Documentation

Linglib.Phenomena.Morphology.Studies.Benz2025

Benz (2025): Structure and Interpretation Across Categories #

@cite{benz-2025}

Structure and Interpretation Across Categories. PhD dissertation, University of Pennsylvania.

Overview #

This file formalizes three interconnected contributions from @cite{benz-2025}:

  1. Content nominalizations (Ch. 3): German -ung nominalizations are systematically three-ways ambiguous (event/result/content), derived from allosemy of v and n in the structure [nP n [vP v [√Root]]].

  2. Co-occurrence restrictions (Ch. 4): German preverbal elements (prefixes, particles, RSPs) show a striking co-occurrence paradigm explained by the conjunction of phrase-structural and interpretive constraints.

  3. Allosemy and locality (Ch. 2, Ch. 4): RSPs are always interpreted transparently (outside v's locality domain), while prefixes and particles can receive non-transparent interpretations (inside v's complex head).

Architecture #

A German nominalization datum with reading and diagnostic properties.

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      Beobachtung ('observation') — the running example in Ch. 3. All three readings are available for this single form.

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              CENs resist pluralization (event readings are mass-like).

              CEN and simple entity RN are "mirror images" of the division of semantic labor: in CEN, v does the work (introducing the event variable) while n merely nominalizes; in simple entity RN, v is null (zero) and the referential/object interpretation comes from the nominalization context. Both use the same n alloseme (sortal) — it's v that varies.

              The three types of German preverbal elements.

              Ch. 4: prefixes are inseparable and attach as heads; particles are separable and attach as phrases; RSPs are adjectival phrases that form complex predicates with the verb.

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                  Syntactic status: head or phrase.

                  §4.3.1: following Wurmbrand (1998) and Zeller (2001a), prefixes are heads (inseparable under V2 movement) while particles are phrases (obligatorily stranded under V2). RSPs are unambiguously phrasal (they can be modified: total flach gehämmert).

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                    Does this element always specify a result state that conflicts with other delimiters?

                    §4.1: prefixes and RSPs always contribute a (potentially conflicting) result state specification. Particles can have non-delimiting readings (directional, completive) that don't necessarily conflict — this is why PRT-pfx combinations like aus-er-wählen are interpretively acceptable.

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                      German inseparable prefixes (closed class).

                      Table 4. The prefix ge- is the rare non-participial prefix (as in ge-bären, ge-denken).

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                        German separable particles (open class, representative sample).

                        Table 4. Elements like durch-, über-, um- are ambiguous between prefix and particle uses.

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                          Ambiguous preverbal elements: prefix or particle depending on verb.

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                            A co-occurrence pair: two preverbal elements in order (outer, inner), where the inner element is closer to the root.

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                                The full co-occurrence paradigm from Table 3.

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                                  Structural compatibility: phrase can take headed complement; two heads can combine; head cannot wrap phrase; two phrases cannot stack.

                                  §4.3.1, §4.4.

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                                    Two elements that both always specify a result state cannot co-occur, as a single event cannot be delimited twice with conflicting endpoints.

                                    §4.1: the interpretive constraint is about conflicting result state specifications. Particles escape this because they can have non-result (directional/completive) readings.

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                                      A combination is allowed iff both structurally compatible AND interpretively compatible (no conflicting result states).

                                      §4.4: both factors are needed; neither alone explains the full paradigm.

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                                        A German resultative datum with gloss and judgment.

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                                            German RSP data from §4.2.

                                            German allows obligatorily transitive, unaccusative, and inherently reflexive M predicates in resultatives — not just unergatives.

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                                              German allows non-unergative M predicates in resultatives.

                                              RSPs are incompatible with prefixed verbs. Ch. 4: adding an RSP to a prefix verb is ungrammatical, but the same RSP with the simplex verb is fine.

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                                                RSPs are also incompatible with particles. Ch. 4: adding an RSP to a particle verb is ungrammatical, but the same RSP with the simplex verb is fine.

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                                                  Claim 2: RSPs are always transparent (outside v's locality domain for allosemy); prefixes and particles can be opaque (inside the complex head).

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                                                      Complex predicate semantics #

                                                      Following Williams (2015), adopted by §4.2: resultatives are complex predicates with semantics:

                                                      K(e₁, e₂, s) = Means(e₁, e₂) & End(e₁, s)
                                                      

                                                      where e₁ is the complex event of change, e₂ is the means/manner subevent, and s is the result state. The M predicate is the verb; the R predicate is the RSP. This is NOT a causal relation — the means event can be concurrent with the change.

                                                      The End Theme Postulate links the Theme of the complex event to the end state: End(e₁, s) & Theme(e₁, x) |= Theme(s, x).

                                                      See also Causative.Resultatives for the complementary analysis via causal dynamics, structural sufficiency, and CC-selection.

                                                      Claim 1: Neither factor alone predicts the full co-occurrence paradigm. Structure alone is insufficient: some structurally OK combinations are blocked by interpretation (pfx-pfx, RSP-pfx). Interpretation alone is insufficient: some interpretively OK combinations are blocked by structure (pfx-PRT, PRT-PRT, RSP-PRT).

                                                      German nominalization types discussed in Ch. 5.

                                                      • ung: -ung suffixation (Beobachtung, Erzählung). Requires the verb to project a full verbal shell including v; the entire vP is nominalized by n.
                                                      • ge_e: Ge-...-e circumfixation (Gerede, Gelaufe). Directly nominalizes the root without a full verbal projection; the root must be able to stand without obligatory internal arguments.
                                                      • nomInfinitive: Nominalized infinitive (das Beobachten, das Erzählen). The most permissive: the full verbal structure is preserved under nominalization.
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                                                          Whether a preverbal element is acceptable in a given nominalization type.

                                                          Ch. 5: the distribution of preverbal elements across nominalization types reveals complementary distribution between prefixes and RSPs:

                                                          pfxprtRSP
                                                          -ung
                                                          Ge-...-e
                                                          nom. inf.
                                                          • -ung + RSP = ✗: RSPs are phrasal and cannot be trapped inside the complex head that -ung nominalization creates. The RSP would need to be inside the vP that n selects, but as a phrase it cannot incorporate.
                                                          • Ge-...-e + pfx = ✗: Ge-...-e directly nominalizes the root; it requires the root to be available without obligatory internal arguments. Prefixed verbs (where the prefix saturates argument structure) are incompatible because the prefix has already formed a complex head with the root, and the Ge-...-e circumfix cannot wrap around a complex head.
                                                          • Nom. inf.: maximally permissive because the full verbal projection (including any preverbal element) is preserved under nominalization.
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                                                            Prefixes and RSPs show complementary distribution across -ung and Ge-...-e: pfx is accepted where RSP is rejected, and vice versa.

                                                            Ch. 5: this complementarity follows from the structural difference between head-level (pfx) and phrase-level (RSP) preverbal elements, interacting with the different structural requirements of -ung (requires full vP) vs Ge-...-e (directly nominalizes root).

                                                            Particles are accepted in both -ung and Ge-...-e: they are structurally flexible enough to appear in both configurations.

                                                            RSPs are blocked in -ung nominalizations — this connects to the co-occurrence restriction: RSPs as phrases cannot incorporate into the complex head structure that -ung creates.

                                                            Prefixes are blocked in Ge-...-e nominalizations — the circumfix cannot wrap around a root that already has a prefix head.

                                                            The head/phrase distinction predicts the -ung pattern: heads (pfx) are accepted, phrases (rsp) are not. Particles are the exception — separable but still accepted.

                                                            Benz's core theoretical argument (Chs. 4–5) #

                                                            central claim is that the 9-cell co-occurrence paradigm (§6, Table 3) and the PE×nominalization distribution (§16, the table in Ch. 5) are not stipulated — they follow from the conjunction of two independently motivated principles:

                                                            1. Lexical Integrity (structural): a phrase cannot incorporate into a head. Only head+head or phrase+head are licit; head+phrase and phrase+phrase are not.

                                                            2. Result State Uniqueness (interpretive): an event can have at most one telos. Two elements that both obligatorily specify a result state cannot co-occur.

                                                            The types SynLevel and ResultStateSpec below formalize these two dimensions abstractly. The compatibility functions incorporationAllowed and resultStatesCompatible are defined purely over these abstract types, with no reference to PreverbalElement. Only then do we classify each PE into these dimensions and prove that the predicted paradigm matches.

                                                            The syntactic level of a morphological element: head (X⁰) or phrase (XP).

                                                            This distinction is standard in X-bar theory and is logically prior to the PE typology — it applies to any syntactic object, not just German preverbal elements.

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                                                                Lexical Integrity: a head can take a head complement (head-adjunction / incorporation), and a phrase can take a head complement (normal complementation), but a head cannot take a phrase complement in a word-internal structure, and two phrases cannot form a word.

                                                                This is a general principle of morphosyntactic structure, not specific to German preverbal elements. It follows from the ban on phrasal incorporation (§4.3.1, following Baker 1988).

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                                                                  Whether an element obligatorily introduces a result state specification.

                                                                  This is a semantic property that applies to any predicate-modifying element — it is not specific to German PEs. An element that always specifies a result state will conflict with another such element because a single event has at most one telos.

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                                                                      Result State Uniqueness: two elements that both obligatorily specify a result state cannot co-occur, because a single event cannot be delimited by two conflicting endpoints.

                                                                      This is an instance of a general thematic uniqueness constraint: just as an event has at most one agent (Carlson 1998), it has at most one telos. The constraint is purely interpretive — it says nothing about syntax.

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                                                                        A blocking derivation: a proof that a PE combination violates one of Benz's two independently motivated principles.

                                                                        Each constructor is a derivation rule whose premises are stated in terms of the abstract classification (SynLevel, ResultStateSpec), not PE-specific Booleans. A combination is blocked iff at least one derivation can be constructed.

                                                                        byLexicalIntegrity (§4.3.1, Baker 1988): only heads can occupy the inner (closer-to-root) position in a word-internal combination. A phrasal inner element cannot incorporate.

                                                                        byResultUniqueness (§4.1): an event has at most one telos. Two elements that both obligatorily specify a result state yield conflicting endpoints.

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                                                                          Boolean decomposition lemma: predictedAllowed factors into the conjunction of the two abstract compatibility functions. Used as a stepping stone in the soundness proof below.

                                                                          The derivation system (Blocked) is both sound and complete with respect to the empirical paradigm (predictedAllowed). Together with combined_prediction_matches (§9), this means the two principles exactly generate the data: every blocked cell has a derivation, every derivation corresponds to a blocked cell, and the unique allowed cell (PRT-pfx) has no derivation.

                                                                          Soundness: every blocking derivation corresponds to a genuinely blocked combination. The theory does not over-generate.

                                                                          Completeness: every blocked combination has a blocking derivation. The two principles account for ALL restrictions — nothing is left unexplained.

                                                                          For each of the 8 blocked cells, an explicit derivation is constructed (6 by Lexical Integrity, 2 by Result State Uniqueness). For PRT-pfx, the hypothesis is contradictory.

                                                                          The allowed combination has no derivation. PRT-pfx is allowed precisely because neither principle applies:

                                                                          • pfx is a head (not a phrase), so Lexical Integrity is satisfied
                                                                          • prt is result-neutral (not specifying), so Result Uniqueness is satisfied

                                                                          We examine each possible derivation and show its premises are contradicted by the PE classifications.

                                                                          pfx-pfx is blocked ONLY by Result State Uniqueness — Lexical Integrity cannot derive it (both are heads, so the inner is not phrasal). This shows the interpretive rule is not redundant.

                                                                          pfx-PRT is blocked ONLY by Lexical Integrity — Result State Uniqueness cannot derive it (PRT is result-neutral). This shows the structural rule is not redundant.

                                                                          Incorporation depends only on the inner element's level: the outer element's level is irrelevant. This is a derived property of the incorporationAllowed function, not stipulated.

                                                                          The nominalization theorem. -ung acceptability (Ch. 5) follows from the same two abstract principles applied reflexively: a PE is acceptable in -ung iff it can incorporate with itself (headedness) OR its result state does not conflict with itself (neutrality).

                                                                          This connects Ch. 5 to Ch. 4: the PE×nominalization distribution is not an independent observation — it is a projection of the same two principles that generate the co-occurrence paradigm.

                                                                          Ge-...-e acceptability reduces to a single abstract principle: a PE is acceptable in Ge-...-e iff it is a phrase (not a head). The circumfix directly nominalizes the root, so only non-head elements are compatible.

                                                                          The -ung / Ge-...-e mirror: for heads, the two nominalization types give opposite results. This follows from ge_e_from_principles and the fact that heads satisfy incorporationAllowed reflexively.

                                                                          These theorems chain through four independently defined modules: RootTypology.lean (root semantics) → Allosemy.lean (v alloseme selection) → Allosemy.lean (nominalization reading) → Benz2025.lean (PE distribution from abstract principles). No single module defines the full path.

                                                                          Whether a verb can undergo -ung nominalization, based on its Vendler class.

                                                                          Ch. 5, following Roßdeutscher & Kamp (2010): -ung requires complex change-of-state event structure. Only accomplishments and achievements (which contain a result state component) qualify. Activities and states do not.

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                                                                            The verb classifications in the RSP data (§10, encoded as raw strings) are derivable from the fragment entries' typed fields. Changing frieren's unaccusative field or hämmern's complementType would break this theorem without touching the RSP data.

                                                                            The allosemy-based CEN prediction and the event-structure-based -ung prediction agree for brechen: result root → eventive v → CEN reading → can -ung, and achievement vendlerClass → can -ung. Two independent paths to the same conclusion.

                                                                            The two paths DISAGREE for frieren: the canonical PC root → zero v → RN (not CEN), yet the achievement vendlerClass → can -ung. This is not a bug — it captures key insight that allosemy means BOTH v allosemes are available for any verb. The canonical alloseme is a default, not a constraint. Frieren CAN have eventive v and thus CAN form a CEN, even though its canonical alloseme is zero.