# Complement Structures and Non-Finite Constructions in HPSG

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```					                                                                                               Complement Structures: Outline

Complement Structures and
Non-Finite Constructions in HPSG
• Category selection
• Nonﬁnite constructions: Raising and control
• Passive construction

L614                                      • Speciﬁers
Spring 2008                                  • Schemata, old and new: subcat vs. subj and comps

1                                                                               2

Category Selection                                                     Problems for Small Clauses

This is the so-called small clause analysis. But there is a problem ...
In GB, all of the following bracketed phrases are constituents:
Verbs select for categories within those bracketings:
(1) a.   Kim said [(that) Sandy left].
b.   Dana preferred [for Pat to get the job].                              (2) a.   I consider [John a friend].
c.   Leslie wanted [Chris to go].                                              b.   *I consider [John oﬀ my ship].
d.   Lee believed [Dominique to have made a mistake].                          c.   I expect [those children oﬀ the ship].
d.   *I expect [that man stupid].
e.       e
Ren´ tried [pro to win].
f.   Tracy proved [the theorem false].                                    But subcategorization is assumed to be local, i.e., you can’t subcategorize
g.   Bo considered [Lou a friend].                                        for something within the thing you’re subcategorizing for.
h.   Gerry expects [those children oﬀ the ship].
• So, either it’s not local or we shouldn’t use the small clause analysis

3                                                                               4

Questions for analyzing complements                                                    Some generalizations

• Is the selection simply semantic? ... Probably not:
(3) a. *I expect that island oﬀ the route.
• expect and consider allow ap, pp, and inﬁnitival complements
b. I expect that island to be oﬀ the route.

• Does the verb need access to the categorial properties of its complements?   • With ap and pp, expect and consider can often have complements which
... Most likely, yes (see above examples)                                      are semantically diﬃcult to interpret (e.g., (3a))

• Are all verbs the same? ... Deﬁnitely not:                                   • consider, but not expect, allows np complements

(4) a.   I   consider/expect that island to be oﬀ the route.
b.   I   consider/*expect that island oﬀ the route.
c.   I   consider/expect that island to be a good vacation spot.
d.   I   consider/*expect that island a good vacation spot.

5                                                                               6
Verbs of becoming                                                           Lexicalization and Localization

In fact, lots of verbs seem to behave pretty diﬀerently w.r.t. their acceptable
complements, as in all these verbs of becoming:
• Complement selection must be highly lexicalized
(5) a. Kim became/grew/got/turned out/ended up/waxed political
(AP).                                                                        – Is not reducible to the semantics of a word
b. Kim became/*grew/*got/turned out/ended up/*waxed a success
(NP).                                                                     • Generally held belief that subcategorization is local → thus, these verbs
c. Kim *became/*grew/got/*turned out/*ended up/*waxed sent                     need their complements to be sisters
more and more leaﬂets (VP-en).
– Verbs of considering show further evidence for sisterhood of comple-
d. Kim *became/*grew/*got/*turned out/ended up/*waxed doing
ments
all the work (VP-ing).
e. Kim *became/grew/got/turned out/*ended up/*waxed to like
anchovies (VP-inf ).

Despite similar meanings, none of these verbs have the same paradigm
7                                                                                                8

Verbs of considering                                                                    Explaining the facts

These facts can best be explained if consider takes 2 arguments: the
following NP and an XP after that.
(6) a. We rate/consider/*regard/*count Kim to be an acceptable can-
didate (VP-inf ).                                                                                               VP
b. We rate/consider/*regard/*count Kim an acceptable candidate
(NP).
(7)
c. We rate/consider/*regard/*count Kim quite acceptable (AP).                          V             NP                          XP
d. We rate/consider/*regard/count Kim among the most accepta-
ble candidates (PP).
e. We rate/*consider/regard/count Kim as an acceptable candidate
consider         Kim        (*as) an acceptable candidate
(PP-as).
With such a structure, consider can locally constrain the XP
⇒ consider and similar verbs need access to the phrase following Kim
Thus, Kim an acceptable candidate doesn’t work as a small clause                  • But how is the subject of (to be) an acceptable candidate equated with
the subject of consider ?
9                                                                                               10

Counter-arguments?                                                         Review: ID Schemata (for English):
2                 2        »         –         !33
verb
6synsem|loc|cat              inv −
6
4                                57
One counter-argument against such structures would be if we had constitu-
»                 –       6                                                7
phrase                                    subcat
→
6                                                7
ency tests showing that the small clause analysis was best
6                                                7
6                                                7
6              6                      7          7
¸            5
comp-dtrs sign
(8) They consider [Kim quite acceptable], and we consider ?that/?it,                                      2               2           »         –         !33
too.                                                                                                                                verb
inv −
6
6synsem|loc|cat 6                                57
(9) *It was [Kim quite acceptable] that we considered.
4
∨6
6                                                 7
˙         ¸
6                 subcat synsem                   7
7
»                  –
6                                                 7
dtrs
4                                                 5
In lieu of compelling arguments from constituency tests, either we look                                                     head-dtr word

at theory-internal arguments or take these local subcategorization facts                                   2               2         »        –33
verb
seriously.                                                                                                                             inv + 57
7
6               4                     7
∨6
6
6
subcat
7
»                  –7
dtrs

11                                                                                               12
Towards an analysis: Unsaturated Complements                                                 The empirical challenge of
non-ﬁnite constructions

Where does it say in these ID schemata that every subcategorized item
must be realized?
In non-ﬁnite constructions, the subject of the embedded verb is not expressed
as a locally realized dependent.
• In English, many verbs and adjectives subcategorize for an unsaturated
complement.                                                                 Problem 1: What is interpreted to be the subject of the non-ﬁnite verb?

• In other words, a complement can be speciﬁed as subcat NP , rather          (10) a.    John tried to dance.                                    (subject)
than subcat                                                                      b.    John promised Peter to dance.                           (subject)
c.    John persuaded Peter to dance.                           (object)
– The Head-Subject Schema allows for this.
– And this will give consider access to the lower subject, as well as its
own subject.

13                                                                              14

Problem 2: Why do verbs selecting non-ﬁnite complements diﬀer w.r.t.                         Classifying non-ﬁnite complements
what kind of controllers can occur?

(11) a.     John   tried to dance.                                (subject)   Verbs selecting non-ﬁnite complements can be classiﬁed
b.     John   appeared to dance.                             (subject)   according to
(12) a.     John   persuaded Peter to dance.                       (object)
b.     John   expects Peter to dance.                         (object)   • their orientation (subject, direct or indirect object):
(13) a. * It tried to rain.                                       (subject)
b. It appeared to rain.                                      (subject)      – What is interpreted to be the subject of the non-ﬁnite complement?
(14) a. * John persuaded it to rain.                               (object)
b. John expects it to rain.                                   (object)   • the nature of the relationship of the embedding verb to the
controller:

– Is the controller an argument of the embedding verb?

15                                                                              16

Empirical basis of classiﬁcation                             The same holds when a dummy subject is permitted:

(18) a. There is a dragon in the wood.
I. Orientation: Determined by interpretation of embedded inﬁnitive.                  b. Hobbs is a dragon in the wood.
(19) a. There seems to be a dragon in the wood.
II. Relationship: embedding verb ↔ controller
b. Hobbs seems to be a dragon in the wood.
Raising verbs only mediate the requirement of the complement:                   (20) a. * There wants to be a dragon in the wood.
1. If the embedded verb requires a non-referential                                   b. Hobbs wants to be a dragon in the wood.
(= dummy) subject, so does the raising verb:

(15) a.     It rains.
b.   * God rains.
(16) a.     It seems to rain.
b.   * God seems to rain.
(17) a.   * It wants to rain.
b.   * God wants to rain.
17                                                                              18
2. If the embedded verb permits a clausal subject, so does the raising        4. In languages where subjectless constructions exist, raising verbs can
verb:                                                                         embed such subjectless complements:

(21) a. That Sarah dances fascinates John.                                    (27) a.      Dort scheint getanzt zu werden.
b. Sarah fascinates John.                                                             there seems danced to be
(22) a. That Sarah dances seems to fascinate John.                                         ‘People seem to dance over there.’
b. Sarah seems to fascinate John.
b.      Ihn scheint zu frieren.
(23) a. * That Sarah dances wants to fascinate John.                                       him seems to freeze
b. Sarah wants to fascinate John.
‘He seems to freeze.’

3. If the embedded verb has a subject with an idiomatic interpretation,           (28) a. * Dort versucht getanzt zu werden.
so does it when selected by a raising verb:                                              there tries   danced to be
b. * Ihn versucht zu frieren.
(24) The cat is out of the bag.
him tries    to freeze
(25) The cat seems to be out of the bag.
(26) % The cat wants to be out of the bag.

19                                                                              20

5. passivization of the non-ﬁnite complement results                                               Subject oriented raising verbs
in a paraphrase

(29) a. John seems to read a     book.                                                                                                         
b. The book seems to be     read by John.                              word
phon          <seem>

(30) a. John wants to read a     book.                                                                                                        
synsem 
                                                                      
b. % The book wants to be   read by John.                            
                                                                    
                      local                                         

                                                                 
cat
                                                                   
                                                                  

verb
                                                                
                                                    
                     cat        
synsem                                                             
vform bse

local 
                                                                
                                                                  
subcat 1 , VP inf, subcat 1 : 2 
                    
                    
                                                                  

seem
                    

cont
                                                                    
soa-arg 2

21                                                                              22

Subject oriented equi verbs                                                    Object oriented raising verbs
                                                                                                                                                       
word                                                                          word
phon      <try>
        phon         <believe>

                                                                                                                                            
synsem                                                                       synsem 
                                                                                                                                                
                                                                                                                                             
                                                                                                                                              



        local                                           




        local                                            

cat                                                                          cat
                                                                                                                                            
                                                                


                                                                

                                                                                                                             
verb                                                                         verb
                                                                                                   
                                                                                                                       
                                                                                                                                         
                                                                         
vform bse                                                                    vform bse
                                                                                     
synsem
                                                                      synsem
                                                               
local                                               


local                                                

subcat NP 1 , VP inf, subcat NP 1 : 2                                     subcat NP 1 , 2 , VP inf, subcat 2 : 3 
                                                                                          
                                                                                                                                        
                                                                                                                                    
try                                                                          believe
                                                                                                                                        
                                                                                                                                        
                 cont tryer                                                
1 ref
                        
                                               cont believer 1 ref
                                        
                                                                                                                                        
soa-arg 2                                                                    soa-arg 3

23                                                                              24
Object oriented equi verbs                                                            Raising vs. Equi verbs
                                                                                  
word

                                                                           



synsem 
         • Equi (control) verbs assign a semantic role to all arguments; raising verbs
                                                                                      do not
                   local                                                 

                                                                        
cat
                                                                         
                                                                        
         • Equi verbs co-index their subject (object) with an argument’s unexpressed
                                                              
verb
                          
subject; raising verbs completely structure-share these elements
                                                              
                          
cat 
                                                              
vform bse
         
                                                                        
synsem
                                                                       
• Equi verbs require a referential subject (object), while raising verbs do
                                                               
         local            subcat NP 1 , NP 2 , VP inf, subcat NP 2 : 3 
not
                                                                      
                                                               
                                                                        
                                                                        
1 
                                                                        
                 cont                                                 
                                                                       
                                                                        
soa-arg     3

25                                                                                  26

Capturing the generalization behind raising                                           Raising as a widespread phenomenon
Complements of other categories

Raising Principle (Pollard and Sag 1994, p. 140)
Not only VP but also AP complements are possible complements of raising
Let E be a lexical entry whose subcat list L                       verbs like seem or appears:
contains an element X not speciﬁed as expletive.
(31) John seems/appears intelligent.
Then X is lexically assigned no semantic role in the content of E
(32) John seems/appears to be intelligent.
if and only if
L also contains a (nonsubject) Y [subcat < X >].

27                                                                                  28

Raising as a widespread phenomenon                                                 Interesting classes of raising verbs I
More on AP complements

Copula be + predicative XP:
Such AP complements behave parallel to the VP complements of raising
verbs, e.g., with respect to clausal subjects:                                     (37) John is ugly.     (AP complement)
(33) a. That       he came to her wedding   is tasteless.
e.g., non-referential subjects of AP complements are possible:
b. John       is tasteless.
(34) a. That       he came to her wedding   seems to be tasteless.                 (38) It is likely that John sings tonight.
b. John       seems to be tasteless.
(35) a. That       he came to her wedding   seems tasteless.                       Certain modal verbs + VP[bse]:
b. John       seems tasteless.
(36) a. * That     he came to her wedding   wants to be tasteless.                 (39) John may/must/shall run.
b. John       wants to be tasteless.                                          (40) It may/must/shall rain.

29                                                                                  30
Interesting classes of raising verbs II                                                                     The inﬁnitival marker to

Tense auxiliaries:                                                                                   (44) a.     John    will   laugh / *to     laugh / *laughed / *laughing.
b.     John    has *laugh / *to       laugh / laughed / *laughing.
(41) is + gerund                                                                                          c.     John    is    *laugh / *to     laugh / *laughed / laughing.
a. John is running home.                                                                            d.     John    seems *laugh / to      laugh / *laughed / *laughing.
b. It is raining.
(42) will + base form:
a. John will run home.                                                                         What is the status of the inﬁnitival marker to? Is it
b. It will rain.
– part of the morphology of the inﬁnitive, or
(43) have + past-participle:
– a separate syntactic element?
a. John has run home.
b. It has rained.

31                                                                                             32

Arguing for status of to as separate syntactic element                                                   What kind of an element is to? A raising verb!

(48) John seems to run.
In coordination contexts to can select a phrase:                                                     (49) It seems to rain.

(45) John seems [to [come and go]] as he pleases.                                                    A sample raising analysis:

The alternative analysis                                                                                                                It seems to rain
c                 h
(46) John seems [[to come] and [go]] as he pleases.
it        seems to rain
is implausible since the verb form of the coordination is neither only                                                                    h               c
determined by the ﬁrst conjunct nor always to-inﬁnitive if one is present:                                                              seems           to rain
(47) * John seems [[go] and [to come]]                                                                                                              h          c
to        rain
33                                                                                             34

Analysis of: It seems to rain
2                      3
The subtree to rain                                                                                         phrase
6p <It seems to rain> 7
6    2     "         #37
6                      7
6s|l 6cat
6                     77
4    4       subc     57
5
cont 10
2
phrase
3
2
c              3
h
6p <to rain>                   7                                     word                                   2                       3
6
6   2 2          "          #337
7                                    6p <it>                        7         phrase
6   2 2                     #337
6                              7                                                   "                        6p <seems to rain>      7
6s 86l 6cat
6                              7
6                        ˙ ¸ 777                                    6                 head noun    7        6                     #37
subc 5 557                                     6s 56l 6cat
6                              7        6    2     "            7
4 4
subc
4                              5                                        6 4                                 6                       7
575
cont                                                                                              6s|l 6cat
6                  ˙ ¸ 77
7
4   4                         5
cont
ˆ
index it
˜
4    4       subc 5 57  5
cont 10
2                        h                            3    2                  c                  3             2
h                    32
c               3
word                                                        word                                               word                                           phrase
6p <to>
6 2 2
7
7
6p <rain>
6
7
7             6p <seems>                                  7 6p <to rain>
6
7
7
6              2      "            #           3337        6    2 2        2      "          #3337             6    2    2        "          #           337 6    2 2                 "        #3337
6                                           76                 2
6                       verb                      7        6                        verb         7             6                    verb                   76                          verb        7
6 6 6
7
7777             6    6      head 9                        777 6                6head 6 vform inf 7777
7
vform inf                                                   vform bse 5777                                  vform ﬁn
6 6
6 6 6
6 6 6cat
7777        6    6 6cat                                         6    6cat 6                                77 6    6 6cat                         777
6s 16l 6
6                               7777        6                                                             6                               777
˙ ¸i E 77 6s 86l 6
4                                   6                                                              4                 577
6s 6l 6        4     D        h         ˙ ¸i E5777                                ˙      ¸     777             6    6    4       D         h             5        6 6                ˙      ¸    777
subc 5 NPit                        6s|l 6                                                          subc 5 NPit
6 6                            777
subc 5 , 1 VP bse, subc 5 : 7 777                                                                         subc 5 , 8 VP inf, subc 5 : 7 77 4
6 6 6                                             7        6                                                                                                 6
6 4 4                                                      4    4 4                            555             6    6
6                                      7
77      4 4                            557
5
555
cont   7 rain                                                                                      cont   7 rain
4                                                                                                              6    6       "            #                77
cont   7                                                                                               6
4    4cont 10 seem
6                                     7
55
soa-arg 7
35                                                                                             36
Analysis of: *It wants to rain                                                                 The Passive: subject-to-subject raising

(50) a. John has stolen the ring.
2
phrase
3
b. The ring was stolen.
6p    <wants to rain>   7
6                     #37                                            2                                                                           3
6     2     "           7                                              word
6s |l 6cat subc ˙ 3 ¸ 77
6                       7                                            6phon     <has>                                                           7
4                55                                            6         2        2       2                                           3337
6                                  »          –                           7
verb
4
6                                                                         7
con 10                                                       6         6                head                                          77
vform ﬁn
6     6                                             7777
6cat 6
h                                                       c
6         6                                                            77
6         6        6     4         D      h                     ˙ ¸i E5777
6synsem   6local           subcat 1 , VP past-participle, subcat 1 : 2 777
2                                                       32                                       3          6         6                                                              77
word
6
phrase                                           6         6        6
6
777
777
6p <wants>                                              7 6p <to rain>                                                               »            –
perfective
7         6         6        4                                                    555
cont
6         2                                           337 6                                       7         4         4
2                                                        2 2                             #3337
soa-arg 2
6                   "          #                        76                  2           "
6                     verb                              76                           verb         7
vform ﬁn                                                       vform inf 7777
6                                                     777 6                 6                  7 7
Ei E777 6s 86l 6cat
6    6cat 6                                             76    6 6           6
6    6    6       D             h        D                                  4      D      E    5777         2                                                                               3
6    6
6
4                                           577 6
subc 3 NP 11 , 8 VP inf, subc 5 NP 11 : 7 77 6
6 6
6 6            subc 5 NPit
777
777           word
6s|l 6
6    6                                                 77 4
77
4 4                               555         6phon     <was>
7
con     7 rain
6            2              3                                                                               6                                                                          3337
want
6    6                                                 77                                                   6         2        2       2      »          –                                7
6    6                                                 77                                                   6                                  verb                                       7
6    4con 104wanter 11 ref5
6       6              7                          77                                                   6                          6head                                           7777
4                                                      55                                                   6         6
6
6
6cat    6       vform ﬁn                                7777
soa-arg 7                                                                                    6synsem   6local
6                                 D      h                                 5 7
6       4                                        ˙ ¸i E 777
6         6
4
6
4        subcat 1 , VP passive-participle, subcat 1 : 2 777
555
4
37                                  cont 2                                                           38

Past and Passive Participles                                                                          Past and Passive Participles
A lexical rule to express the generalization
2                                                             3
word
6phon     <stolen>
7
6         2          2                                   7
6                      2       »                     –3337
6                               verb                     7                              2
word
3
6                                                        7
6         6
6cat 4
6              vform past-participle 7777                              6               2            "                     #37
verb
6         6                    D            E         5777                              6                                                    7
vform past-participle 77 →
6      6                                     77
subcat NP 1 , NP 2
6                                                      777                              6
6      6                                                                                                                          77
6synsem   6local 6
6                                                      777                              6synsem|loc|cat 6
7                              6
6         6
6
6
6
2
steal
3                777
777                              4               4            D                 E    57
5
subcat       NP 1 , NP 2 | 3
6         6      6                                     777
6
4         4      4cont 4stealer 1 ref5                 555
stolen 2 ref                                                                                        2               2          "                        # 33
verb
vform passive-participle
2
word
3
6synsem|loc|cat 6
6                                                      77
6phon
4          D     E       D“          ”E57
<stolen>
4                                                       5
subcat     NP 2 ⊕ 3 ⊕ PP[by] 1
7
6         2          2       2       »                        –3337
verb
6                                                                 7
6                                                                 7
vform passive-participle 7777
6          6
6         6          6cat    6
6         6          6       4       D       E D“        ”E 5777
subcat NP 2 ⊕ PP[by] 1
6         6          6                                          777
6synsem   6local
6         6          6                                          777
6       2              3                   777
steal
6         6          6                                          777
6         6          6                                          777
4cont   4stealer 1 ref5
6         6          6                                          777
4         4                                                     555
stolen 2 ref

39                                                                                                   40

Subcat Principle (Review)                                                                                       subj and comps

Remember the subcat Principle? It speciﬁes how subcategorized elements                                There are several reasons to treat the subject as a distinct item, i.e., to split
get checked oﬀ the list                                                                               subcat into subj and comps:

synsem|loc|cat|subcat 1                                                     • Allows for a clean deﬁnition of phrases and of nonheads, namely
        head-dtr|synsem|loc|cat|subcat 1 ⊕ 2                                  comps
dtrs
comp-dtrs synsem2sign 2
• Allows non-predicative prepositions to have a single non-subject comple-
As of right now, the subject and any complements are treated identi-                                    ment without having a subject
cally.                                                                                                   – e.g., on in depend on Sandy has one item on its comps list, none on
its subj

• Allows traces to be speciﬁed as complements (instead of a “noninitial
member” of subcat)

41                                                                                                   42
New schemata                                                               The Valence Principle

And the Subcategorization Principle also has to be rewritten, to account
• Schema 1: a phrase with dtrs value of sort head-subj-struc in which           for the fact that arguments are not all in the subcat list now
the head-dtr value is a phrasal sign
(51) In a headed phrase, for each valence feature f, the f value of the
• Schema 2: a phrase with dtrs value of sort head-comp-struc in which                head daughter is the concatenation of the phrase’s f value with the
the head-dtr value is a lexical sign                                               list of synsem values of the f-dtrs value

• Schema 3: a subj phrase with dtrs value of sort head-subj-comp-               where f ranges over subj, comps, and spr
struc in which the head-dtr value is a lexical sign (for English inverted
clauses)                                                                      ⇒ In other words, the mother’s valencies are the same as the head
daughter’s, minus the elements that were realized

43                                                                           44

Speciﬁers (spr)                                                           Speciﬁers are not subjects

(52) a.   Kim saw [ some/the/many/six unicorns]. (N)                            • Speciﬁers are not semantic arguments (as subjects are): they are usually
b.   John is [ very/too/six feet tall]. (A)                                  quantiﬁcational or degree-denoting
c.   Mary’s oﬃce is [ just/right around the corner]. (P)
d.   Kim ran [ so/too fast]. (Adv)                                         • Speciﬁers can co-occur with subjects of the same head
e.   [ A dozen/many fewer] people came to the reception than had
been expected. (Spec)                                                   (53) a. [John] is an idiot.
b. We consider [John] an idiot.
What exactly are these speciﬁers?                                                      c. [His father] a lifelong Elk, John was assured admission to the
brotherhood.

⇒ So, we create a new valence feature, spr, to account for speciﬁers

45                                                                           46

We can have combinations of speciﬁers forming speciﬁer phrases                                            A”
(56)
(54) [Many [more [than 50]]] men appeared on the horizon.                                                                    A’
(55) This factory is [[[[very many] times] as] productive] [as that one]
as     productive
By trying to form an analysis of these phrases, we will see that the simplest
approach is to have them be non-heads.                                                                  times

very   many

⇒ very has to be an adjective with 4 complements

47                                                                           48

A”
A”
(57)
A’                        ?                                             (58)
Deg”                     A’
very     ??                        ?
Meas”              Deg0   productive
many        ??                   ?
Det”          Meas0    as
times       ??            A”
Deg”      Det0       times
as       productive
very      many
⇒ All nodes must be Adj, but similar trees can be drawn for other categories

49                                                                          50

The three schemata                                                                  subcat Revisited

1. Head-Subject Schema: X” subj           → 1 Y” , X” subj 1                   With subj, spr, and comps, do we still need subcat?

2. Head-Speciﬁer Schema: X” → 1 Y” spec 2 , 2 X’ spr 1
• It is a crucial component of the binding theory, so we do need it.
3. Head-Complement Schema: XP → 1 , X0 comps 1
• But it can be speciﬁed on lexical items only
• X0 = word                                                                      subcat is the concatenation of a words subj, spr, and comps values
• XP = phrase                                                                    (in that order)

• X” = phrase spr

• X’ = phrase spr Y”

51                                                                          52

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