LECTURE 4:

THAT COMPLEMENT CLAUSES (I)

A. Introduction
CP C C IP that I whether I VP for = complement/subordinate/embedded clauses; - any embedded clause (a CP) has three layers/domains: 1) the lexical layer (the VP), where theta-roles are assigned; 2) the functional layer (the IP), where functional relations are established (i.e., Nominative case assignment to the subject) & 3) the complementizer layer (the CP) CP Spec C that C IP [+ finite]

That complement clauses = those subordinate/embedded clauses introduced by the complementizer that (1) John believes [that Mary loves him] NOM subject T/Agr (pres/3rd pers. sg) >> FINITE clause that = a functional category, a complementizer; selects a finite IP as its complement. (2) a. I believe [that John loves Mary]/*I believe [that John loving Mary]/*[that John to love her] b. I believe this/it. that nominalizes the clause, which typically occupies the position of a noun (a NP/DP) >> CPs (embedded clauses) are nominal in nature ( IP are verbal) (3) [That he came]CP is surprising. / *[He came]IP is surprising. That-complement clauses are a) theta-marked by the selecting predicate in the main clause and are therefore b) arguments of main clause predicates (the selecting verb) (4) I believe [that you will grow to like syntax] argument of the verb believe (i.e., believe selects a clause as its complement) bears an abstract theta-role: that of proposition Proposition ( sentence!!) = the meaning of a sentence; its truth claim; it has a truth value, i.e., it can be true or false in a given context

B. The classification of subordinate clauses:

1. according to the functional criterion:
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a. subject clauses (5) It seems [that he is not here] b. object clauses (6) a. I believe [that he is not here] - DO clause b. I am afraid [that he wont come] - PO clause c. I gave to book to [whoever wanted it] - IO clause ! subjects & objects = arguments c. adjunct clauses: those which are not arguments (not obligatorily required by the selecting predicate); they introduce various semantic roles and may be introduced by elements (subordinating conjunctions) which give as a clue as to what type of adjunct we are dealing with) (7) a. The problem was [that he didnt show up for the exam] (predicative) b. The thought [that she might leave] never occurred to him. (attributive or noun modifier) c. Before she left, she switched off the lights (adjunct clause, adverbial of time) d. If you leave me, Ill die (adjunct clause, adverbial of condition) e. Even though I love you, I cannot marry you. (adjunct clause, adverbial of concession) f. She was so tired that she fell asleep immediately. (adjunct clause, adverbial of result) 2. according to the structural criterion, which takes into consideration the subordinating conjunction: a. that-complements which are introduced by that which fills the C position (8) a. I hope [that you will pass the test]. b. It seems [that you will pass the test.] b. wh-complements, which are introduced by wh-words sitting in the specifier of CP and can be further subclassified into: - relative clauses (9) The man who came to see me is my former teacher. - indirect questions (10) He asked me what time it was. - cleft sentences (11) It is to London that Im going. -pseudo-cleft sentences (12) Where Im going is London. c. adverbial clauses, introduced by meaningful conjunctions like after, before, if, although, etc. Adverbial clauses are always adjuncts (the equivalent of the Romanian circumstantiale)

C. SYNTACTIC PROPERTIES OF THAT COMPLEMENTS

That clauses are finite declarative subordinates - a subordinate where the C position is lexically filled (by that).

C.1. That clauses (CPs) share important properties with DPs:

1. both DPs and CPs occur as arguments of predicates (i.e., one and the same verb may select a NP or a CP complement, cf. (13)). Complement clauses typically occupy a noun phrase slot, such as subject, object or predicative. (13) a. I dont believe [that John loves Mary]CP./ I dont believe [him]DP/[her]DP/[this story]DP b. The problem was [that he behaved rudely]CP / The main problem was [his behavior]NP
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2. Both DPs and CPs are merged in theta-positions and are theta-marked by the predicates that c-select and s-select them. Predicates combining with that-clauses have specific sselectional properties. They accept an abstract argument, a proposition, and select a human role, experiencer or agent (the subject of the Main Clause) (14) I thought [that it looked good] He claims [that the demonstrators are right] agent/ complement of the main verb experience theta-marked: bears the role of proposition 3. both DPs and CPs accept the same pronominal substitutes: it, this, that (15). This is because clauses have default phi-features (16) (15) a. I believe [that I will pass this test]CP b. I believe [his version of the story]NP = I believe it / this / that (16) [That John loves Mary] seems obvious. / [That they came to the course] is surprising indeed.
SO, That-complement clauses (CPs) are similar to DPs (nouns) in important respects: arguments of main clause predicates bear theta roles (DPs bear the usual theta-roles, CPs bear the theta role of proposition (a truth claim made by a human agent)) same pronominal substitutes: it, this, that

C.2. CPs vs. DPs

The major difference between DPs and CPs is that DPs must be case-licensed/always require case; they have case features which must be checked during the derivation CPs do not require case The distribution of DPs is constrained by the Case Filter, which says that DPs without case cannot survive in syntax. Unlike DPs, CPs do not have to be case-licensed and their distribution is not constrained by the Case Filter. (17) a. I am worried [that he left]CP /a.*I am worried about [that he left]CP b. *I am worried [his illness]NP / b. I am worried about [his illness]NP - prepositions in English assign case; only a noun (a DP/NP) can be the complement of a preposition, because a DP needs case and this case is provided by the preposition (17b); CPs do not require case, hence they are illicit in the presence of a preposition (17a) SO, The absence of Case is the main syntactic difference between DPs and CPs = the Case Resistance Principle (Stowell, 1981) CRP = case must not be assigned to a category bearing a case-assigning feature, i.e. the feature [-N]. CPs are supposed to be [-N] >> they resist case In English, CPs are excluded from three basic case-checking positions: 1. the postion after prepositions (as seen above in (17) & below in (18)
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(18) *I insisted on [that Mary should leave]CP vs. I insisted on [it]/[his early departure]DP 2. the structural accusative position (19) I consider [that Mary left]CP to be a big mistake vs. I consider [it]/[his departure]DP to be. 3. the nominative position: (20) [That she had passed the LEC exam] was a surprise to everybody. Subject that complement; Subjects typically receive Nom. case & occupy Spec IP in En. Q: In the that-complement clause in (20) in SpecIP? Does it occupy the SpecIP position? To answer this, let us compare the behavior of DPs (nouns) vs. CPs as subjects in interrogative contexts: (21). a. [This story]DP could be true. >> Could [this story]DP be true? (22) a. [That he hates her] could be true >> *Could [that he hates her] be true? only DPs allow SAI, but not CPs ! in SAI contexts, the auxiliary moves to C (I-to-C movement, remember lecture 1!) past the subject DP, which resides in SpecIP; since this movement is not possible when a CP is the subject (cf. (22a)), the conclusion is that subject that-complement clauses do not occupy the canonical subject position (which in English is SpecIP) The assumption is that that complement clauses which function as subjects and are placed in sentence-initial position occupy a TOPIC position (in the CP-layer of the clause), higher than the canonical SpecIP
SO, DPs are prototypical subjects (occupy the canonical Nominative case position & have case) (23) [His illness] does not worry her. (Does [his illness] worry her? >> SAI) CPs (that-complement clauses) are mere subjects in a Topic position (non-case marked position) (24) [That he is ill] does not worry her a bit. [That he is ill] may be true. TopP Top Top IP [that..] I I VP may be true (*Does [that he is ill] worry her?) (* May [that he is ill] be true?)

C.3. Extraposition
The first syntactic property we are going to discuss is EXTRAPOSITION. The extraposition structure is a characteristic syntactic structure of the English complementation system. In this structure, the complement clause appears at the right periphery of the sentence, while the pronoun it appears in the position which should have been occupied by the clause, thus indicating its syntactic function. Extraposition from Subject position (25) a. [That Pauline moved to Kansas] surprised me b. It surprised me [that Pauline moved to Kansas]
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- the clause which has been moved to the right periphery is said to have been extraposed - as a typical DP, it occupies the SpecIP position (as a DP, it receieves case there) Extraposition from Direct Object position (26) a. The engineer expected [that the bridge would hold] b. The engineer expected it [that the bridge would hold.] Extraposition from Prepositional Object (27) a.Can you swear [that the accused man spent all night at your house?] b. Can you swear to it [that the accused man spent all night at your house?] !Mind you! In cases of Extraposition from P.O., the CP (the complement clause) moves to the right periphery and it is inserted in its place; since 1) the selecting predicate is a prepositional one (i.e., insist ON, be worried ABOUT, be happy ABOUT/FOR, etc.) and 2) it is a DP (and therefore needs case), the preposition must re-appear/be overt in cases of extraposition from P.O. (27b); when there is no extraposition (27a), the P.O. complement clause does not move, hence no preposition is needed, since CPs do not need case. Syntactically, the extraposed (subject) clause in (28) is adjoined to the VP. It is basegenerated in SpecVP but moves out from there via extraposition and it adjoins to the right periphery of the VP. Because English sentences require an overt subject, the pronoun it is inserted in SpecIP, the Nom case position, and the transitive verb checks Acc on the object (me). Thus, the CP occupies a non-case-marked position, in accordance with the CRP (28) It surprises me [that they like syntax] IP DP It I -s I VP

VP CP SpecVP V [that they like syntax] tCP V DP surprise me N.B.: When the matrix predicate is an unaccusative verb, there is no movement of the complement clause (i.e., no VP-adjunction): being unaccusative, the verb cannot assign case so the complement does not need to move to avoid receiving case. It thus remains in the complement position of V and it is inserted because sentences in English need an overt subject (the EPP property): (29) It seems [that they dont hate syntax that much]
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IP DP It I -s I VP V V seem CP [that they dont hate syntax that much]

Extraposed object clauses are also assumed to be moved to the periphery of the VP, i.e., VP-adjoined & it is introduced in the place initially occupied by the complement clause: (30) a. John expected [that Mary would accept his marriage proposal]CP the CP moves to the right > b. John expected tCP [that Mary would accept his marriage proposal]CP the CP is VP-adjoined
(by moving, it leaves behind a trace)

> c. John expected it [that Mary would accept his marriage proposal]CP it insertion a. VP V > V expect CP [that] b. VP CP [that..] VP V V tCP expect (the CP is VP-adjoined;
by moving, it leaves behind a trace)

c. > VP V expect

VP CP [that] V it

(the CP moves to the right)

it is inserted in the place initially occupied by the CP

Problem with this approach: it assumes the insertion of lexical material (it) over a trace (left behind by the movement of the complement clause) (see b) & c) above) Alternative: assume that the main verb selects it+CP together (a small clause (SC) which contains both it + the complement clause (CP)). In this case, the it+CP construction does not involve movement. VP V V expect SC it CP [that..]

Advantages of the alternative: 1) it eliminates the problem of the 1st approach (since it is no longer inserted over a trace, but selected together with the complement clause) 2) it accounts for the different interpretation of sentences with (direct) object extraposition: whenever it+CP appears (instead of just CP), the event in the complement clause is seen as a fact aleady known to the speaker. Compare (31a) to (31b): (31) a. John knows [that Mary got married]CP (no extraposition > the main V selects CP > the
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event in the complement clause is presented as new to the speaker b. John knows [it that Mary got married]it + CP > the main V selects it + CP > the event in the complement clause is presented as fact (as true) + the speaker already knows/knew about it (before the subject, John)

C.4. The difference between subject it and object it in extraposition structures

1. Subject it - in subject position it is an expletive pronoun, whose only role is to provide the sentence with a subject, be it a dummy subject (the EPP, see below). So, subject it bears case (Nom.) but it does not receive a theta-role. As a result, it appears in contexts where lexical DPs (which are thematic) are banned: (32) a. It was widely believed [that the world was flat] b. *The hypothesis was widely believed [that the world was flat.] - because expletives are not theta-marked, they cannot be questioned: (33) a. [That he came] was a blessing. / What was a blessing? > the CP can be questioned b. It was a blessing [that he came.] / *What was a blessing that he came? > expletive it cannot be questioned because it is not thematic (it does not bear a theta role) 2. Object it - when it is an object, it is not an expletive, but an ordinary pronoun which receives a thetarole: a Theme of Event. (34) a. I regretted it that he was late. (theme) b. I resent it every time you say that. (event) Consider the following contrast: (35) a. John and Mary have announced [that they got married] = event new to the speaker b. John and Mary have announced [it that they got married] = event already known to the speaker (see also above) !N.B.: Verbs which allow this it+CP structure are factive verbs, i.e. verbs which entail the truth of their complements. Non-factive, propositional verbs, which express suppositions exclude the it+CP structure: (36) a. He pretended (*it) that he was the one. b. I presume (*it) that you are the one.

C.4. The asymmetry between Extraposition from Subject position and Extraposition from (Direct) Object position
A very important remark regarding extraposition is that this structure is highly frequent (quasiobligatory) for subject clauses but marginal and infrequent for object clauses. This asymmetry is motivated by structural and functional considerations: C.4.1. Functional considerations relate to the principles of END-FOCUS and ENDWEIGHT, which play a major role in determining word-order in English. According to these principles, constituents which are focused and constituents which are long and heavy tend to occur towards the end of the sentence.
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This is related to the information structure of sentences: The Topic > Focus articulation (37): constituents which represent old information (known to the speaker) appear to the left (topicalized), whereas constituents which represent new information appear to the right (in the focus position) (37) TOPIC > > FOCUS old info new info This dictionary, I will not buy. (the dictionary has been mentioned before) Oh, John, everybody likes him (both speaker & hearer know John) Everybody likes.John (John is the new info, not known to the hearer) Compared to DPs (e.g., his illness), CPs (e.g., that he is ill) are longer, hence heavier. As a result, they are subject to the principles of End-Focus & End-Weight >> being heavy, they have to move to the right periphery of the sentence: TOPIC > > > FOCUS (38) a. His illness worries me. (the DP is light > not constrained by End-Focus & End-Weight) b. [That he is extremely ill] worries me. (the CP is heavier > has to abide by the principles of End-Focus &End-Weight, especially since CPs usually represent new information >> Extraposition of a subject clause is functional because it allows a Su clause, which is a heavy constituent, often containing new information, to occur in final position >>> c. It worries me [that he is extremely ill] via Extraposition, the moved CP now occupies the FOCUS position, in accordance with End-Focus & End-Weight. Extraposition form object position is not motivated by the same considerations, since object clauses already satisfy the principles of END FOCUS and END WEIGHT: a DO complement clause is ALREADY to the right, so it already occupies the Focus position >> DO/PO extraposition is functionally superfluous and hence infrequent. TOPIC > > > FOCUS (39) a. I expected [that they would grow to like syntax] b. I expected [it [that they would grow to like syntax]] However, when DO/PO extraposition does occur (39b), the resulting structure has characteristic semantic and pragmatic properties (i.e., a mark of factivity, information in the complement clause is known to the speaker see above) C.4.2. Structural considerations relate to the Extended Projection Principle (EPP, Chomsky, 1981), which requires clauses to have subjects. English is an SVO language: it requires an overt subject in preverbal position. in the case of extraposed subject clauses (where the complement, being heavy, is moved to the right according to End-Focus and End-Weight (40b)), the EPP makes sure that the sentence does

not remain subjectless >> it is inserted to satisfy EPP and extraposed subject clauses cannot function without this expletive subject (40c). (40) a. [That he is ill] worries me. b. __ worries me [that he is ill] the heavy complement clause moves to the right BUT the sentence is
incorrect without an overt subject (!! because English is SVO > sentences in English require an overt subject (the EPP) >>

c. IT worries me [that he is ill] Hence, subject it is obligatory in (i.e., cannot be missing from) extraposed subject clauses, because of the EPP. (see (40b) vs (40c)). While subjects must always be overt in English (41a), objects may be missing from a sentence (41b) (even though they are recovered via the subcategorization frame of the verb): (41) a. John came yesterday. / * __ came yesterday b. John ate lunch an hour ago. / John ate ___ an hour ago. ! Similar constraints apply in case the subject or the object is a CP (a complement clause) instead of a DP: while the subject must always be overt, the direct object need not be overt: (42) a. [That John came] is wonderful. / * ___ is wonderful [that ] / IT is wonderful [that.] b. I know [that John came]. / I know ___ / I know it. / I know (it) that John came need not be overt for syntactic reasons . Hence, object it is not obligatory in extraposed object clauses. If/when it does appear, the sentence acquires a different interpretation (see above on the contribution of it + CP (i.e., factivity, old info known to speaker)
SO, summarizing the asymmetry: from the functional p.o.v.: - Extraposition of a subject clause allows the clause, which is a heavy constituent, often containing new information, to occur in final position, in accordance with the the pp. of End-Focus &End-Weight D.O. clauses are already to the right, in the focus position, so they already obey the principles, which makes extraposition from D.O position unnecessary. from the structural p.o.v.: - subject it is obligatory in extraposed subject clauses, because of the EPP (which requires sentences in English to have overt subjects: SVO) object it is not obligatory in extraposed object clauses (because objects in English can be missing (but are recoverable): SV(O))

C.5. Topicalization
The reverse of extraposition is the so-called TOPICALIZATION structure. If Extraposition = movement of the complement clause to the right, Topicalization = movement of a complement clause (from its base position) to the left periphery of the clause (i.e., in the complementizer domain, in a TopP) (43) a. [That he went mad] is very clear these days. (topicalization) b. It is very clear [that he went mad]. (extraposition)

Remember! A subject that-complement in clause-initial position (43a) is not actually in subject position but in topic position (see section C.2. above & examples (21) & (22)) Syntactically, in the case of subject clauses as in (43) above, the CP, which is base-generated in the specifier position of the VP has two options: a) either it moves leftwards (passing through SpecIP (a case position) and moving forward above it (in a TopP) (= Topicalization) or b) it moves rightwards and adjoins to the periphery of VP (and it is inserted in SpecIP because of EPP) (= Extraposition, see (28) above) Topicalization of Subject clauses is the most frequent case, but there is also topicalization of D.O & P.O clauses. When this occurs, it is usually in the literary register (and also signalled by specific intonation and punctuation (see the comma in (44a)): (44) a. [That Mary would betray him], John would never have imagined tCP (topicalization of D.O. complement clause) b. [That Mary would betray him], John had never worried (about) tCP (topicalization of P.O. complement clause)

C.6. HEAVY NP SHIFT and CLAUSE SHIFT

The phenomenon we are discussing represents the occurrence of an object (DP or CP) at the right periphery of the sentence, in a position different from its initial theta-position. C.6.1. Heavy NP Shift = nouns (NPs) which are long (hence heavy) need to appear to the end of the sentence (in the Focus position) (45) a. He threw [the letter]light NP into the basket b. *He threw [the letter which he had just decoded]heavy NP into the basket. > the heavy NP has to
shift (= be moved) to the right periphery to avoid ungrammaticality/ambiguity

c. He threw theavyNP into the basket [the letter which he had just decoded] = HNPS HNPS = a complex direct object NP (complex = one which contains a PP or a clause) appears at the right periphery of the sentence, against the V+DO adjacency constraint (= the requirement that the verb be adjacent to its direct object in English: She likesV syntax.d.o.NP very much vs. *She likesV [very much] syntax d.o.NP) From a functional perspective, HNPS is a manifestation of the discourse principles of End-focus and End-weight. HNPS is a construction in which there is obligatory focus interpretation for the phrase which appears rightmost. [a brand new fur coat] [for his wife] (V + d.o.NP + >> no HNPS) (old info) (new info) b. John purchased theavyNP [for his wife] [a brand new fur coat]NP (V + . +d.o.NP > HNPS (old info) (new info) - in (46a), the benefactive for his wife is in Focus position (new info); this (the focused information) can be questioned: For whom did John purchase a new coat? - in (46b), the d.o.NP has been moved (via HNPS) to the focus position, hence it now represents the new information; the natural question for (46b) is thus: What did john purchase for his wife? (46) a. John purchased
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Not only DPs, but also clauses, which are by definition complex, may appear at the right periphery = CLAUSE SHIFT Clause Shift is very similar to HNPS; they differ in that the former involves complement clauses while the latter involves heavy/complex NPs (i.e., long, containing modifiers) (47) a. (?) Mary saidV [that she wouldnt come]d.o.CP flatly (awkward; ambiguous: the adverb can, in principle, relate to both verbs (i.e., say flatly or (?) come flatly) b. Mary saidV tCP flatly [that she wouldnt come.] Clause Shift (48) a. ?*John regretted [that Georgina was pregnant deeply.] >> b. John regretted tCP deeply [that Georgina was pregnant.] Clause shift, therefore, involves the movement of a complement clause to the right periphery of the sentence. BUT: so does Extraposition!! Q: Is Clause Shift the same as Extraposition? A: Clause Shift differs from Extraposition in 2 relevant respects: a) it applies to objects only (never to subjects); b) no (expletive) pronoun marks the initial position of the clause.

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