Three Kingdoms

by Luo Guanzhong (Moss Roberts trans. )

  56. This quote is from Ming Yuzhen's biography in the Ming shi, cited in Liu Zhijian, Xinlun, p. 78. Wang Baobao is Kökö Temür, who became Zhu Yuanzhang's main opponent in the last years of the Yuan dynasty and the first years of the Ming. See Edward Dreyer, Early Ming China (Stanford: Stanford University Press, 1982), pp. 65-106, esp. p. 73.

  57. Hok-lam Chan, Legitimation in Imperial China (Seattle: University of Washington Press, 1984), p. 129. The Ming court did not itself sponsor discussion on legitimacy, and Hu Han and Fang Xiaoru represent a minor current of opinion. In the second half of the fifteenth century, however, there was "an outburst of Han protonationalism and antiforeignism" in which "the legitimacy of Chinese rulers over alien conquerors" was championed; see Chan, Legitimation, pp. 127-29. In the following generations, the impulse to reopen the legitimacy question of the Song became strong. One scholar, Wang Zhu, wrote a Song history (preface dated 1546) that erased Yuan legitimacy by fabricating an imperial ancestry for Zhu Yuanzhang back to 1279, the last year of the Southern Song. See Chan, "Historiography at the Yuan Court," in Langlois, China Under Mongol Rule, pp. 97-99, 467. Wang Zhu's device recalls Xi Zuochi's erasure of Wei legitimacy by deriving Jin directly from Han. Zhu Yuanzhang continued many of the institutions of the Yuan, whatever models he claimed to be following. This is one of the theses of John W. Dardess, Confucianism and Autocracy: Professional Elites in the Founding of the Ming Dynasty (Berkeley and Los Angeles: University of California Press, 1983). Fang Xiaoru regarded Zhuge Liang as the greatest prime minister since the Qin and Han dynasties (see juan 5 of his Xunzhizhai ji, cited in Liu Chunfan, Zhuge Liang zhuan [Beijing: Zhongguo qingnian chubanshe, 1986], pp. 157-58).

  58. See Wang Liqi, "Luo Guanzhong yu Sanguozhi tongsu yanyi," in YJJ, pp. 240-65.

  59. See Xi Yunzhan, "Luo Guanzhong de yuanji zai nali?" XK 2 (1986): 30, 35.

  60. Li Lingnian, "Luo Guanzhong wei Zhao Xie menren bian lüe," XK 2 (1986): 54-63.

  61. ZHT, p. 68. Zifang refers to Zhang Liang, who served Liu Bang as Kongming served Liu Bei. For further information on Han Lin'er, Liu Futong, Liu Ji, and Zhu Yuanzhang, see Dreyer, Early Ming China, pp. 31-35, 92-93; see also Dictionary of Ming Biography 1368-1644, ed. L. Carrington Goodrich and Chaoying Fang (New York: Columbia University Press, 1976).

  62. ZHT, p. 68.

  63. See Huang Lin, "Li Mao liangben Zhuge Liang xingxiang bijiao lun," XK 2 (1986): 92-109. See also Zhao Qingyong, "Luo Guanzhong de zhengzhiguan ji Sanguozhi yanyi chuangzuo sixiang guankui," in LWJ, pp. 358-68; and CZL, pp. 327-59. The title used by Mao, Sanguozhi yanyi, was taken from the "Li Zhuowu" edition. Chen Xianghua calculates that Mao Zonggang was born in 1632 and died in 1709 (or later); see "Mao Zonggang de shengping yu Sanguozhi yanyi Mao ping-ben de Jin Shengtan xu wenti," Wen xian, 1989, no. 3: 71.

  64. Xu Zhongwei, "Buke dengliang qiguan de liangbu Sanguo," Wenxue yichan, 1983, no. 2: 88-100. Mao does, however, express sympathy for those of Cao's advisers (Kong Rong, Guo Jia) who urged good relations with Liu Xuande.

  65. The preceding account is based on Jerry Dennerline, The Chia-ting Loyalists (New Haven: Yale University Press, 1981), Introduction and chapters 1 and 2; Lynn Struve, The Southern Ming (New Haven: Yale University Press, 1984), Introduction and chapters 1 and 2; and Frederic Wake-man, Jr., The Great Enterprise (Berkeley and Los Angeles: University of California Press, 1985), chapter 3.

  66. CZL, pp. 346-47.

  67. Du Guichen, "Mao Zonggang yong Liu fan Cao yi zai fan Qing fu Ming," XK 1 (1985): 279-81.

  68. John Ching-yu Wang, Chin Sheng-t'an (New York: Twayne Publishers, 1972), pp. 34-36. Jin Shengtan was executed in 1661.

  69. See Huang Lin, "Youguan Maoben Sanguo yanyi de ruogan wenti," in YJJ, pp. 333-34. In this article, Huang Lin explains his reasons for doubting that the preface is authentic or that the original Mao edition carried it. A more elaborate argument for the falsity of the preface is presented in Chen Xianghua, "Mao Zonggang de shengping yu Sanguozhi yanyi Mao pingben de Jin Shengtan xu wenti," Wen xian, 1989, no. 3: 75-83. This portion of the article shows that the preface by Li Yu to the 1679 edition (the earliest extant Mao edition) was the basis for the later pseudo-Jin preface, though the details of the changeover remain unclear. According to the Li Yu preface (p. 79), credit for the Mao edition belongs to Mao Lun.

  70. Chen Xianghua, "Mao Zonggang de shengping yu Sanguozhi yanyi Mao pingben de Jin Shengtan xu wenti," Wen xian, 1989, no. 3: 69-70. There is no precise date for the Mao edition; father and son were working on it in the mid-1660s; at the time Mao Lun lost his sight, and Zonggang performed secretarial work for him; Zonggang may also have contributed ideas of his own to the project.

  71. Luo Guanzhong, Sanguo yanyi (Beijing: Renmin wenxue chubanshe, 1973), p. 3.

  72. Wakeman, Great Enterprise, p. 203.

  73. ZLHB, p. 745.

  74. A complete translation of the dufa by David Roy may be found in David L. Rolston, How to Read the Chinese Novel (Princeton: Princeton University Press, 1989), pp. 152-95. Plaks refers frequently to the Mao commentary in his essay on Three Kingdoms; see Four Masterworks, chapter 5.

  75. For more information on this issue, see the notes to chapter 80 of this translation. For Fei Shi's statement, see SGZ, pp. 1015-16, and ZZTJ, p. 2185.

  76. ZLHB, p. 523. For a summary of Kongming's character and achievements, see Liu Chunfan, Zhuge Liang zhuan (Beijing: Zhongguo qingnian chubanshe, 1986), pp. 140-83.

  77. See Chen Zhouchang, "Liu Feng zhi si," XK 1 (1985): 148-52. A number of the following points are drawn from this article. "Li" edition annotation may be found in the huiping (collected commentary) edition of the novel, edited by Chen Xizhong, Song Xiangrui, and Lu Yuchuan and published by Beijing University in 1986, Sanguo yanyi huiping ben. For a discussion of the militant, populist tenor of the "Li" annotations, see ZHT, pp. 360-62. The PH (p. 122) accepts Liu Feng as the elder son of Liu Bei. In the PH, when the Liu Feng / Liu Shan succession question is put to him, Kongming refuses to become involved in "family matters" and tells Liu Bei to refer the question to Lord Guan; Lord Guan, like Kongming, favors Liu Shan.

  78. SGZ, p. 994.

  79. In the PH (p. 124), Liu Feng blocks Lord Guan's appeals to Liu Xuande for help. The Mao edition echoes this theme in its title for chapter 79: "Brother Oppresses Brother; Cao Zhi Composes a Poem; Nephew Entraps Uncle; Liu Feng Answers to the Law." The TS chapter title reads: "In Anger the King of Hanzhong [Liu Xuande] Has Liu Feng Killed." According to the SGZ (p. 991), "Liu Feng and Meng Da refused to accept Lord Guan's commands. When it came to pass that Lord Guan was overthrown and defeated, the First Ruler [Xuande] held it against them."

  80. TS, p. 763.

  81. See SGZ, pp. 918, 992.

  82. SGZ, p. 1002.

  83. Five Agents symbolism may be involved here: fire, the sign of Han, succumbs to water. Kongming's career could be symbolized as the defeat of fire by water. On Kongming's choice of Ma Su over Wei Yan to defend Jieting, see chapter 96 n. 1.

  84. See notes to chapter 103.

  85. See the general comment to chapter 103 in the huiping edition of the novel, p. 1269.

  86. Mao Zonggang's introductory note to chapter 105.

  87. SGZ, p. 1004.

  88. For another introduction to the novel, see C. T. Hsia, The Classic Chinese Novel (New York: Columbia University Press, 1968).

  Among the many books discovered after the completion of this translation, there are three that readers and researchers may find particularly useful:

  1. Shen Bojun and Tang Liangxiao, eds. Sanguo yanyi cidian. Chengdu: Ba Shu shushe, 1989. In this dictionary, many discrepancies between the novel and historical records are noted. Shen Bojun has in addition written a number of articles pointing out the novel's errors regarding names of persons, places, and titles.

  2. Huo Yujia. Sanguo yanyi meixue jiazhi. Zhongzhou: Zhongzhou guji chubanshe, 1991. This book contains an extensive study of the aesthetic thought of Mao Zonggang (pp. 255-387).

  3. Chen Xianghua. Zhuge L
iang xingxiangshi yanjiu. Zhejiang: Zhejiang guji chabanshe, 1990. This book is a highly developed study of the numerous fictional characterizations of Kongming.

  PRINCIPAL CHARACTERS IN THREE KINGDOMS

  cai mao, brother of Lady Cai, enemy of Liu Bei in Liu Biao's court

  cao cao, commander of Han forces and regent to Emperor Xian, founder of the fief of Wei, posthumously Emperor Wu of the Wei dynasty

  cao fang, third ruler of Wei as king of Qi, adopted son of Cao Rui (r. a. d. 240-53)

  cao hong, brother to Cao Cao, commander of forces

  cao huan, fifth and last ruler of Wei (r. a. d. 261-65), grandson of Cao Cao, son of Yu, prince of Yan; abdicates to Sima Yan

  cao mao, fourth ruler of Wei, grandson of Cao Pi, son of Lin, prince of Ding, killed by the Sima clan (r. a. d. 254-60)

  cao pi, son of Cao Cao and first emperor of the Wei dynasty, Emperor Wen (r. a. d. 220-26)

  cao rui, eldest son of Cao Pi, Emperor Ming of the Wei dynasty (r. a. d. 227-39), served by co-regents Cao Zhen and Sima Yi

  cao shuang, son of Cao Zhen, opposes Sima Yi's designs on the Wei court

  cao zhen, Wei commander

  cao zhi, son of Cao Cao, passed over as heir in favor of Cao Pi

  chen lin, adviser to Yuan Shao, author of tract denouncing Cao Cao

  cheng pu, senior Southland commander, shares authority with Zhou Yu at first

  deng ai, Wei commander who conquers the Riverlands

  deng zhi, Riverlands emissary sent to restore relations with the Southland

  dian wei, bodyguard to Cao Cao

  diaochan, singing girl who undoes Dong Zhuo for Wang Yun

  ding feng, Southland commander

  dong cheng, relative of Empress Dong, bearer of Emperor Xian's secret decree

  dong zhuo, warrior from the west who places Emperor Xian on the Han throne after removing Liu Bian (Emperor Shao)

  emperor shao (liu bian), son of Emperor Ling, elder brother of Emperor Xian; reigns from May to September a. d. 189; deposed by Dong Zhuo

  emperor xian (liu xie) replaces his older brother, Bian, as Han emperor in a. d. 189 and reigns until a. d. 220

  empress dong, foster mother of Emperor Xian empress he, mother of Emperor Shao

  fa zheng, official at Liu Zhang's court who facilitates Liu Bei's conquest of the Riverlands

  fei yi, adviser to the Shu-Han court

  gan ning, Southland expert on naval warfare, defects from Liu Biao's camp

  gongsun zan, friend of Liu Bei, military leader based in Liaoxi

  guan xing, son of Lord Guan

  guan yu (Yunchang), see Lord Guan

  han dang, Southland commander

  hua tuo, physician who cures Lord Guan's wounded arm

  hua xin, official at Cao Pi's court, instrumental in Emperor Xian's abdication

  huang gai, false defector from the Southland to Cao Cao's camp

  huang zhong, veteran warrior and commander for Liu Bei

  ji ping, Han court physician, killed by Cao Cao

  jia xu, military counselor to Cao Cao

  jian yong, aide to Liu Bei

  jiang wei, Shu-Han commander, pursues Kongming's policies after Kongming's death in a. d. 234

  kan ze, Southland scholar, aids Huang Gai's false defection to Cao Cao's camp

  kong rong, Han scholar, opponent of Cao Cao at the Han court; later, as governor of Beihai, rescued by Liu Bei

  lady cai, Liu Biao's second wife, sister of Cai Mao, mother of Liu Zong

  lady gan, wife of Liu Bei, mother of Liu Shan

  lady mi, sister of Mi Zhu, wife of Liu Bei; commits suicide

  lady sun, sister of Sun Quan, wife of Liu Bei

  lady wu, sister of Sun Ce's late wife, counselor to Sun Quan

  liao hua, a commander in Liu Bei's army

  liu bei (Xuande), leader of the three oath brothers and founder of the kingdom of Shu (the Riverlands), posthumously First Ruler of the Shu-Han dynasty (r. a. d. 221-22)

  liu bian, see Emperor Shao

  liu biao, protector of Jingzhou, gives Liu Bei refuge; father of Qi and Zong; husband of Lady Cai

  liu feng, adopted son of Liu Bei

  liu qi, first son of Liu Biao, first heir to Jingzhou

  liu shan (ah dou), son of Liu Bei, Second Emperor of Shu-Han (r. a. d. 223-63).

  liu zhang, protector of the Riverlands before Liu Bei's arrival

  liu zong, actual heir to Jingzhou, son of Lady Cai and Liu Biao, killed by Cao Cao

  lord guan, the second oath brother

  lu su, Southland adviser sympathetic to Liu Bei and Kongming

  lu xun, Southland commander who foils Liu Bei's invasion

  lu zhi, Imperial Corps commander serving Emperor Ling

  lü bu, companion to Dong Zhuo, suitor to Diaochan

  lu fan, Southland adviser

  lu meng, Southland commander who captures Lord Guan

  ma chao, son of Ma Teng, warrior of the northwest

  ma teng, one of the original oath-takers against Cao Cao, warrior of the northwest

  meng da, Riverlands commander who defects to Sima Yi

  mi zhu, patron and father-in-law of Liu Bei

  pang tong, adviser to Liu Bei, peer of Kongming

  qiao zhou, mentor of Chen Shou (author of the Sanguozhi), Riverlands scholar-official opposed to Kongming's military campaigns

  shan fu, Taoist name of Xu Shu, military adviser to Liu Bei

  sima shi, son of Sima Yi, aids Yi in the coup of a. d. 249

  sima yan, receives abdication from Cao Huan to become first Jin emperor

  sima yi, general serving the house of Cao, prepares the way for the Sima clan to usurp the sovereignty of Wei, held by the house of Cao

  sima zhao, son of Sima Yi, adoptive father of Sima Yan; receives submission of Shu-Han

  sun ce, southern warrior, son of Sun Jian, brother of Sun Quan

  sun hao, last Southland emperor

  sun jian, southern warrior, founder of the Southland

  sun qian, high assistant to Liu Bei

  sun quan, king, then emperor, of the Southland (r. a. d. 222-52)

  taishi ci, rival, then friend, of Sun Ce

  tao qian, inspector of Xuzhou, abdicates to Liu Bei

  wang yun, senior counselor of the Han court, uses Diaochan in a plot against Dong Zhuo

  wei yan, commander of Hanzhong for the Riverlands, thought disloyal by Kongming

  xiahou dun, warrior and close companion of Cao Cao

  xiahou yuan, cousin of Xiahou Dun

  xu huang, commander under Cao Cao

  xu jing, official in Liu Zhang's court

  xu sheng, Southland commander

  xun you, relative and ally of Xun Wenruo

  xun yu (wenruo), adviser to Cao Cao, opposes his steps toward usurpation

  yang yi, Kongming's successor as director general of the Riverlands

  yi ji, aide to Liu Bei

  yu fan, Southland adviser

  yu ji, Taoist magician who haunts Sun Ce

  yu jin, general in Cao Cao's army

  yuan shao, leader of the confederation against Cao Cao, controls the northeast until defeated by Cao Cao in the battle of Guandu, a. d. 200

  yuan shu, early pretender to the throne, brother of Yuan Shao

  yue jin, general in Cao Cao's army

  zhang bao, son of Zhang Fei

  zhang fei (yide), the third oath brother

  zhang he, general in Cao Cao's army

  zhang lu, controls Hanzhong region

  zhang song, Riverlands emissary spurned by Cao Cao, invites Liu Bei to enter his kingdom

  zhang zhao, adviser to Sun Quan, leader of peace faction

  zhao yun (zilong), companion of Liu Bei and leading commander

  zhong hui, commander in the final invasion of Shu-Han

  zhong yao, leading adviser in the Wei court

  zhou tai, Southland commander

  zhou yu, Southland chief commander, companion to Sun Quan, leader of war
faction

  zhu ran, Southland commander

  zhu zhi, Southland commander

  zhuge dan, high officer in the Wei court

  zhuge jin, brother of Zhuge Liang, vassal to Sun Quan

  zhuge ke, high officer in the Southland court, son of Zhuge Jin

  zhuge liang (Kongming), chief adviser to Liu Bei, director general of the Riverlands

  zhuge zhan, Riverlands commander opposed to submitting to Wei

  CHRONOLOGY OF MAIN EVENTS IN THREE KINGDOMS

  Years are a. d. Chapter numbers are given in brackets.

  168

  Death of Emperor Huan; accession of Emperor Ling [1]

  184

  Uprising of the Yellow Scarves [1]

  188

  Shift of court appointments from imperial inspector to provincial protector; conflict between Empress He and Empress Dong over the succession to Emperor Ling [2]

  189

  Death of Emperor Ling (May 13); the reign of Liu Bian (Emperor Shao) begins (May 15); Yuan Wei, uncle of Yuan Shao, made imperial guardian; He Jin and Yuan Shao defend the new sovereign against the eunuchs; Dong Zhuo summoned to the capital [2]; Dong Zhuo deposes Emperor Shao and enthrones Emperor Xian (Liu Xie) on September 28; Yuan Shao and Cao Cao oppose Dong Zhuo [3, 4]

  190

  Yuan Shao rallies the lords against Dong Zhuo [5]; Dong Zhuo moves the capital from Luoyang to Chang'an (April); Luoyang burned and sacked; Sun Jian holds the royal seal [6]

  191

  Yuan Shao battles Gongsun Zan and takes control of the provinces northeast of the Yellow River; Sun Jian and Liu Biao wage war [7]

  192

  Lü Bu kills Dong Zhuo [8, 9]; Cao Cao becomes protector of Yanzhou and receives the surrender of the Yellow Scarves of Qingzhou [10]

  194

  Liu Xuande defends Kong Rong; Xuande assumes control of Xuzhou [12]

  195

  Dong Zhuo's generals revolt; Emperor Xian moved from Chang'an; the Emperor requests aid from Cao Cao [13]

  196