you will be asked to illustrate this latter fact in the Exercises). In the following examples, the modifier is in italics, and the verb phrase that it modifies is underlined.

(14) a. Manner: He read the letter carefully.
b. Point in time: They discussed the proposal in the afternoon.
c. Duration: You should keep your tax records for several years.
d. Frequency: I read the Times quite often.
e. Location: We met in my office.
f. Origin: We set out from Bangalore.
g. Destination: We arrived in Benares.
h. Cause: He threw it away out of spite.
i. Purpose: I sent the message to warn everyone.

Because of their semantically peripheral character, modifiers are syntactically optional. The converse is emphatically not true, however. Not all syntactically optional constituents are modifiers; recall from (8b) that semantic arguments aren't always expressed.

Verbs are not the only category that can be modified. For instance, nouns are often modified by adjective phrases, prepositional phrases, or relative clauses.2

(15) a. a very important period
b. a period of great import
c. the car that just turned the corner

Moreover, adjective phrases and prepositional phrases, the quintessential modifier phrases, can themselves be modified.

(16) a. very proud of her progress
b. surprisingly good to eat
(17) a. almost in the dark
b. right behind the shed

Predication

The two linguistic relations discussed so far---argumenthood and modification---are basically semantic notions that are optionally expressed in the syntax. In this section, we introduce a third relation, predication, which differs from argumenthood and modification in being an irreducibly syntactic relation. By this, we mean that predication is not always semantically motivated.

Expletive it

In (18a), the italicized that clause functions as the sole syntactic argument of the adjective evident, on a par with the noun phrase in (18b). (For simplicity, we disregard the copula as semantically vacuous.)

(18) a.   That they are corrupt is evident.
b.   Their corruption is evident.

An indication of the semantic equivalence of the two phrases is the fact that they can both be elicited by the same question.

(19) a.   What is evident?
b.   That they are corrupt.
Their corruption.

In addition to (18a), a synonymous variant, (20), is available in which the that clause appears at the end of the entire sentence and the original position of the that clause is occupied by the expletive pronoun it.

(20)     It is evident that they are corrupt.

The term 'expletive' means that the pronoun does not refer to a discourse entity in the ordinary way that pronouns do. Ordinary referential it has some referent, whereas expletive it doesn't. As a result, the question-answer sequence in (21) is possible, whereas the one in (22) is not.

(21) a. What bit the zebu?
b. (pointing to a tsetse fly) It did.
(22) a. * What is evident that they are corrupt?
b. * It is.

Given that the that clause satisfies the semantic requirement of evident for an argument in both (18a) and (20), the presence of the expletive pronoun in (20) is striking. From a semantic point of view, it is unnecessary, and one might therefore expect it to be optional. But this is not the case, as the ungrammaticality of (23) shows.

(23)   * Is evident that they are corrupt.

The ungrammaticality of (23) leads us to conclude that there exists a purely syntactic well-formedness condition requiring all clauses to have a subject.

Earlier, we saw that it is possible for arguments to be semantically necessary and yet not to be expressed in the syntax. Expletive subjects represent roughly the converse of this situation, being cases where an expression that is semantically not motivated is nevertheless syntactically obligatory.

Aristotelian versus Fregean predicates

We will refer to the requirement just mentioned as the subject requirement. According to it, every clause consists of a subject and a predicate (independently of semantic requirements). Here, the term 'predicate' has a different sense than in our earlier discussion concerning argumenthood; it simply refers to what remains of a clause when its subject is removed.

Remember not to confuse 'subject' with 'simple subject.'

For clarity, we can use the term 'Aristotelian predicate' for this sense, since the observation that all sentences consist of a subject and a predicate goes back to Aristotle (384-322 BCE). Predication is the relation between a subject and an Aristotelian predicate. So (24a) and (24b) are two alternative ways of stating the subject requirement.

(24) a.   Every clause has a subject.
b.   Every clause is an instance of predication.

The sense of 'predicate' that we used earlier, in which the term refers to a single vocabulary item, is much more recent and can be attributed to one of the founders of modern logic, the mathematician and philosopher Gottlob Frege (1848-1925). Accordingly, we can use the term 'Fregean predicate' for this sense. What Frege made explicit is that Aristotle's division of a clause into subject and predicate is simply the first of a potential series of such bifurcations. Just as it is possible to peel off, as it were, the subject of a clause, leaving the Aristotelian predicate, it is possible to further peel off any arguments (and modifiers) contained within the Aristotelian predicate, yielding in the final instance a single vocabulary item, the Fregean predicate.

Fruitful as Frege's analytic insight is, we should not let it obscure the key difference between subjects and other constituents of a clause: namely, that constituents contained within an Aristotelian predicate must be licensed by semantic considerations (in other words, these constituents are present because of semantic considerations), whereas the subject, which is external to the Aristotelian predicate and combines with it, is required independently of semantic considerations.

In the following examples, the Aristotelian predicate of the largest clause is in italics, and the Fregean predicate is underlined. As the increasingly complex sentences show, Aristotelian predicates are recursive categories. Fregean predicates, on the other hand, not being phrases, are not.

(25) a. The tabby cat enjoys catnip immensely.
b. They have found that the tabby cat enjoys catnip immensely.
c. My downstairs neighbor suspects that they have found that the tabby cat enjoys catnip immensely.

Expletive there

In English, further evidence for the purely syntactic character of the subject requirement comes from the expletive there construction. (26) illustrates an ordinary sentence and its counterpart with expletive there.

(26) a.   Several vexing questions remain.
b.   There remain several vexing questions.

Expletive there differs from ordinary there in much the same way as expletive it differs from referential it. Ordinary there substitutes for phrases with a locative or directional meaning. Accordingly, the phrases right here and over there render (27a) and (27b) contradictory and redundant, respectively.

(27) a. # There comes the train right here.
b. There comes the train over there.

Expletive there, on the other hand, has no such locative meaning, and so both sentences in (28) are completely acceptable and unexceptional.

(28) a. There is a clean shirt right here.
b. There is a clean shirt over there.

A related difference is that expletive there, unlike ordinary there, is incompatible with stress.

Just as expletive it occupies the position that would otherwise be occupied by a clausal subject, expletive there occupies the position that would otherwise be occupied by a noun phrase subject. And just as in the case of expletive it, omitting expletive there results in ungrammaticality.

(29)   * Remain several vexing questions.

It should be pointed out that not every English sentence has an expletive there counterpart. Rather, expletive there is subject to a licensing condition (a necessary condition for its occurrence) that can be stated roughly as in (30).

(30)     Expletive there must be the subject of a verb of existence or coming into existence.

In the following examples, the licensing (Fregean) predicate is highlighted in green.

(31) a. After their military defeat, there arose among the Plains tribes a powerful spiritual movement.
b. There is a problem.
c. There began a reign of terror.
d. In the end, there emerged a new caudillo.
e. There ensued a period of unrest and lawlessness.
f. There exists an antidote.
g. There follows a section on the care of gerbils.
h. There has occurred an unfortunate incident.
i. There remains a single course of action.

Predicates that aren't verbs of (coming into) existence don't license expletive there. This is the reason that the following examples are ungrammatical; the non-licensing (Fregean) predicates are highlighted in red.

(32) a. * There came more than sixty dignitaries.
b. * There continued the same problem.
c. * There rang the mail carrier.
d. * There sang an impressive choir from Russia.
e. * There walked a poodle into the room.

Some special cases

Nonfinite clauses. The instances of predication provided so far have all been finite clauses like those in (33).

(33) a.   He laughed uproariously.
b. It will seem that they won the game.
c. There is a problem.

Nonfinite clauses like those in (34) are also instances of predication; the clauses at issue are set off by brackets.

(34) a.   We expected [ him to laugh uproariously ].
b. We expected [ it to seem that they won the game ].
c. We expected [ there to be a problem ].

At first glance, it might seem preferable to treat the italicized noun phrases in (34) as objects of expected, rather than as subjects of the embedded nonfinite clause the way we have done. However, such an approach faces at least two difficulties. First, the relation between the italicized and the underlined constituents in the nonfinite embedded clauses in (34) is intuitively analogous to the relation between the undoubted subjects and predicates of the finite embedded clauses in (35).

(35) a.   We expected that [ he would laugh uproariously ].
b. We expected that [ it would seem that they won the game ].
c. We expected that [ there would be a problem ].

Second, in (34a), the thematic relation of agent that the noun phrase him bears to the phrase to laugh uproariously is the same as that between the subject he and its predicate laughed uproariously in (35a). If him were the object of expected rather than the subject of the nonfinite clause, we would be forced to admit the otherwise unprecedented pairing of the thematic role of agent with the grammatical relation of object.

Small clauses. Because of the parallel between the nonfinite and finite embedded clauses in (34) and (35), it makes sense to treat to in to infinitive clauses as the nonfinite counterpart of a modal like would. There also exist instances of predication without any overt element corresponding to a modal. Such instances of predication are called small clauses (the idea behind the name is that the absence of a modal element makes them smaller than an ordinary clause). (36)-(39) provide some examples of small clauses; the captions indicate the syntactic category of the small clause's predicate.

(36) a. Adjective phrase We consider [ the proposed solution completely inadequate ] .
b. They proved [ the theory false ] .
(37) a. Noun phrase They called [ the actor a traitor ] .
b. I consider [ Mark Judy's closest collaborator ].
(38) a. Prepositional phrase They made [ him into a star ] .
b. I want [ everyone off the boat ] .
(39) a. Verb phrase (bare verb) God let [ there be light ] .
b. Verb phrase (gerund) I hear [ the cat scratching at the door ] .

Small clauses are typically arguments of verbs, but they can also be arguments of (certain) prepositions. This is illustrated in (40) for with.

(40) a. Adjective phrase: With the sea calm at last, they were able to venture out of the harbor for the first time in days.
b. Noun phrase: With his wife an airline industry lobbyist, the senator's support for the bailout was hardly surprising.
c. Prepositional phrase: With all of their three kids in college, their budget is pretty tight.
d. Verb phrase (gerund):   With the parade passing right outside her living-room window, Jenny could hardly have had a better view of it.

Imperatives. Although imperative sentences like (41) appear to lack a subject, there is reason to believe that they contain a second-person subject comparable to the pronoun you except that it is silent (the "you understood" of traditional grammar).

(41)     Come over here.

For one thing, (41) has the variant in (42) in which the subject is explicitly expressed.

(42)     You come over here.

Another reason to assume that all imperatives contain a syntactically active, even if silent, subject is that the grammaticality pattern in (43), where the subject is overt, has an exact counterpart in (44).

(43) a.   You shave { yourself, yourselves. }
b. * You shave you.
c. * You shave themselves.
(44) a.   Shave { yourself, yourselves. }
b. * Shave you.
c. * Shave themselves.


Notes

1. A logically transitive relationship is one that has the following property:

If the relationship holds between A and B, and also holds between B and C, then the relationship necessarily holds between A and C.

For instance, the sibling and ancestor relations are logically transitive, as is the subset relation invoked in (6b), but the parent relation is not.

2. The alert reader will notice that in the examples we give, it is verb phrases, adjective phrases, and prepositional phrases that are modified, but nouns (rather than noun phrases). You will be able to explain this apparent asymmetry after reading Chapter 5.


Exercises

Exercise 3.1

A. Imagine a language Hsilgne that is exactly like English except that transitive predicates combine first with the agent, and then with the theme. Does (1) mean the same thing in Hsilgne as it does in English? Explain, using the discussion in connection with (3)-(6) in the text as a guide.

(1)     Chris invited Dave.

B. As the thought experiment in (A) shows, it is not logically necessary for transitive predicates to combine first with the theme and then with the agent, as they do in English. What is the evidence that the combinatorial order in English is in fact first theme, then agent? In other words, how do we know that we speak English and not Hsilgne? (It shouldn't take you longer than three or four sentences to answer this question.)

Exercise 3.2

A. In your own words, what is the difference between the terms 'modify' and 'refer'? Feel free to use illustrative examples. Your answer should be brief.

B. In traditional grammar, the term 'modifier', which refers to any expression that adds information about some other expression, is often used interchangeably with the term 'adjective'. However, in linguistics, it is customary to make a distinction between the two terms and to define adjectives not with reference to their function, but on the basis of certain morphosyntactic criteria. For instance, many adjectives can appear in a comparative (better, more acceptable) or superlative (best, most acceptable) form. Moreover, in many languages (though not in English), adjectives are inflected for case, number, and gender to agree with nouns that they modify or that they are predicated of. Assuming the linguistic rather than the traditional definition of 'adjective', give an example of an adjective (or adjective phrase) that is not a modifier, and give an example of a modifier that is not an adjective.

Exercise 3.3

For each of the various instances of the modification relation illustrated in (1a-h) (= (14b-i) in the text), try to provide a sentence (possibly using another verb) in which modification is expressed by a noun phrase, rather than by a prepositional or adverbial phrase. (This is not necessarily possible in every case.) (2) gives an example.

(1) a. Point in time: They discussed the proposal in the afternoon.
b. Duration: She kept their books for five years.
c. Frequency: I read the Times quite often.
d. Location: We met the students in my office.
e. Origin: We set out from Bangalore.
f. Destination: We arrived in Benares.
g. Cause: He threw it away out of spite.
h. Purpose: I sent the message to warn everyone.
(2) Illustration for manner: They solved the problem another way.

Exercise 3.4

A. Based on the discussion in this chapter of how expletive there is licensed, explain for each of the following grammaticality judgments whether it is expected or not. The brackets indicate the boundaries of to infinitive clauses or small clauses and are added for clarity.

(1) a. ok Feynman suspected [ there to be a problem with the O-ring ] .
b. * Feynman suspected [ there a problem with the O-ring ] .
c. ok There was suspected [ to be a problem with the O-ring ] .
d. * There was suspected [ a problem with the O-ring ] .

B. Is the following argument valid?

The contrast in (2) shows that expletive there cannot be an object; hence, it cannot be an object in (3), but must rather be the subject of the to infinitive clause.

(2) a. ok There is a fly in the soup.
b. * I dislike there in the soup.
(3) ok I don't want there to be a fly in the soup.

Exercise 3.5

A. Discuss the syntactic difference(s) between the two sentences in (1), focusing on the concepts introduced in this chapter. (Source:
http://www.meredith.edu/grammar/modifier.htm)

(1) a.   Winston considered the judges careful.
b.   Winston considered the judges carefully.

B. According to the source of the sentences in (1), consider is a linking verb in (1a). This view is nonsense, but what might have led the author of the website to reach it? Your answer should not take more than two or three sentences.

Exercise 3.6

Briefly explain the structural ambiguity of the newspaper headlines in (1) and the joke in (2) with reference to the concepts introduced in this chapter.

(1) a.   Greeks Fine Hookers
b.   Lawmen from Mexico Barbecue Guests
c.   Lawyers Give Poor Free Legal Advice
d. Lung Cancer in Women Mushrooms
(2) (Q. What did the Zen master say to the guy at the hot dog stand?)
A. Make me one with everything.

Problem 3.1

A. Nonfinite clauses like (1) are prima facie counterexamples to the subject requirement.

(1)     I promised [ to come on time ].

Provide as much conclusive evidence as you can for the existence of a silent subject in the nonfinite clause.

B. The availability of (2) in vernacular usage might tempt one to conclude that expletive it is optional, and that the subject requirement is not absolute.

(2)     Seems like they're finally getting somewhere.

Does (2) really show that expletive subjects are optional? Explain.

Problem 3.2

B. The there sentences in (2) are acceptable in modern English (though quite formal in style). Discuss.

(2) a. At the end of the intermission, there sounded a silvery bell.
b. Then the curtain rose, and there waltzed onto the stage an exquisitely, but strangely dressed apparition.