October 15, 2007
Non-finite clauses and control
11-721: Grammars and Lexicons
Lori Levin
Phrase structure and lexical entries
for embedded clauses
I think that John saw Mary.
think < cognizer theme >
SUBJ
COMP
see < perceiver perceived >
SUBJ
OBJ
An embedded clause that is an
argument of a verb is called a
complement. A word like “that”, which
marks a clause as a complement
clause, is called a complementizer.
Matrix clause or
main clause
S
NP
I
VP
V
think
S-bar
C
that
Embedded clause
S
John saw
Mary
Complement clauses and adjunct
clauses
• Complements
– I think that it is raining.
– You told me that it is raining.
• Adjuncts
– I read the book while it was raining.
– I read the book before it rained.
Complementizer
S
S
NP
S-bar
VP
C
VP
S
bothers me
I
V
think
S-bar
that
C
S
that
linguistics
is fun
linguistics
is fun
Main clauses don’t have
complementizers:
*That it is raining.
S-bar, CP, and IP
• S is currently called IP (inflectional
phrase) and S-bar is currently called CP
(complementizer phrase).
IP
NP
I
VP
V
think
CP
C
that
IP
linguistics
is fun
Matrix clause and embedded
clause
Matrix Clause
S
NP
VP
V
S-bar
Embedded Clause
S
COMP
It
seems that
NP
VP
they have left.
Matrix coding as subject
S
NP
S
VP
V
NP
S-bar
VP
V
VP-bar
S
COMP
It
seems that
NP
VP
VP
I
they have left. They seem to
have left.
Also known as “Raising to Subject”
Lower clause subject is raised to be
the subject of the matrix clause.
S
NP
S
VP
V
NP
S-bar
VP
V
VP-bar
S
COMP
It
seems that
NP
VP
VP
COMP
they have left. They seem to
have left.
Matrix Coding as Subject
• Subject of embedded clause is coded as
subject of matrix clause
– Occurs before the matrix verb in English
– Matrix verb agrees with it
Matrix coding as a test for
subjecthood
• Only the subject of the embedded clause
can be removed from the lower clause and
coded as the matrix clause subject.
– It seems that I have seen them.
– * They seem I to have seen ____.
– * The knife seems I to have cut the bread
with.
Matrix coding as a test for
subjecthood
• Start with “It seems that S”
– It seems that the bear ate a sandwich.
• Delete “that” and change the embedded verb to an infinitive
– It seems [the bear to eat a sandwich].
• Identify the phrase you want to test.
– It seems [the bear to eat a sandwich].
• Replace “it” with the phrase you want to test:
– The bear seems to eat a sandwich.
• If “seem” doesn’t agree with the phrase, make it agree.
•
•
•
•
It seems that the bears ate a sandwich.
It seems the bears to eat a sandwich.
The bears seems to eat a sandwich.
The bears seem to eat a sandwich.
• It’s ok to make the lower verb into a perfect (have/had V-ed) or
progressive (BE V-ing) to make it sound better.
– The bear seems to have eaten a sandwich.
– The bear seems to be eating a sandiwich.
What is the subject of these sentences?
(Use raising to subject as a test)
•
•
•
•
There is a problem.
There are problems.
In this village lives a wise man.
In this village live many people.
Two Hypotheses
• An embedded subject can be coded as the
matrix subject.
• The first element of the embedded clause
can be coded as the matrix subject.
• Can you think of examples to test
differentiate between these two
hypotheses?
Using passive to make patients
raisable
• It seems that Chris ate a sandwich.
• It seems that a sandwich was eaten by
Chris.
• A sandwich seems to have been eaten by
Chris.
Raising in Malagasy
• See handout
Control by Matrix Subject
• Pat is the agent of try and the agent of
open.
• PatSis also the subject of both verbs.
NP
VP
V
VP-bar
VP
COMP
Pat tried to
open the window
Control by matrix subject: a.k.a.
Equi NP Deletion
• History of Equi NP Deletion:
– Pat tried Pat to open the window.
– Pat tried __ to open the window.
– (Deletion in this case is obligatory.)
• A meaning preserving transformation
deletes the second occurrence of Pat.
Control as a test for subjecthood
• Pat tried ___ to open the window.
controller
controllee
Only the subject of the lower (embedded) clause
can be the controllee:
* Pat tried Kim to see ___
Seem and Try
• The cat seems to be out
of the bag.
• There seems to be a
problem.
• That seems to be my
husband.
• The doctor seemed to
examine Sam.
• Sam seemed to be
examined by the doctor.
• The cat tried to be out of
the bag.
• *There tried to be a
problem.
• That tried to be my
husband.
• The doctor tried to
examine Sam.
• Sam tried to be examined
by the doctor.
Seem and Try
seem < theme >
try < agent theme >
Try
try < agent theme >
SUBJ XCOMP
XCOMP
–
–
–
–
Argument of a verb (not an adjunct)
Non-finite
Does not have an overt subject
Its understood subject is one of the arguments of the main
clause.
– Infinitives and participles in subject and oblique positions are not
xcomps.
• To open the window is hard.
• I thought about opening the window.
• Anaphoric or arbitrary control
Seem
seem < theme > SUBJ
XCOMP
Seem has one semantic argument that is
split into two syntactic pieces, a SUBJ and
an XCOMP.
Seem
It seems that Sam left.
Seem < theme > SUBJ
COMP
Seem and Try: accounting for the
differences
• Verbs impose selectional restrictions on their
semantic arguments.
– Colorless green ideas sleep furiously.
– The house woke up.
• The subject of try must be interpretable as an
agent.
– It cannot be a dummy element.
– It cannot be an idiom chunk.
• Changing the subject of try changes its agent
and gives it a different meaning.
Thematic Paraphrase
• The same noun phrases fill the same
semantic (thematic) roles for the same
verbs.
• It seems that Sam ate a sandwich.
• Sam seems to have eaten a sandwich.
• A sandwich seems to have been eaten by
Sam.
Controllers and Controllees
• Van Valin uses the terms controller and
controllee only with try-type verbs (equi
verbs).
• We will use the terms controller and
controllee with seem-type verbs (raising
verbs) as well.
Are raising and control long
distance dependencies?
• Sam seemed to appear to try to eat a
sandwich.
Is “Sam” a filler, and
is there a gap before
“eat”?
S
VP
NP
V
VP-bar
C
VP
V
VP-bar
C
VP
V
VP-bar
C
Sam seemed
to appear to
try
to
VP
____eat a sandwich
Control and raising are not long
distance dependencies
• The long distance with raising and control is a
sequence of local operations.
– “Sam” is raised locally from “eat” to “try”, from “try” to
“appear”, and from “appear” to “seemed”. “Sam” is
understood as the subject of each verb.
• With a true filler and gap, there are no other
gaps intervening between the filler and gap.
– Who did you think he said she told him she saw ___.
Control and raising are not long
distance dependencies
• A true gap can go with any verb.
– Who did you see __?
– What did you read__?
– What did you sing __to her?
• A true gap can be subj, obj, obl, etc.
– Who __ saw you?
– Who did you talk to __?
• “Understood” subjects only occur in the subject
position of infinitive clauses that are
complements of certain verbs like “seem” and
“try.”
Matrix Coding as Object: a.k.a. Raising-toObject or Exceptional Case Marking
• I believe that they have left.
• I believe them to have left.
Matrix Clause
S
NP
VP
V
S-bar
S
COMP
NP
I believe that they
Embedded Clause
VP
have left
S
NP
VP
V
NP
VP-bar
I
I
believe them
VP
to have left
S
NP
Raising-to-Object: We will
use this one in this class.
VP
V
NP
VP-bar
I VP
I
believe them
to have left
S
NP
VP
Exceptional Case Marking: we
will not use this one.
S
V
NP
VP-bar
I VP
I
believe them
to have left
Evidence that them is direct object of
the matrix clause
• It is in the accusative case.
• It can be the subject of the passive of the matrix
verb.
– They are believed to have left.
• Tests for constituency:
– Class participation
• Coordination
• Movement
• Pronoun substitution
Raising to object as a test for
subjecthood.
• Only the subject of the lower (embedded)
clause can be raised up to be the object of
the matrix clause.
– Leslie believes that the police have arrested
Chris.
– Leslie believes the police to have arrested
Chris.
– *Leslie believes Chris the police to have
arrested.
Test with raising to object
• There are some problems.
• In the village live many people.
Control by Matrix Object
S
NP
VP
V
NP
VP-bar
I VP
I persuaded Pat
to leave
Control by Matrix Object
• Pat is the direct object of persuade and
the subject of leave.
– The matrix object (controller) and embedded
subject (controllee) are the same.
• Only the embedded subject can be the
controllee.
– *Pat persuaded Sam the doctor to examine.
Believe and Persuade
• I believe the cat to be out
of the bag.
• I believe there to be a
problem.
• I believe that to be my
husband.
• I believe Pat to have
opened the window.
• I believe the window to
have been opened by
Pat.
• I persuaded the cat to be
out of the bag.
• *I persuaded there to be
a problem.
• I persuaded that to be my
husband.
• I persuaded Pat to have
opened the window.
• ? I persuaded the window
to have been opened by
Pat.
Using passive to make patients
controllable
• I believe that Sam opened the window.
• I believe the window to have been opened
by Sam.
• I believe the window to have been opened
by Sam.
• I perusaded the doctor to examine Sam.
• I persuaded Sam to be examined by the
doctor.
Control in Malagasy
• See handout.
Control of Adjunct Clauses
• Having just arrived in town, Sam called his
mother.
• Having just hurt herself, Sam called his mother.
• What can be the controller?
– Matrix subject?
– Matrix object?
• What can be the controllee?
– Embedded subject?
– Embedded object?