Week 5b. -Theory (with a little more binding theory) CAS LX 522 Syntax I

Week 5b. Week 5b. -Theory (with a -Theory (with a little more binding theory)little more binding theory)

CAS LX 522CAS LX 522Syntax ISyntax I

BindingBinding

Principle APrinciple A of the Binding Theory of the Binding Theory (preliminary)(preliminary)::An anaphor must be bound.An anaphor must be bound.

see himself

-ed

DP

I

DPiV

VP

John

see himself

-ed

DPi

IP

I

DPiV

VP motherDPJohn

DPi

*

I

IP

I

D

D’s

Principle APrinciple A This also explains why the following This also explains why the following

sentences are ungrammatical:sentences are ungrammatical: *Himself*Himselfii saw John saw Johnii in the mirror. in the mirror.

*Herself*Herselfii likes Mary likes Maryii’s father.’s father.

*Himself*Himselfii likes Mary’s father likes Mary’s fatherii..

There is nothing which c-commands There is nothing which c-commands and is coindexed with and is coindexed with himselfhimself and and herselfherself. The anaphors are not . The anaphors are not bound, which violates Principle A.bound, which violates Principle A.

Binding domainsBinding domains But this is not the end of the story; But this is not the end of the story;

considerconsider *John*Johnii said that himself said that himselfii likes pizza. likes pizza.

*John*Johnii said that Mary called himself said that Mary called himselfii..

In these sentences the DP In these sentences the DP JohnJohn c- c-commands and is coindexed with (=binds) commands and is coindexed with (=binds) himselfhimself, satisfying our preliminary version , satisfying our preliminary version of Principle A—but the sentences are of Principle A—but the sentences are ungrammatical.ungrammatical. John didn’t say that anyone likes pizza.John didn’t say that anyone likes pizza. John didn’t say that Mary called anyone.John didn’t say that Mary called anyone.

Binding domainsBinding domains

JohnJohnii saw himself saw himselfii in the mirror. in the mirror.

JohnJohnii gave a book to himself gave a book to himselfii..

*John*Johnii said that himself said that himselfii is a genius. is a genius.

*John*Johnii said that Mary dislikes himself said that Mary dislikes himselfii..

What is wrong? What is wrong? John John binds binds himself himself in every case. What is different?in every case. What is different?

In the ungrammatical cases, In the ungrammatical cases, himselfhimself is in an embedded clause. is in an embedded clause.

Binding domainsBinding domains It seems that not only does an anaphor It seems that not only does an anaphor

need to be bound, it needs to be bound need to be bound, it needs to be bound nearby (or nearby (or locallylocally).).

Principle A Principle A (revised):(revised):An anaphor must be bound in its binding An anaphor must be bound in its binding domain.domain.

Binding DomainBinding Domain (preliminary): (preliminary):The binding domain of an anaphor is the The binding domain of an anaphor is the smallest clause containing it.smallest clause containing it.

Principle APrinciple A

The definition of The definition of binding domainbinding domain is is very complicated (this occupied many very complicated (this occupied many syntacticians in the early ’80s).syntacticians in the early ’80s).

A clause (IP) delimits a binding domain.A clause (IP) delimits a binding domain. But other things do too…But other things do too…

Mary likes Mary likes [[DPDP John’s picture of himself John’s picture of himselfii ]]..

*Mary*Maryii likes likes [[DPDP John’s picture of herselfJohn’s picture of herselfii ]]..

MaryMaryii wants wants [[DPDP a picture of herselfa picture of herselfii ]]..

Binding domainBinding domain

Let’s say this:Let’s say this: The The binding domainbinding domain for an anaphor for an anaphor

is the smallest of:is the smallest of: An IP that dominates it.An IP that dominates it. A DP, with a specifier, that dominates it.A DP, with a specifier, that dominates it.

Note! This is Note! This is notnot perfect, but it is a perfect, but it is a pretty close approximation.pretty close approximation.

PronounsPronouns

*John*Johnii saw him saw himii in the mirror. in the mirror.

JohnJohnii said that he said that heii is a genius. is a genius.

JohnJohnii said that Mary dislikes him said that Mary dislikes himii..

JohnJohnii saw him saw himjj in the mirror. in the mirror.

How does the distribution of How does the distribution of pronouns differ from the distribution pronouns differ from the distribution of anaphors?of anaphors?

It looks like it is just the It looks like it is just the oppositeopposite..

Principle BPrinciple B

Principle BPrinciple BA pronoun must be free in its binding A pronoun must be free in its binding domain.domain.

FreeFreeNot boundNot bound

*John*Johnii saw him saw himii..

JohnJohnii’s mother saw him’s mother saw himii..

Principle CPrinciple C

We now know where pronouns and We now know where pronouns and anaphors are allowed. So what’s anaphors are allowed. So what’s wrong with these sentences? The wrong with these sentences? The pronouns are unbound as needed for pronouns are unbound as needed for Principle B. What are the binding Principle B. What are the binding relations here?relations here?

*He*Heii likes John likes Johnii.. *She*Sheii said that Mary said that Maryii fears clowns. fears clowns. HisHisii mother likes John mother likes Johnii..

Principle CPrinciple C

Binding is a means of assigning Binding is a means of assigning reference.reference.

R-expressions have intrinsic R-expressions have intrinsic reference; they can’t be assigned reference; they can’t be assigned their reference from somewhere else.their reference from somewhere else.

R-expressions can’t be bound, at all.R-expressions can’t be bound, at all. Principle CPrinciple C

An r-expression must be free.An r-expression must be free.

Binding TheoryBinding Theory Principle A.Principle A. An anaphor must be bound in An anaphor must be bound in

its binding domain.its binding domain. Principle B.Principle B. A pronoun must be free in its A pronoun must be free in its

binding domain.binding domain. Principle C.Principle C. An r-expression must be free.An r-expression must be free. The The binding domainbinding domain for an anaphor is the for an anaphor is the

smallest of (i) An IP that dominates it, (ii) A smallest of (i) An IP that dominates it, (ii) A DP, with a specifier, that dominates it.DP, with a specifier, that dominates it.

BoundBound: coindexed with a c-commanding : coindexed with a c-commanding antecedent (antecedent (FreeFree: not bound).: not bound).

Constraints on Constraints on interpretationinterpretation

Binding Theory is about interpretation.Binding Theory is about interpretation. Only a structure that satisfies Binding Only a structure that satisfies Binding

Theory is Theory is interpretableinterpretable..

Lexicon

Workbench

Merge

pronounce

interpret


If we put together a tree that isn’t If we put together a tree that isn’t interpretable, the process interpretable, the process (derivation) is sometimes said to (derivation) is sometimes said to crashcrash..

Lexicon

Workbench

Merge

pronounce

interpret


If we succeed in putting together a If we succeed in putting together a tree that is interpretable (satisfying tree that is interpretable (satisfying the constraints), we say the process the constraints), we say the process (derivation) (derivation) convergesconverges..

Lexicon

Workbench

Merge

pronounce

interpret

Exercise to ponderExercise to ponder Young kids (5-6 years) seem to accept sentences Young kids (5-6 years) seem to accept sentences

like (1) as meaning what (2) means for adults.like (1) as meaning what (2) means for adults. (1) Mama Bear is pointing to her.(1) Mama Bear is pointing to her. (2) Mama Bear is pointing to herself.(2) Mama Bear is pointing to herself.

Suppose that contrary to appearances, kids Suppose that contrary to appearances, kids dodo know and obey Principle B. Look carefully at the know and obey Principle B. Look carefully at the definitions of Binding Theory. If Principle B isn’t definitions of Binding Theory. If Principle B isn’t the problem, what do you think kids are getting the problem, what do you think kids are getting wrong to allow (1) to have the meaning of (2)?wrong to allow (1) to have the meaning of (2)? Think in particular about how you decide which index Think in particular about how you decide which index

to assign to to assign to herher. What is the implication of having the . What is the implication of having the same index? What is the implication of having same index? What is the implication of having different indices?different indices?

*MB*MBii is pointing to her is pointing to herii..

(1) *Mama Bear(1) *Mama Bearii is pointing to her is pointing to herii.. (2) Mama Bear(2) Mama Bearii is pointing to herself is pointing to herselfii..

Principle BPrinciple B: A pronoun must be free within its : A pronoun must be free within its binding domain. binding domain. FreeFree = not bound. = not bound. Bound byBound by = coindexed with and c-commanded by.= coindexed with and c-commanded by.

(3) Mama Bear(3) Mama Bearii is pointing to her is pointing to herjj.. Indexes signify a “pointing relation”. Indexes signify a “pointing relation”.

Coindexation implies coreference.Coindexation implies coreference.

Raining implies wet streets. Do wet Raining implies wet streets. Do wet streets imply raining?streets imply raining?

Verbs and argumentsVerbs and arguments

Verbs come in several types…Verbs come in several types… Some have only a subject, they can’t have an Some have only a subject, they can’t have an

object—the object—the intransitiveintransitive verbs.verbs. Sleep: Sleep: Bill sleptBill slept; ; *Bill slept the book*Bill slept the book..

Some need an object—the Some need an object—the transitivetransitive verbs. verbs. Hit: Hit: *Bill hit*Bill hit; ; Bill hit the pillowBill hit the pillow..

Some need two objects—Some need two objects—ditransitiveditransitive verbs.verbs. Put: Put: *Bill put*Bill put; ; *Bill put the book*Bill put the book;;

Bill put the book on the tableBill put the book on the table..

Verbs and argumentsVerbs and arguments

The “participants” in an event denoted The “participants” in an event denoted by the verb are the by the verb are the argumentsarguments of that of that verb.verb.

Some verbs require one argument Some verbs require one argument (subject), some require two arguments (subject), some require two arguments (subject and object), some require (subject and object), some require three arguments (subject, indirect three arguments (subject, indirect object, direct object).object, direct object).

PredicatesPredicates

We will consider verbs to be We will consider verbs to be predicatespredicates which define properties of and/or which define properties of and/or relations between the relations between the argumentsarguments.. Bill hit the ballBill hit the ball There was a hitting, Bill did the hitting, There was a hitting, Bill did the hitting,

the ball was affected by the hitting.the ball was affected by the hitting. Different arguments have different Different arguments have different

rolesroles in the event. (e.g., The hitter, the in the event. (e.g., The hitter, the hittee)hittee)

SubcategorizationSubcategorization Not all transitive verbs (that take just Not all transitive verbs (that take just

one object) can take the same kind of one object) can take the same kind of object.object. Sue knows [Sue knows [DPDP the answer ] the answer ] Sue knows [Sue knows [CPCP that Bill left early ] that Bill left early ] Sue hit [Sue hit [DPDP the ball ] the ball ] *Sue hit [*Sue hit [CPCP that Bill left early] that Bill left early]

So So knowknow can take either a DP or a CP as can take either a DP or a CP as its object argument; its object argument; hithit can only take a can only take a DP as its object argument.DP as its object argument.

SelectionSelection

Verbs also exert semantic control of Verbs also exert semantic control of the kinds of arguments they allow: the kinds of arguments they allow: selectionselection..

For example, many verbs can only For example, many verbs can only have a volitional (agentive) subject:have a volitional (agentive) subject: Bill likes pizza. Bill kicked the stone.Bill likes pizza. Bill kicked the stone. #Pizza likes anchovies. #The stone #Pizza likes anchovies. #The stone

kicked Bill.kicked Bill.

The lexiconThe lexicon A major component of our knowledge of a A major component of our knowledge of a

language is knowing the words and their language is knowing the words and their properties (properties (the lexiconthe lexicon).).

In the lexicon, we have the words (In the lexicon, we have the words (lexical lexical itemsitems) stored with their properties, like:) stored with their properties, like: Syntactic category (N, V, Adj, P, C, I, …)Syntactic category (N, V, Adj, P, C, I, …) Number of arguments requiredNumber of arguments required Subcategorization requirements (syntax)Subcategorization requirements (syntax) Selectional requirements (semantics)Selectional requirements (semantics) PronunciationPronunciation ……

These pretty much just have to be learned These pretty much just have to be learned separately for each verb in the language.separately for each verb in the language.

Thematic relationsThematic relations

It has come to be standard practice It has come to be standard practice to think of the selectional to think of the selectional restrictions in terms of the restrictions in terms of the thematic thematic relationrelation that the argument has to the that the argument has to the verb—the role it plays in the event.verb—the role it plays in the event.

One thematic relation is One thematic relation is agentagent of an of an action, like action, like BillBill in: in: Bill kicked the ball.Bill kicked the ball.

Common thematic Common thematic relationsrelations

AgentAgent: initiator or doer in the event: initiator or doer in the event ThemeTheme: affected by the event, or : affected by the event, or

undergoes the actionundergoes the action Bill kicked the ball. Bill kicked the ball.

ExperiencerExperiencer: feel or perceive the event: feel or perceive the event Bill likes pizza.Bill likes pizza.

PropositionProposition: a statement, can be : a statement, can be true/false.true/false. Bill said that he likes pizza.Bill said that he likes pizza.


GoalGoal:: Bill ran Bill ran to Copley Squareto Copley Square.. Bill gave the book Bill gave the book to Maryto Mary.. (Recipient)(Recipient)

SourceSource:: Bill took a pencil Bill took a pencil from the pilefrom the pile..

InstrumentInstrument: : Bill ate the burrito Bill ate the burrito with a plastic sporkwith a plastic spork..

BenefactiveBenefactive:: Bill cooked dinner Bill cooked dinner for Maryfor Mary..

LocationLocation:: Bill sits Bill sits under the treeunder the tree on Wednesdays. on Wednesdays.


Armed with these terms, we can Armed with these terms, we can describe the semantic connection describe the semantic connection between the verb and its arguments.between the verb and its arguments. Ray gave a grape to Bill.Ray gave a grape to Bill.

RayRay: : Agent, Source, …Agent, Source, … A grapeA grape: : ThemeTheme BillBill: : Goal, Recipient, …Goal, Recipient, …

-roles-roles An argument can participate in several An argument can participate in several

thematic relations with the verb (e.g., thematic relations with the verb (e.g., Agent, Goal).Agent, Goal).

In the syntax, we assign a special In the syntax, we assign a special connection to the verb called a “connection to the verb called a “-role-role”, ”, which is a which is a collection collection of thematic of thematic relations.relations.

For the purposes of syntax, the For the purposes of syntax, the -role -role (the (the collection collection of relations) is much more of relations) is much more central than the actual relations in the central than the actual relations in the collection.collection.

-roles-roles

We will often need to make reference We will often need to make reference to a particular to a particular -role, and we will often -role, and we will often do this by referring to the most do this by referring to the most prominent relation in the collection.prominent relation in the collection.

For example, in For example, in Bill hit the ballBill hit the ball, we say , we say that that BillBill has the “Agent has the “Agent -role”, -role”, meaning it has a meaning it has a -role containing the -role containing the Agent relation, perhaps among others.Agent relation, perhaps among others.

The Theta CriterionThe Theta Criterion

Although an argument can have any Although an argument can have any number of thematic relations in the number of thematic relations in the --role…role…

Each argument has exactly one Each argument has exactly one -role.-role. On the other side, verbs (as we’ve On the other side, verbs (as we’ve

seen) are recorded in the lexicon with seen) are recorded in the lexicon with the number of participants they the number of participants they require; each participant must have a require; each participant must have a -role as well.-role as well.

The Theta CriterionThe Theta Criterion Verbs have a certain number of Verbs have a certain number of -roles to -roles to

assignassign (e.g., (e.g., saysay has two), and each of has two), and each of those must be assigned to a distinct those must be assigned to a distinct argument.argument.

Meanwhile, every argument needs to have Meanwhile, every argument needs to have exactly one exactly one -role (it needs to have at -role (it needs to have at least one, it can’t have more than one).least one, it can’t have more than one).

This requirement that there be a one-to-This requirement that there be a one-to-one match between the one match between the -roles a verb has -roles a verb has to assign and the arguments receiving to assign and the arguments receiving --roles is the roles is the Theta CriterionTheta Criterion..

Theta GridsTheta Grids

We can formalize the information about We can formalize the information about --roles in the lexical entry for a verb by using roles in the lexical entry for a verb by using a a theta gridtheta grid, like so:, like so:

The columns each represent a The columns each represent a -role, the -role, the indices in the lower row will serve as our indices in the lower row will serve as our connection to the actual arguments; e.g.connection to the actual arguments; e.g.

JohnJohnii gave [the book] gave [the book]jj [to Mary] [to Mary]kk..

give Source/Agent Theme Goal

i j k


JohnJohnii gave [the book] gave [the book]jj [to Mary] [to Mary]kk..


i j k

The first -role is assigned to the subject. It is the external -role.It is often designated by underlining it.

The other -role are internal -roles.


The The -roles in the theta grid are obligatory.-roles in the theta grid are obligatory. (Optional things like (Optional things like on the hillon the hill are not in the are not in the -grid).-grid).

AdjunctsAdjuncts are related to the verb via thematic are related to the verb via thematic relations (e.g., instrument, location, etc.), but relations (e.g., instrument, location, etc.), but an adjunct does not get a an adjunct does not get a -role-role. They are . They are optional.optional.


i j k

The Theta Criterion in The Theta Criterion in actionaction

An example: An example: pushpush..

BillBillii pushed the shopping cart pushed the shopping cartjj.. Fine, Fine, pushpush assigns two assigns two -roles, one (the external -roles, one (the external --

role) is assigned to role) is assigned to BillBill, the other (the internal , the other (the internal --role) is assigned to role) is assigned to the shopping cartthe shopping cart. There are . There are two arguments here, each gets a two arguments here, each gets a -role.-role.

*Bill*Billii pushed. (j?) pushed. (j?) *Bill*Billii pushed the shopping cart pushed the shopping cartjj the corner the corner??..

push Agent Theme

i j

The Theta Criterion in The Theta Criterion in actionaction

An example: An example: coughcough..

BillBillii coughed. coughed. Fine, Fine, coughcough assigns one assigns one -role (the external -role (the external --

role), to role), to BillBill. There are one arguments here, and it . There are one arguments here, and it gets a gets a -role.-role.

*Bill*Billii coughed the shopping cart coughed the shopping cart??..

cough Agent

i

““Argument”?Argument”? The The -criterion:-criterion:

every every -role in the -role in the -grid is assigned to exactly -grid is assigned to exactly one argument.one argument.

every argument is assigned exactly one every argument is assigned exactly one -role.-role. The second half protects us against The second half protects us against

superfluous arguments. But it’s hard to superfluous arguments. But it’s hard to evaluate this if we don’t know what an evaluate this if we don’t know what an argument is.argument is. It’s hard to say, actually. There are some further It’s hard to say, actually. There are some further

concepts that we should have before we can even concepts that we should have before we can even start to state this accurately. For now, let’s just start to state this accurately. For now, let’s just suppose that DPs and CPs are necessarily suppose that DPs and CPs are necessarily arguments, and PPs usually aren’t.arguments, and PPs usually aren’t.

The EPPThe EPP

With the Theta Criterion in our toolbox, With the Theta Criterion in our toolbox, let’s take a look at a special kind of let’s take a look at a special kind of sentence (which will turn out to tell us sentence (which will turn out to tell us something important about syntax).something important about syntax). It rained.It rained. It snowed.It snowed.

How many How many -roles does -roles does rainrain assign?assign? If we think about If we think about itit, it doesn’t really mean , it doesn’t really mean

anything anything at all. It is not a participant in the at all. It is not a participant in the event; it really event; it really can’tcan’t be getting a be getting a -role. (cf. -role. (cf. also Spanish).also Spanish).

The EPPThe EPP

So, the theta grid for So, the theta grid for rainrain really really looks like this:looks like this:

The EPPThe EPP

Given the Given the -Criterion and the fact -Criterion and the fact that that rainrain doesn’t have any doesn’t have any -roles to -roles to assign, what’s assign, what’s itit doing there? And doing there? And why doesn’t why doesn’t itit violate the violate the -Criterion?-Criterion?

As to the first question, the As to the first question, the conclusion that syntacticians have conclusion that syntacticians have come to is that the come to is that the itit is there due to a is there due to a separate constraint, which goes by separate constraint, which goes by the name EPP.the name EPP.

The EPPThe EPP The EPPThe EPP

All clauses have subjects.All clauses have subjects.

The idea is that The idea is that there must be something there must be something in the subject position (SpecIP) of every in the subject position (SpecIP) of every clauseclause..

Because Because rainrain has no arguments (no has no arguments (no -roles), a -roles), a special, contentless pronoun (special, contentless pronoun (itit) has to be ) has to be inserted to in order to have a grammatical inserted to in order to have a grammatical sentence. This kind of “empty sentence. This kind of “empty itit” is called an ” is called an expletiveexpletive or a or a pleonastic pronounpleonastic pronoun. . ItIt is not is not an argument (in this use).an argument (in this use).

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Week 5b. -Theory (with a little more binding theory) CAS LX 522 Syntax I