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«A Dissertation Presented by Carlos Francisco de Cuba to The Graduate School in Partial Fulfillment of the Requirements for the Degree of Doctor of ...»

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On (Non)Factivity, Clausal Complementation and the CP-Field

A Dissertation Presented

by

Carlos Francisco de Cuba

to

The Graduate School

in Partial Fulfillment of the

Requirements for the Degree of

Doctor of Philosophy

in

Linguistics

Stony Brook University

August 2007

Stony Brook University

The Graduate School

Carlos Francisco de Cuba

We, the dissertation committee for the above candidate for the

Doctor of Philosophy degree, Hereby recommend

acceptance of this dissertation

Daniel L. Finer - Advisor Professor, Department of Linguistics Richard K. Larson - Chairperson of Defense Professor, Department of Linguistics John F. Bailyn Associate Professor, Department of Linguistics Marcel den Dikken Professor, Department of Linguistics CUNY Graduate Center This dissertation is accepted by the Graduate School Lawrence Martin Dean of the Graduate School ii

Abstract

of the Dissertation On (Non)Factivity, Clausal Complementation and the CP-Field by Carlos Francisco de Cuba Doctor of Philosophy in Linguistics Stony Brook University 2007 This dissertation examines the syntactic and semantic behavior of sentential complement clauses under factive vs. non-factive verbs. These classes of verbs, while superficially similar, behave very differently both in the syntactic structures they allow and in the semantic interpretation of their complements. Kiparsky & Kiparsky 1971 provides the classic analysis, where factive verbs like regret are said to be associated with more complex syntactic structure than non-factive verbs like believe.

The main claim I make is that the classic analysis has it wrong - essentially backwards. I propose instead that it is actually non-factives that have a syntactic projection that factives lack. I provide cross-linguistic syntactic evidence for a more articulated non-factive structure, showing numerous cases where more complex syntactic structure is associated with non-factives, and not factives. I also show that the extra projection opens an escape hatch that allows for the freer wh-extraction pattern found in non-factive constructions.

I argue further that the extra syntactic projection contains a semantic operator that is responsible for non-factive interpretation. In the absence of this projection, a default factive interpretation results. This is a relatively recent semantic view of factivity, as in the past it has been widely assumed that factives were the special case in need of explanation. The view may be new, but it is well supported. In addition, I show that traditional ‘factivity’ classification is actually the wrong one to use to divide the verb classes. I argue that verbs should be classed as to whether they take ‘familiar’ or ‘novel’ complements, along the lines of Hegarty 1992. This semantic classification matches the syntactic data much better than a factive/non-factive distinction.

I exploit the extra structure and operator to provide an account for long-distance Negative Polarity Item licensing, which is available only under what are traditionally called non-factives. Finally, I show that in addition to covering the new data I present, my analysis covers the same empirical ground as Kiparsky and Kiparsky’s original proposal.

–  –  –

Chapter 2. Embedded Verb-Second in MSc and cP

1. Introduction………………………………………………………………….. 13

2. The Proposal………………………………………………………………… 15

3. Limited Embedded V2 in Swedish………………………………………….. 18

3.1. The Standard Cases: Matrix V2 and Factive Verbs (No EV2)……….. 19

3.2. Non-factive Verbs (With or without EV2)……………………………. 21

3.3. Positional and Phonological Optionality of the Complementizer…….. 24

3.4. Negative Verbs, Negated Non-factive Verbs and Irrealis Verbs……… 28

3.5. Summary………………………………………………………………. 30

4. Hungarian…………………………………………………….……………… 30

4.1. Hungarian ‘Azt’……………………………………………………….. 30

4.2. Summary………………………………………………………………. 32

5. What Verbs License EV2?…………………………………………………... 32

5.1. Factivity and Assertion………………………………………………... 33

5.2. Stance Verbs and Familiar Complements…………………………….. 37

6. Icelandic and German……………………………………………………….. 43

7. Summary…………………………………………………………………….. 47 Appendix: Occupants of cP………………………………………………………... 49 Chapter 3. Factive FCP Islands

1. Introduction………………………………………………………………….. 53

2. Subject Auxiliary Inversion and The Adjunction Prohibition………………. 55

3. Adjunction and Inversion – McCloskey's Connection……………………… 58

4. FCP Islands and the Adjunction Prohibition………………………………... 64





5. Adjunct Movement Restrictions in Serbian…………………………………. 67

6. Previous Analyses of Factive Islands……………………………………….. 75

6.1. Rizzi 1990, Cinque 1990, Melvold 1986………………………………. 75

6.2. Nichols 2001…………………………………………………………... 77

7. Summary……………………………………………………………………. 84 Chapter 4. Long-distance NPI Licensing

1. Introduction………………………………………………………………….. 85

1.1. The Proposal…………………………………………………………... 86

2. Laka’s Negative Complementizer Analysis……………………………….…87 iv

3. Motivation for the Extra Structure and Operator……………………………. 89

4. Optional Extra Structure…………………………………………………….. 93

4.1. Basque…………………………………………………………………. 94

4.2. English……………………………………………………………….... 95

4.3. Hungarian……………………………………………………………... 95

4.4. NPI Licensing in Optional Cases ……………………………………... 98

5. Factive Cases in Basque…………………………………………………….. 99

6. Tense and Long-distance NPI Licensing……………………………………. 102

6.1. Uribe-Echevarria 1994………………………………………………... 102

6.2. Uribe-Echevarria’s First Argument Against a Neg-Comp Analysis….. 104

7. Summary…………………………………………………………………….. 107 Chapter 5. More on Selection: Other CP Clauses and Clauses Other than CP

1. Introduction………………………………………………………………….. 109

2. ECM, Raising verbs and tP………………………………………………….. 111

3. Control………………………………………………………………………. 113

4. Small Clauses…………………………………………………………...…… 114

4.1. Uribe-Echevarria’s Second Argument Against a Neg C Analysis…….. 117

5. More Selectional Differences Between FCPs and NCPs……………………. 121

5.1. Nominal and non-nominal selection…………………………………... 121

5.2. Predicates with selectional options…………………………………… 124

6. Attitude Nominals…………………………………………………………… 125

7. Summary…………………………………………………………………….. 128 References…………………………………………………………………………. 130

–  –  –

There are many people who helped me along the way to finally finishing this dissertation.

Hopefully I’ll remember to mention everyone, but given the final deadline of my graduate career is today, and the fact that for one last time I’ve left something to the last minute, the possibility exists that I may omit someone. If so, please feel free to pencil in your name with appropriate commentary, and accept my apologies.

I start with my advisor, Dan Finer, who has tolerated my erratic progress, and always managed to get me back on track. Our Friday afternoon meetings over the years have been a source of great enjoyment to me, and I learned a great deal along the way. I couldn’t imagine a better advisor for me. My committee members were also extremely influential in my graduate career. Richard Larson has been a great support to me, and throughout the years has regularly dropped relevant papers on my desk that have been important to the final product here. His tough criticism along the way has been a great help, and is much appreciated. John Bailyn has also been a great support to me, encouraging me to believe in myself and my ideas. He’s also a great passing midfielder, and an excellent tour guide for Eastern Europe. I look forward to sharing a glass of 7-0 rakija soon. Last but certainly not least, Marcel den Dikken has been extremely generous with his time. He could easily been mistaken for a Stony Brook faculty member with all the support he has given to students here over the years. His ability to read and comment extensively on drafts is legendary, both for the speed in which he does it and for the depth and quality of the comments. No ‘eel in a bucket of snot’ is safe from his grasp, though I tried my best.

I would also like to thank the rest of the faculty of the Linguistics Department at Stony Brook for all their help. It is always easier to work in a place where there is a pleasant, friendly atmosphere to go along with the hard work, and I’m glad I was able to study in such a place. Many thanks also to the Turner Fellowship for providing financial and social support, without which graduate life would have been much more difficult, if not impossible.

I feel fortunate that I was able to meet and make friends with so many people in my time at Stony Brook, and I owe these people a debt of gratitude for helping to make life more enjoyable. Sandra Brennan had been my guardian angel since entering the program, always making my life easier despite my best efforts to screw things up. Jason Brenier and Margo Dellicarpini kept me going in the early days when I sometimes felt like throwing in the towel. Barbara Ürögdi helped get many of the ideas in this dissertation off the ground, between spilled beers at the Velvet Lounge. Marianne Borroff, Susana Huidobro, Jon MacDonald and Lanko Marušič also contributed greatly to my knowledge of linguistics, life, and libations, not necessarily in that order. Yukiko Asano and Tomoko Kawamura kept me going on many late nights, somehow making Roth quad food seem edible. OK, I now realize that if I continue to write sentences for everyone I will miss the deadline - so thanks to Andrei Antonenko, Michele Tedesco, Jiwon Hwang, Xu Zheng, Riquin Miao, Hiroko Yamakido, Diane Abraham, Tanja Scott, Yiya Chen, Edith Aldrige, Yunju Suh, Miran Kim, Jackson Achinya, Jon Robinson, Julie Weisenberg, Yu-an Lu, Mark Lindsay, Hisako Takahashi, Hijo Kang, Hyun-ju Kim, Jisung Sun, Katharina Schuhmann, Svitlana Antonyuk, Roksolana Mykhaylyk, Irina Tarabac, Anne Miller, Mark Volpe, Jang-il Kim, Chih-hsiang Shu, Young-ran An, Michael Helten, Rok Žaucer, Hedde Zeijlstra, Erika Troseth, Alison Gabriele, Tom Leu, Lisa Levinson, Oana Ciucivara, Eytan Zweig and Aldrige Football Club for many good times. Thanks also to Tanja Milićev, Nataša Milićević, Dragana Šurkalović, Svetozar Milićević, Ivana Mitrović, Radmila Šević and Boban Arsenijević for more life, linguistics, libations… I owe a great debt of gratitude to my family for love and support (and patience) on the road to the dissertation. My parents, Myrna and Pedro de Cuba, have provided financial and emotional support throughout my life and education – it is a great feeling knowing I’ve made them proud. My sister Natalia has also always been a great support, especially in entertaining my family during my often prolonged stays at Stony Brook while writing this dissertation.

Finally, to my wife Annika, all the thanks in the world for your patience and love.

Without you, none of this would be possible. I am truly a lucky man. And to my daughter Sofia, thanks for being so damn cute. Now we can finally go to the zoo.

Chapter 1: Introduction

1. Factive vs. non-factive asymmetries

In this dissertation I examine the syntactic and semantic behavior of sentential complement clauses under what have traditionally been called factive and non-factive predicates in the literature. In the classic paper, “Fact”, Kiparsky & Kiparsky (1971) (K&K henceforth) examine the syntax-semantics interface in the English complement system. They note that there are two classes of predicates, those that those that presuppose the truth of their sentential complements (factives) and those that do not (nonfactives).

(1) Factives: regret, resent, hate, comprehend, forget, grasp, make clear, like… (2) Non-factives: believe, claim, say, assert, is likely, is possible, conjecture… Factives and non-factives differ in their semantic properties. In factive (3a), the truth of the sentential complement is presupposed, while in non-factive (3b) it is not. This remains the case if the matrix clause is negated, as in (4).

–  –  –

(4) (a) I don’t regret [that it is raining] (b) I don’t believe [that it is raining] In other words, (3b) and (4b) can be true statements regardless of whether or not it is actually raining, while in (3a) and (4a) that it is raining must be true in order for the whole sentence to be true.

K&K also note that there are several syntactic differences between the verb classes, some of which are illustrated in (5) through (10).

–  –  –



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