Abstract
Natural languages contain elements that do not contribute to the propositional meaning of a sentence. Among these, certain forms, such as the Ethical Dative (ED), are less studied. The ED serves the specific function of identifying a person who is affected by the event described in a sentence. This is exemplified by the Italian sentence Tommaso mi ha camminato fino al parco da solo (literally, ‘Thomas ED has walked to the park alone’, meaning ‘Thomas walked to the park alone’). ED does not change the truth conditions associated with the sentence in which it occurs, thus being ‘expletive’/‘pleonastic’ in a sense, even though it adds an “affectedness” semantic property that would otherwise be absent. In this article, I argue that the interpretative nature of these expletive elements depends on their syntactic configuration. More specifically, I describe key aspects of ED and propose a syntactic analysis for it. I argue that this non-core/non-argumental dative is introduced as the head of an Applicative Phrase generated outside the thematic domain of the syntactic tree, in the Complementizer domain. This hypothesis accounts for its expletive nature as well as various other properties.
1 Introduction
Languages display two different types of dative DPs: those that are part of the thematic grid of predicates – i.e., the core/argumental dative DPs – and those that are not – i.e., the non-core/argumental datives – which do not seem to participate in the sentential semantics, being expletive/pleonastic (Hale and Keyser 2002; Horn 2008). The former can realize an argument of ditransitive constructions, such as with verbs like give, while the latter are usually freely added to sentences, referring in some way to an entity which takes part in the event described by the sentence. Non-core/argumental datives can therefore be considered a type of dative that is not directly involved in the core syntactic structure of a verb’s argument representation (Marantz 1984, 1993). Among the non-core datives, one of the most puzzling cases is the Ethical Dative (ED), which is a clitic pronoun occurring in several languages (Jaeggli 1982; Perlmutter 1971; Rivas 1977). It is usually considered an instance of dative case and has the specific function of identifying a person affected by the event expressed by a sentence (Renzi et al. 2001; Roberge and Troberg (2009)), encoding the role of affectee (Berman 1982).
The origin of the term “Ethical Dative” is Latin. It was designated “dative” due to the grammatical case it typically accompanied (Ernout and Tomas 1953: 72). However, the reasoning behind the term “ethical” remains unclear.[1] For example, in a sentence like (1), mihi is the Latin realization of the 1st person dative clitic.[2]
| ‘Quid | mihi | Celsus | agit?’ | (Latin; Roberge and Troberg (2009): 255) |
| how | me.Dat | Celsus.Nom | act.3SG | |
| ‘How does Celsus do? (and this affects me).’ | ||||
Even though the pragmatic meaning of ED is cross-linguistically similar, i.e., encoding the role of affectee (Berman 1982), its occurrence varies across languages. Let’s consider some examples:[3]
| Tommaso | mi/ti/gli/le/ci/vi | ha | vinto | il | primo |
| Thomas | ED.to me/you/him/her/us/you | has | won | the | first |
| premio! | (Italian) | ||||
| prize | |||||
| ‘Thomas won the first prize (and this affects me/you/him/her/us/you).’ | |||||
| Juanita ya | le | camina. | (Spanish, Cuervo 2003: 27) | |||
| Juanita already | ED.to her | walks | ||||
| ‘Juanita can already walk (and this affects her).’ | ||||||
| Dan ne’elam | li | pit’om | me | ha |
| Dan disappeared | ED.to me | suddenly | from | the |
| ófek. | (Hebrew, Berman 1982: 36) | |||
| horizon | ||||
| ‘Dan’s gone and disappeared all of a sudden (and this affects me).’ | ||||
| Je | te | bois | dix | pastis | en | trois | minutes. | (French, Leclere 1975) | ||||||||
| I | ED.to you | drink | ten | pastis | in | three | minutes | |||||||||
| ‘I can drink ten Pernods in three minutes (and this affects you).’ | ||||||||||||||||
| Ziya:d | biʔadˁdˁi:-li/lak | kil waʔt-o | ne:yim. |
| Ziad | spend-me.Dat/you.Dat | all time-his | sleeping |
| ‘Ziad spends all his time sleeping (and this affects me/you).’ (Lebanese Arabic; Haddad 2014: 65) | |||
As the examples above show, the occurrence of ED does not affect the compositional propositional meaning of a sentence and, therefore, can be omitted without changing that propositional meaning. However, ED concerns speakers’ subjective evaluation of the event described in a sentence, highlighting the perspective of the affectee. These datives, termed non-actantial by Delbecque and Lamiroy (1996: 106–107), do not directly contribute to the verb’s valency either but serve an expressive purpose by establishing a connection between the event and the participants in the conversation, representing an exterior onlooker (see also Berman 1982; Leclere 1975). For instance, in (2a) the fact that Thomas won the first prize has a certain relevance for the hearer of the utterance, or any other patient of the event depending on the grammatical person of the ED. In what follows I use the terms “expletive” and pleonastic” for elements that does not impact the truth conditions associated with a sentence, even though the do add semantic and pragmatic information of their own. This does not, in principle, mean that expletive elements do not exhibit their own features, or interact with other syntactic phenomena. In fact, it is well known that syntax includes many expletive items, such as ‘there’ or ‘it’ in English, and these items have their own locality conditions, among other syntactic features.
Italian ED seems to display some properties that distinguish it from instances of ED in other languages. For example, Italian ED can occur in bare intransitives – where the direct object of a transitive construction is missing – contrary to what happens in languages like French (Boneh and Nash 2012):
| Helene | lui | chante | *(sous ses | fenetres). |
| Helene | ED.to him/her | sang | (beneath his | windows) |
| ‘Helene sang beneath her/his window (and this affects his/her).’ | ||||
| Maria | mi | ha | finalmente | cantato! |
| Maria | ED.to me | has | finally | sang |
| ‘Mary finally sang (and this affects me)!’ | ||||
In this paper, I focus on ED in Italian, due to its unique features and the lack of extensive studies on the topic. Specifically, I present several syntactic and semantic features of Italian ED (Section 2.1) to distinguish it from other types of non-argumental datives in the rich Italian dative system, such as Benefactive and Co-referential datives (Section 2.2). I then demonstrate that ED exhibits distinctive grammatical behavior that warrants its own syntactic analysis, adapting the Applicative Phrase framework (Section 3), i.e., a syntactic framework used to analyze constructions in which an extra argument (often a beneficiary, goal, or instrument) is introduced into a sentence without being a core argument of the verb (Cuervo 2020; Marantz 1993; Pylkkänen 2002, 2008). More specifically, I propose a syntactic hypothesis where ED is introduced as a head in the Complementizer Phrase (CP) domain of the sentence (Section 3.1), from which it can interact with the pragmatic references to the speaker and hearer of the sentence, involving the respective Speech Act Phrases.
2 Description and identification of ED
The primary goal of this section is twofold: (i) to describe ED and (ii) to identify tools for distinguishing ED from other types of non-core dative clitics in Italian. It is well known that Italian is a language rich in clitics (Renzi et al. 2001; Russi 2008) and it is challenging to determine which clitics are Ethical Datives and which are instances of other non-core dative clitics, such as Ben and those co-referential with the subject (CD). Consider the examples in (4):[4]
| Tommaso | ti | ha | vinto | il | primo | premio! | (ED) |
| Thomas | ED.to you | has | won | the | first | prize | |
| ‘Thomas won the first prize (and this affects you)!’ | |||||||
| Laura | ti | ha | stirato le | camicie. | (Ben) |
| Laura | Ben.for you | has | ironed the | shirts | |
| ‘Laura has ironed the shirts (for you).’ | |||||
| Ti | sei | bevuto | una | birra. | (CD) |
| CD.you | are.2SG | drunk | a | beer | |
| ‘You have drunk a beer.’ | |||||
As these examples show, the 2nd person singular clitic ti (‘to you’) can occur with three different meanings: Ethical, Benefactive, and Co-referential. The question that arises is how to determine whether a dative clitic is ethical or not. To address this question, I will first analyze these three types of dative clitics and then compare them with each other, as a basis of identifying instances of the Ethical Dative (for a similar line of reasoning, see Masini 2012).
2.1 What Ethical Dative is: some core features
Italian ED is attested in the first novel written in Modern Italian, i.e., I Promessi Sposi (Manzoni 1842):
| “Che | ti | fanno | i | bergamaschi? | Spediscono | a | Venezia |
| What | ED.to you | did | the | people.from.Bergamo | They.send | to | Venice |
| Lorenzo Torre, | un | dottore, | ma di quelli!” | ||||
| Lorenzo Torre | a | Doctor | but of those | ||||
| ‘What did the people from Bergamo do (and this affects you)? They send Lorenzo | |||||||
| Torre, a great doctor, to Venice!’ | |||||||
The first core feature of ED is that it does not change the propositional meaning of a sentence, as it does not belong to the thematic grid of the verb (Franco and Huidobro 2008). This can be observed in examples such as (2a) and (5), where the presence of an ED does not affect the truth conditions of the sentence and, can be removed without changing the meaning. Accordingly, I assume that ED does not contribute to the compositional propositional meaning of a sentence. Rather, it adds extra semantic and pragmatic information beyond the propositional meaning as an instance of an expletive/pleonastic phenomenon,[5] as witnessed by the following sentences with and without ED:
| Ieri | ti | ho | incontrato | Gianni | in dipartimento. |
| Yesterday | ED.to you | I.have | met | John | in department |
| ‘I met John in the department yesterday (and this affects you).’ | |||||
| Ieri | ho | incontrato | Gianni | in dipartimento. |
| Yesterday | I.have | met | John | in department |
| ‘I met John in department yesterday.’ | ||||
Since ED does not represent any argument of the verb, realizing an expletive function in a sense, it cannot undergo any form of A’-movement (Michelioudakis and Kapogianni 2013), such as wh-fronting (7):[6]
| Ieri | ti | ho | incontrato | Gianni | in dipartimento. |
| Yesterday | ED.to you | I.have | met | John | in department |
| ‘I met John in department yesterday (and this affects you).’ | |||||
| *A chi | ieri | ho | incontrato | Gianni in dipartimento? |
| to whom | yesterday | I.have | met | John in department |
As indicated above, ED identifies a person who is affected by the event described in a sentence. It is noteworthy that while the 3rd person sing. is not categorically excluded (2), it is less accepted by some scholars (Delbecque and Lamiroy 1996; Roberge and Troberg (2009); see Michelioudakis and Kapogianni 2013 for an overview). According to these scholars, ED is restricted to the speaker and the hearer in the 1st (mi) and 2nd (ti) person. Some Italian cases seem to confirm this preference, as witnessed by the following exclamative sentences with an expletive negation (see the discussion on surprise negation sentence):
| E | non | mi/ti | ha | incontrato | Maria | in stazione?! |
| and | NEG | CL.to me/you | has | met | Mary | in train.station |
| ‘S/he met Mary in the train station! (and this surprised me/you and affects me/you)’ | ||||||
| ?/*E | non | gli | ha | incontrato | Maria in stazione?! |
| and | NEG | CL.to him | has | met | Mary in train.station |
Thus, the second peculiarity of ED is a slight preference towards the 1st and the 2nd person singular.[7]
Another peculiarity of the ED is its obligatory clitic nature (Renzi et al. 2001). As is well known, clitics can also be expressed by means of a corresponding noun, pronoun, or prepositional phrase (D’Alessandro 2017). This can be seen in both core (9a–b) and non-core (9c–d) dative clitics:
| Gianni | gli | ha | regalato | un | orologio. |
| John | CL.to him | has | gave | a | clock |
| ‘John gave him a clock.’ | |||||
| Gianni | ha | regalato | un | orologio | a lui. |
| John | has | gave | a | clock | to him |
| ‘John gave him a clock.’ | |||||
| Laura | gli | ha | stirato le | camicie. |
| Laura | CL.to him | has | ironed the | shirts |
| ‘Laura has ironed the shirts for him.’ | ||||
| Laura | ha | stirato | le | camicie | a | lui. |
| Laura | has | ironed | the | shirts | to | him |
| ‘Laura has ironed the shirts for him.’ | ||||||
In (9c), the presence of gli suggests that Laura has ironed the shirts for the benefit of someone that is not either the hearer or the speaker of the utterance, instantiating a case of a Ben clitic. Benefactives introduce an applicative argument, which is the beneficiary or maleficiary of the action described by the verb (Folli and Harley 2006; see Section 2.2). Typically considered a non-core dative – a type of dative argument that is not directly involved in the core syntactic structure of a verb’s argument schema – it is one of the most common uses of a dative clitic in Italian. However, this possibility is ruled out if the clitic is an ED:
| Tommaso | ti | ha | vinto | il | primo | premio! |
| Thomas | ED.to you | has | won | the | first | prize |
| ‘Thomas won the first prize (and this affects you)!’ | ||||||
| *Tommaso | ha | vinto | il | primo | premio | a te! |
| Thomas | has | won | the | first | prize | to you |
The ungrammaticality of (10b), in which ED ti is realized by an overt PP, stems from such a constraint (see Lo Cascio 1970 for the Italian case). It is worth noting that Italian just misses a clitic form for the 3rd person plural dative – which must be realized by the pronoun loro (‘they’) or PP a loro (‘to them’) – and, as expected, ED is not allowed in these cases (Masini 2012), further showing that ED is strictly dependent on the clitic nature of the pronoun:
| *Tommaso | ha | vinto | loro/a loro | il | primo | premio! |
| Thomas | has | won | they/to them | the | first | prize |
The clitic constraint is also attested in other languages belonging to different families, such as, among others, Hebrew (12a–b) (Borer and Grodzinsky 1986), French (12c–d) (Kayne 1975), and Spanish (12d–e) (Cuervo 2003) (see also Boneh and Nash 2012; Jaeggli 1982; Michelioudakis and Kapogianni 2013; Strozer 1976: 145):[8]
| ha-yalda | xatza | lo | et | ha-kviš. | (Hebrew; Cuervo 2003: 182) |
| the girl | crossed | CL.DAT.M | ACC | the-street | |
| ‘The girl crossed the street on him’ (when he was babysitting her, for instance).’ | |||||
| *ha-yalda | xatza | le-Roni | et | ha-kviš t. |
| he-girl | crossed | Roni.DAT | ACC | the-street |
| ‘The girl crossed the street on Roni.’ | ||||
| Elle lui a démoli sa maison. | (French; Kayne 1975: 169–170) |
| ‘She demolished his house on him.’ | |
| *Elle a démoli sa maison à lui. |
| ‘she demolished his house on him.’ |
| Me | le | dieron | un helado | al niño. | (Spanish; Cuervo 2003: 175) |
| CL.1.DAT | CL.DAT | gave | an ice-cream | the kid.DAT | |
| ‘They gave the kid an ice-cream on me.’ | |||||
| *Me le dieron un helado al niño a mí. |
| ‘They gave the kid an ice-cream on me.’ |
Thus, the third peculiarity of the ED is its obligatory clitic nature.
Another feature of the ED is the non-obligatory co-reference between the ED and the grammatical subject of the sentence. This can be observed in (10), where the 3rd person singular subject of the sentence, Thomas, is not co-referential with the 2nd person singular of the ED ti (‘to you’).[9] Moreover, ED seems to be banned from co-referring to the subject of the sentence, yielding ungrammaticality in cases such as (13a), unless the auxiliary is changed to ‘be’ (13b):
| *Tui | ti i | hai | vinto | il | primo | premio! |
| you | ED.to you | have.you | won | the | first | prize |
| Tui | ti i | sei | vinto | il | primo | premio! |
| you | ED.to you | are.you/have.you | won | the | first | prize |
| ‘You won the first prize (and this affects you)!’ | ||||||
We will see that not all non-core datives can circumvent the constraint on coreferentiality with the subject of the sentence in this way.
The fifth feature is the possible occurrence of the ED in sentences with ditransitive constructions. Typically, it is impossible to have both a dative clitic and an indirect object in Italian ditransitive constructions (14a) unless they refer to each other (14b). However, ED constitutes an exception to this pattern (14c):
| *Laura le i | ha | regalato | un | libro | a | Giulio k | (a lei).10 |
| Laura CL.her.3rdSG.Dat | has | gave | a | book | to | Giulio | to her |
- 10
I include here a prepositional phrase “a lei” (‘to her’) that is coreferential with the Benefactive clitic “le” (‘to her’) to enforce a reading of the clitic distinct from the ED interpretation. For a detailed discussion on Benefactive clitics, see Section 2.2.
| Laura | gli i | ha | regalato | un | libro | a | Giulio i . |
| Laura | CL.him.3rdSG.Dat | has | gave | a | book | to | Giulio |
| Ti i | ho | regalato | io | le | scarpe | nuove | a | Giulia k ! |
| ED. to you | I.have | given | I | the | shoes | new | to | Giulia |
| ‘It was me who gave new shoes to Giulia (and this affects you)!’ | ||||||||
The sixth characteristic is that ED is restricted in its distribution. It cannot be embedded in relative clauses (15a) and it cannot undergo any form of A’-movement (Michelioudakis and Kapogianni 2013; see sentences in (7)). Other types of dative clitics, such as benefactives, are permitted in these contexts (15b):
| *Il | postino | che | ti | ho | incontrato | ieri | è | Gianni. | (*ED) |
| the | mailman | that | ED.to you | I.have | met | yesterday | is | John |
| Le | camicie | che | mi | hai | stirato | sono | perfette. | (Ben) |
| the | shirts | that | Ben.to me | you.have | ironed | they.are | perfect | |
| ‘The shirts you ironed for me are perfect.’ | ||||||||
Finally, an interesting pattern emerges when examining the interaction between passives and dative clitics specifically investigating whether they can appear before the verb and whether the movement of the theme to the preverbal position is influenced by the dative clitic itself. On the one hand, when the theme is left in situ, ED is not as grammatical in passive constructions (Naudé 1997), whereas both core datives and Ben are allowed (Boneh and Nash 2012; Folli and Harley 2006; Rooryck 1988):[11]
| Lucia | mi | ha | vinto | il | primo | premio. | (ED_Active) | |||||||
| Lucia | ED.to me | has | won | the | first | prize | ||||||||
| ‘Lucia won the first prize (and this affects me).’ | ||||||||||||||
| ?/* Mi | è | stato | vinto | il | primo | premio | da Lucia. | (ED_Passive) |
| ED.to me | is | been | won | the | first | prize | by Lucia | |
| ‘The first prize was won by Lucia.’ | ||||||||
| Lucia | mi | ha | consegnato | la | posta. | (core dative_Active) | ||||||
| Lucia | CL.to me | has | delivered | the | ||||||||
| ‘Lucia delivered the mail to me.’ | ||||||||||||
| Mi | è | stata | consegnata | la | posta | (da Lucia). | (core dative_Passive) |
| CL.to me | is | been | delivered | the | (by Lucia) | ||
| ‘The mail was delivered to me by Lucia.’ | |||||||
| Il | giardiniere | gli | ha | tagliato | l’erba. | (Benefactive_Active) |
| the | gardener | CL.to him | has | cut | the.grass | |
| ‘The gardener cut him the grass.’ | ||||||
| Gli | è | stata | tagliata | l’erba | (dal giardiniere). | (Benefactive_Passive) |
| to.him | is | been | cut | the.grass | (by.the gardener) | |
| ‘The grass was cut to him (by the gardener).’ (Folli and Harley 2006: 126) | ||||||
On the other hand, when the theme appears at the beginning of the sentence, i.e., in the preverbal subject position, the sentence results in degradation in benefactive (17a),[12] whereas it gets better in ED construction (17b):
| ?/*L’erba | gli | è | stata | tagliata | dal giardiniere. (Folli and Harley 2006: 127) |
| the.grass | to.him | is | been | cut | (by.the gardener) |
| Il | primo | premio | mi | è | stato | vinto | da Lucia! (ED) |
| the | first | prize | ED.to me | is | been | won | by Lucia |
| ‘The first prize was won by Lucia (and this affects me)!’ | |||||||
To summarize the main features of Italian ED, we can state the following: (i) ED does not alter the propositional meaning of a sentence, as it does not belong to the thematic grid of the verb; (ii) ED predominantly appears in the 1st and 2nd person singular, although it also occurs in the 3rd person singular; (iii) ED obligatorily displays the clitic form and therefore cannot occur in the 3rd person plural, as Italian lacks a corresponding clitic for this; (iv) ED is not required to be co-referential with the grammatical subject of the sentence; (v) ED can appear in sentences with ditransitive constructions; (vi) ED does not undergo A’-movement, such as wh-fronting, and, finally (vii) ED can appear in passive structures where the theme moves across the dative clitic to a preverbal subject position, but is not as grammatical when the theme remains in situ. A comprehensive analysis of ED should consider all these features and derive them in a unitary way. Section 3 contains a proposal for an analysis that achieves this. Before we get there, further examination is needed to distinguish ED from other non-core dative clitics, such as Ben and CD, which show the same morphological shapes.
2.2 What Ethical Dative is not: a comparison with benefactive and Co-referential Datives
Italian displays a complex system of non-argumental dative clitics that serve various functions (Renzi et al. 2001; Russi 2008). Among these, the ED, as discussed above, stands out. However, ED often creates confusion due to its morphological and pragmatic similarities with other non-argumental dative clitics, such as Ben and CD. As seen in examples from previous sections, ED has distinctive characteristics. In this section I systematically discuss them, also considering some additional data that support the distinction between ED and other non-argumental datives.
Let us begin with the examples previously examined that distinguish ED from the benefactive. For instance, in sentences (9c–d) – repeated here as (18) – I observed that only ED must be expressed with a clitic, whereas the benefactive can also occur with a full prepositional phrase introduced by ‘a’ (‘to’) or ‘per’ (‘for’) (see Masini 2012 for Italian and Boneh and Nash 2012 for French):
| *Tommaso | ha | vinto | il | primo | premio | a te! | (*ED) |
| Thomas | has | won | the | first | prize | to you |
| Laura | ha | stirato | le | camicie | a lui. | (Ben) |
| Laura | has | ironed | the | shirts | to him | |
| ‘Laura has ironed the shirts for him.’ | ||||||
Recall that benefactive clitics introduce an applicative argument representing the beneficiary or maleficiary of the action described by the verb (Folli and Harley 2006). A clitic with a Ben function can represent all singular and plural persons. This can be explained by the intuitive assumption that the action described by a verb can benefit or damage anyone. In fact, the benefactive can also be realized using the 3rd plural pronoun “loro” (‘to them’), which is not possible for ED.
| Laura | mi/ti/le/gli/ci/vi | ha | stirato | loro | le | camicie. |
| Laura | Ben.for me/you/her/him/us/you | has | ironed | Ben.to.them | the | shirts |
| ‘Laura ironed the shirts for me/you/her/him/us/you/them.’ | ||||||
| *Tommaso | ha | vinto | loro/a loro | il | primo | premio! |
| Thomas | has | won | they/to them | the | first | prize |
The Ben is also compatible with left or right dislocation (Cecchetto 1999), whereas ED is not:
| Laura | mi/ti/… | ha | stirato le | camicie | per me/per te. |
| Laura | Ben.for me/you… | has | ironed the | shirts | for me/for you |
| ‘Laura ironed the shirts for me/for you.’ | |||||
| *Tommaso | mi | ha | vinto | il | primo | premio | per me! |
| Thomas | ED.tome | has | won | the | first | prize | to me |
Moreover, Ben can also appear in relative clauses (21b) and undergo forms of A’-movement (Michelioudakis and Kapogianni 2013), appearing in wh-fronting (21d), unlike ED (21c) (I here repeat the sentences in (15)):
| *Il | postino | che | ti | ho | incontrato | ieri | è | Gianni. (*ED) |
| the | mailman | that | ED.to you | I.have | met | yesterday | is | Jonh |
| Le | camicie | che | mi | hai | stirato | sono | perfette. | (Ben) |
| the | shirts | that | Ben.to me | you.have | ironed | they.are | perfect | |
| ‘The shirts you ironed for me are perfect.’ | ||||||||
| *A chi | hai | camminato | fino | al | parco giochi? | (*ED) |
| to whom | you.have | walked | until | the | ground.park |
| A chi | hai | stirato | le | camicie | ieri? | (Ben) |
| to whom | you.have | ironed | the | shirts | yesterday | |
| ‘To whom did you iron the shirts yesterday?’ | ||||||
Finally, Ben cannot occur in sentences with ditransitive constructions, even though we can imagine a situation where someone gives a gift to another person for the benefit of a third party. However, this is not grammatically possible, whereas ED can occur in such constructions, as discussed in (14):
| *Laura | le i | ha | regalato | un | libro | a | Giulio k . | (a lei) | (Ben) |
| Laura | CL.her.3SG.Dat | has | gave | a | book | to | Giulio | to her |
| Ti i | ho | regalato | io | le | scarpe | nuove | a Giulia k . | (ED) | ||||||||
| ED. to you | I.have | given | I | the | shoes | new | to Giulia | |||||||||
| ‘It was me who gave new shoes to Giulia (and this affects you).’ | ||||||||||||||||
The examples given above should be sufficient evidence for considering ED and Ben two distinct phenomena[13] – I do not repeat the differing behaviors in passive structures already observed in (16) and (17). Let us now consider the differences between ED and other non-argumental dative constructions, specifically CD.
In Co-referential Dative (CD) constructions, the dative clitic refers to the subject of the sentence (Boneh and Nash 2011). Similar to ED and Ben, CDs are a type of non-core dative. One of their primary characteristics is that they do not change the truth conditions of a proposition (I here repeat the sentence (4c) as (23)):
| (Ti) | sei | bevuto | una | birra. |
| Cor.to you | are.2SG | drunk | a | beer |
| ‘You have drunk a beer.’ | ||||
Similar to ED, CD has a restriction on the clitic form, resulting in ungrammaticality when expressed through a corresponding prepositional phrase:
| *Hai | bevuto | una | birra a | te/a | te stesso.14 |
| you.have | drunk | beer to | you/to | yourself |
- 14
For the change of the auxiliary from to be to have see Burzio (1986).
Unlike ED, CD must be co-referential with the grammatical subject. This requirement makes a sentence like (25) ungrammatical, where the CD ti (2nd person singular) is not co-referential with the 3rd person singular subject. In contrast, ED does not exhibit this restriction, as illustrated by the sentence in (10a), repeated here as (25b):
| *Lucai | ti k | è | bevuto | una | birra. |
| Luca.3rd.SG | Cor.you.2nd.Sin | is | drunk | a | beer |
| Tommaso | ti | ha | vinto | il | primo | premio! |
| Thomas | ED.to you | has | won | the | first | prize |
| ‘Thomas won the first prize (and this affects you)!’ | ||||||
CD also differs from ED in other respects, such as the behavior in combination with ditransitive verbs. While ED is permitted in such contexts (see above), CD is not (I here repeat the sentence (14c) as 26b)):
| *Tu | ti | sei | regalato | un | libro | a | Laura. |
| you | CD.to you | you.are | given | a | book | to | Laura |
| Ti i | ho | regalato | io | le | scarpe | nuove | a Giulia k . |
| ED. to you | I.have | given | I | the | shoes | new | to Giulia |
| ‘It was me who gave new shoes to Giulia (and this affects you).’ | |||||||
Finally, CD can occur in relative clauses, while ED cannot:
| La | birra | che | ti | sei | bevuto | era | buona. |
| the | beer | that | CD.to you | you.are | drunk | was | good |
| ‘The beer that you drank was good.’ | |||||||
Based on these differences, I conclude that Co-referential Datives cannot be considered instances of Ethical Datives.
In this section I discussed various types of data that help us to distinguish ED from other types of non-argumental dative clitics. ED exhibits its own distinct characteristics, as shown above. It is important to note that the comparative focus of this section was primarily on identifying ED, rather than providing a comprehensive description of other dative clitics, which display a complexity only briefly touched upon here. Undoubtedly, ED possesses a unique grammatical identity, distinct from any other clitic. In the next section, I will thus present a comprehensive analysis of ED, with the goal of considering all their features and deriving them in a unified manner.
3 A syntactic proposal for ED: the Applicative Phrases approach
We have seen that ED is a non-core element – i.e., it is not directly involved in the core syntactic structure of a verb’s argument schema – that can be added to a sentence without affecting its compositional propositional meaning, thus being an expletive item in the current definition of ‘expletive’/‘pleonastic’ (Section 1). Recall that ED introduces a new individual into the sentence, preferably either the speaker or the hearer of the utterance, providing its own semantic and pragmatic contribution beyond strict grammatical meaning. Previous analyses attempted to explain the licensing conditions of non-core datives in the absence of semantic selection or theta-role assignment. More specifically, it has frequently been proposed that this additional individual is introduced into the syntactic spine by an applicative head, which selects and licenses the non-core dative (Cuervo 2020; Marantz 1984, 1993; Pylkkänen 2002, 2008). Consider, for example, the following sentences (Pylkkänen 2008: 1):
| John melted the ice. |
| John melted me some ice. |
The sentence in (b) introduces a new argument, realized as the indirect object and interpreted as the beneficiary of the melting event. According to the Applicative Phrases hypothesis, this additional argument is introduced by a syntactic head known as the applicative head. Based on the semantics of applicative heads, Pylkkänen (2002, 2008) proposed that they can be classified into two types: high and low Applicative Phrases (ApplPs) (see Baker 1996 for a similar approach).[15] High ApplPs describe a relationship between an individual and an event (29a); low ApplPs describe a relationship between two individuals, one of which is introduced by the applicative, while the other is the direct object of the verb, such as in ditransitive constructions (29b):
| Gli | ho | disegnato | il | primo | premio. |
| Cl.dat.to him | has | designed | the | first | prize |
| ‘I has designed the first prize for him.’ | |||||
| Gli | ho | regalato | una | macchina. |
| Cl.dat.to him | has | gave | a | car |
| ‘I gave him a car.’ | ||||
A high applicative introduces external arguments by simply adding an additional participant to the event described by the verb. In contrast, low applicative arguments have no direct semantic connection to the verb; instead, they establish a transfer-of-possession relationship with the direct object: for example, the possession of the car being transferred to the referent of the dative pronoun in (29b). High and low ApplPs can be distinguished based on their relationship with stative and unergative constructions. More specifically, Pylkkänen (2002) shows that only high ApplPs are compatible with these two types of constructions: (i) low applicative heads cannot occur if the direct object is absent, since they denote the relationship between the direct object and the indirect object of a verb; (ii) low applicative heads cannot occur with verbs that are completely stative since they imply a transfer of possession.[16] High applicative heads do not have these limitations.
Going back to ED, since it introduces a new individual into the sentence, it has been argued to constitute an instance of ApplP. For instance, Cuervo (2003) [17] proposes that Spanish dative arguments are always licensed syntactically and semantically by applicative heads. Similarly, Boneh and Léa (2010) and Roberge and Troberg (2009) adopt a comparable approach to French. Consequently, the first hypothesis that I want to pursue is that ED is an instance of an Applicative Phrase. Following Pylkkänen (2002), I assume that such an element is indeed a syntactic head (see also McGinnis 2008; Roberts 2010). From this assumption I will consider ED as the Head of an ApplP getting the dative case associated with these heads (Cuervo 2020; McFadden 2004; Pylkkänen 2008).
Cuervo moreover proposes that the variety of meanings displayed by a dative clitic relies on (i) what the complement of the applicative head is, and (ii) what the ApplP is a complement of. In the syntactic framework adopted here, this is equivalent to asking whether ED represents an instance of either high or low ApplP. Crucially, ED seems to depart from such a two-fold pattern, since it cannot occur in stative constructions with both the verbs to have and to be (30a–b) – following the low applicatives – but it can occur in unergative ones (30c)[18] – following the high applicatives (see Folli and Harley 2006; Boneh and Nash 2011 for similar considerations):[19]
| *Luca | mi/ti/gli/le/ci/vi | ha | due | macchine. |
| Luca | ED.to me/you/him/her/us/you | has | two | cars |
| *Luca | mi/ti/gli/le/ci/vi | è | affamato. |
| Luca | ED.to me/you/him/her/us/you | is | hungry |
| Tommaso | mi/ti/gli/le/ci | ha | dormito | tutto | il | pomeriggio. |
| Thomas | Ben.for me/you/him/her/us | has | slept | all | the | afternoon |
| ‘Thomas slept all afternoon long for my/you/his/her/our/your benefit.’ | ||||||
This departs from what Cuervo (2003) observes in Spanish, where ED is accounted for as a high applicative taking a dynamic agentive event (e.g., caminar ‘walk’, bailar ‘dance’) as its complement, being supported in stative constructions as well. Capitalizing on the difference between Spanish and Italian,[20] we can observe that ED in Italian is only restricted by the kind of actionality the verb assumes (statives, activities, accomplishments, and achievements) (Vendler 1957) – being unacceptable only in combination with stative predicates:[21]
| *Luca | mi | è | affamato. | (*stative) |
| Luca | ED.to me | is | hungry |
| Tommaso | mi | ha | camminato | tutto | il | pomeriggio. | (activities) |
| Thomas | ED.to me | has | walked | all | the | afternoon | |
| ‘Thomas slept all the afternoon long (and this affects me).’ | |||||||
| Lucia | mi | ha | digerito | tutto | senza | problemi. | (accomplishments) |
| Lucia | ED.to me | has | digested | all | without | issues | |
| ‘Lucia digested everything without issues (and this affects me).’ | |||||||
| Lucia | mi | è | partita | all’alba. | (achievements) |
| Lucia | ED.to me | is | left | at.the.dawn | |
| ‘Lucia left at the dawn (and this affects me).’ | |||||
According to Beavers (2011, 2013), predicates denoting activities, accomplishments and achievements can be traced back to the interaction between two properties: the notion of affectedness and two types of mereological complexity. These predicates can be regarded as a transition of a theme along a scale that delineates the change. Such a change is absent from stative predicates, thereby restricting the occurrence of ED. It is worth noting that ED is not restricted by other distinctions that these predicates may exhibit, such as telicity, i.e., the endpoint of the event described. ED can occur in both atelic and telic predicates.
| Lucia | mi | ha | corso | per | un’ora/? in un’ora. | (atelic) |
| Lucy | ED.to me | has | run | for | an.hour/in an.hour | |
| ‘Lucy run for an hour (and this affects me).’ | ||||||
| Tommaso | mi | ha | finito | il | Lego | ? per | un’ora/in un’ora. | (telic) |
| Thomas | ED.to me | has | ended | the | Lego | For | an.hour/in an.hour | |
| ‘Thomas has built the Lego in an hour (and this affects me).’ | ||||||||
Such a limitation forces us to dismiss Boneh and Nash’s (2012) analysis of French non-core datives as well, in which these are treated as secondary subjects to a stative predication. It’s worth noting that their analysis mostly focuses on cases of Benefactive and cannot in fact be extended to cases of ED. All in all, it seems that the Italian case displays some unique properties. To the best of my knowledge, the limitation with the stative predicate has not been observed in the earlier literature, including Masini’s (2012) work, which investigates in depth the distribution of such clitics.
Considering ED, it is therefore not possible to apply Pylkkänen’s distinction between high and low applicatives. Pylkkänen’s tests have been devised for ApplPs inside VP; the fact that they cannot be applied to sentences with ED may suggest that they are not in such positions. Here I want to follow this intuition, suggesting that ED is generated in a higher position, namely in the CP domain, above TP. Boneh and Nash (2011) made a similar proposal when discussing some French clitics. They suggest that there are two different types of high ApplPs: one that is upon RootP and one that is upon VoiceP, both being outside VP – the domain of high and low ApplP described by Pylkkänen. A similar proposal has been advanced by Michelioudakis and Kapogianni (2013), where ED is merged above v∗P/VoiceP. My analysis proposes that ED can be even higher than this, namely outside the thematic domain of the sentence, giving a formal analysis to what Masini (2012) alludes to when she states that “the Ethical Dative and Conversational Dative assign the trait of involvement (affectedness) to a ‘higher’ level, presumably at the level of the clause, linguistic act, or even conversational exchange” (Masini 2012; my translation). The next section is dedicated to the discussion on the advantages of this approach.
3.1 Ethical Dative and the CP-domain
The assumption that ED is the head of an ApplP generated in the CP domain of the clause can provide a unitary analysis for the numerous features characterizing ED, which are: (i) ED does not alter the compositional meaning of a sentence, as it does not belong to the thematic grid of the verb; (ii) ED predominantly appears in the 1st and 2nd person singular, although it also occurs in the 3rd person singular; (iii) ED obligatorily displays the clitic form and therefore cannot occur in the 3rd person plural form, as Italian lacks a corresponding clitic for this; (iv) ED is not required to be co-referential with the grammatical subject of the sentence; (v) ED can appear in sentences with ditransitive constructions; (vi) ED does not undergo A’-movement, such as wh-fronting, and, finally (vii) ED can appear in passive structures where the theme moves across the dative clitic to a preverbal subject position, but it is not as grammatical when the theme remains in situ. Let us consider these features in turn.
It has been proposed in the literature that non-core datives may be merged outside the thematic domain of the syntactic tree, specifically outside and above the v/V phrases (Boneh and Nash 2011; Wechsler 2020 and the references therein). From there, the ApplP “cannot introduce a new argument, and its function is restricted to assigning the interpretable feature [affectedness]” (Boneh and Nash 2011: 13). I will draw inspiration from this proposal, suggesting that the Italian ED is located even higher, being externally merged in the CP domain, once all predicative relations have already been established (see Moro 2020 and references therein):
| [CP ED [TP …]] |
Assuming that CP consists of an array of functional heads, as in the cartographic approach (see Rizzi 1997 and subsequent works; Cinque and Rizzi 2010), I propose that ED is merged in a position inside such a complex field, more exactly, in a position between FinP and TP (I consider here a simple version of the CP-domain):[22]
| [CP ForceP … (TopP*) … FocP … (TopP*) … FinP …. ApplP…[TP …]] |
It is important to note that the theoretical framework adopted does not affect the core essence of this proposal. For instance, within a minimalist approach, there is no impediment to the presence of a functional head that takes the TP as its complement, which is indeed the case in standard transitive affirmative sentences (Chomsky 2001).
Since Ethical Datives are clitics, they inherently function as heads (see Roberts 2010, and references therein). More interestingly, if ED is generated directly outside the TP, it becomes clear why it is not an argument of the verb and, consequently, why it does not affect the propositional meaning of the sentence – behaving like an expletive in this respect. On the other hand, it still plays a role in the interpretation of the sentence, introducing an “affectedness” relation between an individual and an event (see below), since it is merged in the layer where the discourse properties are established (Moro 2020). It should be noted that, assuming the theory of phases as formulated by Chomsky (2001, 2008, 2013), EDs are merged in a different phase than vP. This further explains why they do not affect the thematic core of the verb. As a matter of fact, the expletive interpretation of the dative clitic in the current proposal is due to its syntactic position inside the sentential spine.
Another direct consequence is that ED can co-occur with ditransitive verbs. In fact, if a verb cannot select more than two internal arguments and one external argument (Hale and Keyser 1993), ED can exist in a ditransitive construction only if it does not introduce any argument, since the verb has already saturated its maximal valency.
Assuming that EDs are heads of ApplPs (à la Roberge and Troberg (2009)), their clitic behavior follows (EDs can’t be PPs or overt pronouns) and, at the same time, we can also explain why they get Dat case (McFadden 2004; see below). In Cuervo’s approach, EDs cannot be represented as full dative PPs (or DPs in her analysis) due to their “defective” nature: they are heads that take an argument without projecting a specifier (hence the unavailability of a full dative DP). In my analysis there is no need to introduce such an ad hoc stipulation, since the ED has similarities with some other functional heads populating the left periphery of the sentences (cfr. Rizzi 1997). This is similar to what Jaeggli (1982: 18) proposes on ED, i.e., it represents a category of clitics that does not originate in object position, challenging Kayne’s (1975) movement theory of clitics – where clitics are initially generated in NP position and then moved obligatorily to the verb. Accordingly, ED does not exhibit alternations with any other post-verbal object position, providing compelling evidence that they are generated “by the base in their clitic position” (Jaeggli 1982: 18). The non-argumental status of a dative is also highlighted by the impossibility to be doubled by a full DP (Franco and Huidobro 2008, in line with Jaeggli 1982; Strozer 1976) (I here repeat the sentence (10)):
| Tommaso | ti | ha | vinto | il | primo | premio! |
| Thomas | ED.to you | has | won | the | first | prize |
| ‘Thomas won the first prize (and this affects you)!’ | ||||||
| *Tommaso | ti | ha | vinto | il | primo | premio | a te! |
| Thomas | ED.to you | has | won | the | first | prize | to you |
Moreover, this also takes into account the impossibility of having an ED of the 3rd person plural form, since Italian does not display any clitic of this category, but only the stressed pronouns “loro”.
Treating EDs as heads of high(er) ApplPs also allows us to consider their inability to occur in stative constructions (see sentences in (31)). More specifically, EDs maintain the core property of high applicatives as discussed by Pylkkänen (2002, 2008) – namely, (i) being merged (somewhere) above the VP and (ii) linking an entity to an event by some relation. However, if there is no event to be related to, as in stative constructions, ED cannot appear in such contexts. Assuming that “affectedness” is the semantic relation introduced by ED between an individual – such as the speaker or the hearer of the utterance – and an event (see Berman 1982; Masini 2012; Michelioudakis and Kapogianni 2013; Shibatani 1994 among many others),[23] ED can be interpreted as follows:
| ED: Appl affectedness = λx.λe. affectedness (e, x) |
This condition can only be applied if there is an eventive verb phrase complement that ED can take. Following a well-established tradition (Ramchand 2008), I assume that stative predicates do not display such an event and, accordingly, “there is no dynamicity/process/change involved in the predication, but simply a description of a state of affairs” (Ramchand 2008: 33). ED can therefore not select them, as evidenced by copular sentences (Greco et al. 2020; Moro 1997): ED can never occur in either canonical (37a) or inverse copular sentences (37c). In contrast, ED does occur with other raising verbs, such as become (37b–d), which display an eventive predicative structure absent from copular constructions.
| *Gianni | mi | è | il | presunto | colpevole. |
| John | ED.to me | is | the | alleged | culprit |
| Gianni | mi | è | diventato | il | presunto | colpevole. |
| John | ED.to me | is | become | the | alleged | culprit |
| ‘John became the alleged culprit.’ | ||||||
| *Il | presunto | colpevole | mi | è | Gianni. |
| the | alleged | culprit | ED.to me | is | John |
| Il | presunto | colpevole | mi | è | diventato | Gianni. |
| the | alleged | culprit | ED.to me | is | become | John |
| ‘The alleged culprit became John.’ | ||||||
This restriction does not apply to predicates denoting activities, accomplishments or achievements, as they do involve some change (Beavers 2011, 2013), which allows ED to be added (see the sentences in (31)).
The hypothesis proposed here also accommodates the behavior involving both the missing coreferentiality requirement on ED-subjects and passivization. Let’s start with the latter, even though the two phenomena are linked. We discussed above that ED appears in passive constructions regardless of the position of the theme, either in situ or in preverbal position, with a better result in the latter condition. It is worth noting that benefactives are ruled out in this condition, whereas the ED is still available (I here repeat the sentences (17) as (38)):[24]
| *L’erba | gli | è stata | tagliata |
| the.grass | to.him | is been | cut |
| dal giardiniere. | (Ben_Folli and Harley 2006: 127) | ||
| by.the gardener | |||
| Il | primo | premio | mi | è | stato | vinto | da Lucia! | (ED) | ||||||||
| the | first | prize | ED.to me | is | been | won | by Lucia | |||||||||
| ‘The first prize was won by Lucia (and this affects me)!’ | ||||||||||||||||
According to Folli and Harley (2006), when the theme moves beyond the dative clitic in the case of a benefactive, it causes a locality violation because the dative intervenes between the subject position and the theme. This follows from the fact that the base position of the dative in benefactives c-commands the theme’s base position. According to the current analysis, this does not happen with ED, where there is no such crossing violation. This is possible only if the clitic is merged above the subject position. More specifically, two distinct pre-verbal landing sites for Italian subjects have been proposed in the literature in order to accommodate both their structure requirements (ex. EPP) and their discourse properties: one high position linked to specific discourse properties – such as “D-linking” in Pesetsky (1987), “presuppositionality” in Diesing (1992), or as “criterial” in Rizzi’s 1997 framework (yet below the CP field) – and one low position associated with agreement (“AgrS” as per Cardinaletti’s 2004 definition). Leaving aside the disputes regarding these proposals, if ED is merged above the subject positions – particularly above AgrS, or whatever head is responsible for the subject agreement, this implies that ED is not constrained to being coreferential with the grammatical subjects. In that configuration, ED is not c-commanded by the subject and, therefore, an agreement relation is not available, resulting in the absence of a coreferentiality requirement. Moreover, given the discourse conditions usually associated with the preverbal higher subjects, such as the “quasi-topicality” effect noted by Chomsky (2002), this may account for the preference of ED to be associated with the preverbal subject, in contrast to what happens with the postverbal subject, as shown in passive constructions – when the theme is left in situ (I reported the sentences discussed in (16–17)):
| [Il primo premio i] | mi | è | stato | vinto [ti] | da Lucia! | (pre-verbal subj.) |
| the first prize | ED.to me | is | been | won | by Lucia | |
| ‘The first prize was won by Lucia (and this affects me)!’ | ||||||
| ?/* Mi | è | stato | vinto il | primo | premio | da | Lucia. | (post-verbal subj.) |
| ED.to me | is | been | won the | first | prize | by | Lucia | |
| ‘The first prize was won by Lucia. | ||||||||
This relation with the preverbal subject can be further strengthened by the co-occurrence of ED and topic constructions, such as Clitic Left Dislocation (Cecchetto 1999), where the topicalized element is signaled by the co-reference with a resumptive clitic lo immediately following the ED clitic:
| Il | primo | premio | me | lo | hanno | dato | a | Lucia. |
| the | first | prize | ED.to me | Cl.it | they.have | given | to | Lucia |
| ‘They gave the first prize to Lucia (and this affects me).’ | ||||||||
ED is indeed natural in such contexts, further suggesting its involvement in the discourse properties of the sentence. In a similar vein, the analysis proposed above also predicts that ED does not appear in causative constructions, since they exhibit an infinitival complement characterized by an “impoverished functional structure”, i.e., lacking the C-I phase (Roussou and Manzini 2024). This impoverishment also affects pronominal clitics, causing their inability to remain in the subordinate clause (41b) and forcing them to climb to the matrix causative verb (Guasti 1993, 2006) (41c):
| Ho | fatto | vincere | il | primo | premio | a | Lucia. |
| I.have | make.1SG | to.win | the | first | prize | to | Lucia |
| ‘I make Lucia win the first prize.’ | |||||||
| *Ho | fatto | vincer-le | il | primo | premio. |
| I.have | make.1SG | to.win.Cl.to her | the | first | prize |
| Le | ho | fatto | vincere | il | primo | premio. |
| Cl.to her | I.have | make.1SG | to.win | the | first | prize |
| ‘I make her win the first prize.’ | ||||||
ED cannot appear in causative constructions at all (42a), whereas other dative clitics, both argumental (41c) and non-argumental (benefactive) (42b), can:
| *Ti | ho | fatto | vincere | il | primo | premio | a | Lucia. |
| ED.to me | I.have | make.1SG | to.win | the | first | prize | to | Lucia |
| Le | ho | fatto | stirare | le camicie | dalla | mamma. |
| Ben.to her | I.have | make.1SG | to.iron | the shirts | by.the | mom |
| ‘I make mam to iron the shirts for her.’ | ||||||
This patter can be easily taken into account if ED is introduced in the CP domain directly: if the structure is CP-lacking, as in causatives (Roussou and Manzini 2024 and the references therein), there is no space for ED at all, and the movement to the matrix clause is not available as a rescue operation. On the other hand, this does not affect other cliticizations, for example Ben or argumental ones.
The hypothesis explored in this paper aligns with the spirit of Jouitteau and Rezac’s (2008) proposal for French ED, despite the latter’s lack of a formal analysis. Specifically, both studies posit that these constructions originate outside the domains responsible for thematic roles and syntactic movement (Case/A-movement). Pursuing this line, ED cannot control PRO, as Jaeggli (1982: 31) shows for Spanish (a) and Jouitteau and Rezac (2008: 104) for French (b):
| [PRO*i/ARB | cuidarla | tanto ] | me i | le | arruino | la | vida |
| Look.after.her | so.much | ED.to me | 3S.DAT | ruined | the | life | |
| a | mi | hija. | (Spanish) | ||||
| to | my | daughter | |||||
| ‘The fact that one (PRO-ARB) took so much care of her ruined my daughter’s life.’ | |||||||
| * ‘I taking so much care of her ruined my daughter’s life.’ | |||||||
| [PRO*ARB/*i/*j/*k/ l | trop | se | protéger] | tei | mej |
| too much | 3SE | protect | ED.to you | ED.to me | |
| nousk lui l | a | ruiné | le | caractère. | (French) |
| Cl.2P S.DAT | has | ruined | the | nature | |
| ‘Protecting herself too much ruined her character.’ | |||||
| [PRO*ARB/*i/k | Proteggendola | troppo] | lorok | me i | l’hanno | rovinata, |
| pretec.her | too much | they | ED.to me | Cl.her.have | ruined | |
| la | mia | bambina. | (Italian) | |||
| the | my | daughter | ||||
| ‘They ruined her protecting her too much, my daughter.’ | ||||||
Note that other clitics, either dative or accusative, can control PRO. Only ED fails in this respect:
| Glii | ho | regalato | un | libro | da PROi | leggere | in estate. | (core_dat) |
| Cl.to him | I.have | given | a | book | to | to.read | in summer | |
| ‘I gave him a book to read during summertime.’ | ||||||||
| Li’ho | visto PROi | mangiare | la | pasta. | (core_acc) |
| Cl.him.I.have | seen | to.eat | the | pasta | |
| ‘I saw him eating the pasta.’ | |||||
Assuming that ED is outside the thematic domain takes into consideration this fact as well.
The high position of ED also predicts the impossibility of it undergoing any type of A’-movement (Michelioudakis and Kapogianni 2013), such as wh-movement, since the high position of ED does not provide any coherent contexts where locality conditions on movement can be fulfilled (such as selection or similar principles[25]).
Finally, this is also consistent with the enclitic nature of ED in infinitival clauses:
| ‘Mi | è | capitato | di | incontrar-ti | Gianni | al | mercato.’ |
| Cl.to.me | is | happened | to | meet-you.ED | Gianni | in | the market |
| ‘It has happened to me to meet Gianni in the market (and this affects you).’ | |||||||
If ED serves as the head of an ApplP, it may become a suffix of the infinitive verb through Head-to-Head movement, wherein the non-finite verb moves towards the Fin°, preceding the ED: [ForceP … [FinP [incontrari- [AppP [ti]] … [TP ti]]].
Consider that the “high” position of ED should not be viewed as an isolated phenomenon in Italian. In fact, it has been independently proposed for other expletive functional words, such as (i) negation – in both ‘Surprise’ negative sentences (Greco 2020b; Halm and Huszár 2021) and negative exclamatives (see, among others, Delfitto and Fiorin 2014; Espinal 1997; Villalba 2004; Zanuttini and Portner 2003) – and (ii) coordination structures (Poletto 2005). Specifically, the following Italian surprise negative sentence simultaneously exhibits all these expletive elements (in italics), i.e., coordination, negation, and ED.
| E | non | mi | è | scesa | dal treno | Maria?! | (Greco 2020a: 776) |
| and | NEG | CL.to me | is | got | off-the train | Mary | |
| ‘Mary got off the train! (and this surprised me and affects me)!’ | |||||||
The meaning of this sentence can be fully paraphrased as ‘That Maria got off the train is a surprise.’ Despite the presence of the negative marker non, the sentence remains affirmative and negation must therefore be considered expletive – according to the definition I gave in Section 1 – since it does not make a contribution to the truth conditions associated with the sentence. Moreover, the sentence is introduced by a coordination that lacks a left-branching phrase and does not seem to coordinate anything (Poletto 2005), instantiating another case of expletive item since it fails in its propositional role. In Greco’s analysis of surprise negative sentences, negation is externally merged in the CP-domain after the v*P-phase has closed and the entire TP has raised to focalization. This accounts for the sentence’s affirmative meaning, as negation loses its ability to reverse the polarity of the proposition (see the original works for a more detailed discussion). Similarly, Poletto (2005) proposes that the expletive coordination can appear in the fronting position as a topic marker occupying a functional projection in the CP field that is parasitic on focalization. Note that these elements interact with the presence of ED. Specifically, although ED is optional, it makes surprise negation sentences more natural (Greco 2020a) and seems to enforce the expletive reading of negation in negative exclamatives.
| Quanto | non | ha | camminato | Gianni! | (Exclamative_no ED) |
| how.much | neg | has | walked | John | |
| ‘How much John has not walked!’ (he refuses to walk for most of the time) | |||||
| ‘How much John has walked!’ (he walked for most of the time) | |||||
| Quanto | non | mi | ha | camminato | Gianni! | (Exclamative_with ED) |
| how.much | neg | ED.to me | has | walked | John | |
| ‘*How much John has not walked!’ (he refuses to walk for most of the time) | ||||||
| ‘How much John has walked!’ (he walked for most of the time) | ||||||
The negative exclamative in (47a) is ambiguous between a standard negation reading, where it reverses the polarity of the sentence, and an expletive negation reading, where it does not reverse the polarity but instead provides a universal evaluation of an event (e.g., ‘John walked a lot’). This ambiguity arises because standard and expletive negation in Italian share the same negative morpheme non (‘not’). However, in the negative exclamative in (47b), the presence of ED forces the interpretation towards the expletive negation reading, ruling out the standard one. According to Greco (2021), the different readings in negative exclamatives can be traced back to the twofold derivation of negation: when the negative marker ‘not’ is integrated into the TP-domain – as traditionally assumed in the literature (Zanuttini 2001 and references therein) – it results in a standard negation reading; when it is positioned higher, specifically in the CP-domain, it results in an expletive negation reading, as seen in the surprise negation sentence above.[26] All in all, the activation of the CP field appears to be crucial for deriving the expletive reading of functional words and the analysis proposed here for ED aligns well with this tendency. Note that dative clitics, negation, and coordination seem to fail in their usual semantic contributions, but they do not lose their syntactic nature.
Overall, analyzing ED as a higher Applicative Phrase has the beneficial outcome of accounting for many of the characteristic features of ED discussed earlier. However, one property of ED does not seem to follow from the syntactic representation in (34), such as their preference to be realized by the 1st and 2nd person singulars (i.e., mi and ti). There is no a priori reason to expect such behavior, as the event described in the sentence can affect any individual, including a third party in addition to the participants in the speech act. In the next section, I will delve into this point.
3.2 Ethical Dative and Speech Act Phrases
According to some scholars (Delbecque and Lamiroy 1996; Roberge and Troberg (2009); see Michelioudakis and Kapogianni 2013 for an overview), the 3rd person singular is not as acceptable as ED as the 1st and 2nd persons. As discussed above, some cases seem to confirm this preference, as evidenced by the following negated sentence expressing surprise (I here repeat the sentence in (8) as (48)):
| E | non | mi/ti | ha | incontrato | Maria | in | stazione?! |
| and | NEG | CL.to me/you | has | met | Mary | in | train.station |
| ‘S/he met Mary in the train station! (and this surprised me/you and affects me/you)’ | |||||||
| ?/*E | non | gli | ha | incontrato | Maria | in | stazione?! |
| and | NEG | CL.him | has | met | Mary | in | train.station |
This preference can be traced back to some independent principles. It can be important to consider the relationship between the speaker and the hearer concerning both attention-seeking and bonding. More specifically, it has been suggested (Speas and Tenny 2003) that certain pragmatic information, such as some markers in languages like West Flemish and Romanian (Haegeman and Hill 2013), are syntactically represented by a functional predicative structure, i.e., a Speech Act Phrase (SAP) (Cinque 1999). SAPs dominate the left periphery of a sentence, instantiating the interface between syntax and conversational pragmatic. This realizes what Kratzer (1999) introduced in her famous paper on the “interpersonal” value of some expressions that indicate the speaker’s attitude or commitment towards the utterance’s content and/or their relationship with the interlocutor. They can be described as “conversational”, presupposing direct contact between the speaker and the interlocutor. Therefore, they would be inappropriate in formal discussions. In their seminal work, Speas and Tenny (2003) propose that a SAP comprises at least three sub-phrases: the speaker, the utterance content, and the hearer. Ethical Datives, in this context, function specifically to highlight a person – either the speaker or the hearer – who is affected by the event described by the sentence. An intuitive explanation for the preference of ED towards the 1st and 2nd person singular is to adopt Speas and Tenny’s hypothesis. One can assume that the speaker and the hearer of an utterance are operators capable of binding a variable realized in the [Head, ApplP] position, which corresponds to our Ethical Dative. If the speaker binds this variable, the ED will exhibit 1st-person agreement; if the hearer binds the variable, the ED will exhibit 2nd-person agreement (see the original work for the binding mechanism underling SAPs).
| [SAP Speakeri Hearerj [CP … mi i /ti j [TP … ]]] |
This syntactic explanation could clarify why the ED shows a preference for the 1st and 2nd persons, and why the 3rd person is less acceptable to some speakers. While the ‘affectedness’ property is always conveyed by the ED, the realization of person is constrained by the SAP. As for the 3rd person singular, it can be proposed (Michelioudakis and Kapogianni 2013) that some logophoric operators are present, ensuring the correct interpretation of 3rd-person pronouns as reported speakers or hearers in indirect speech (see the original works for a more detailed description of these operator–variable relationships).
Notably, in the analysis proposed here, ED is introduced by the ApplP rather than by SAP, which differs from the proposals of other scholars (see, among others, Delbecque and Lamiroy 1996). This approach has the advantage of accounting for all the syntactic and semantic phenomena caused by ED, which might otherwise be difficult to consider only from an SAP point of view. Therefore, it is important to recognize that the reference to SAPs is just one hypothesis that can explain the preference for the 1st and 2nd person singular (see, for example, Ross 1970 for a critique of this idea) and the pragmatic interpretation of ED. This further specifies the role that ED plays beyond grammatical meaning. However, regardless of the theory one assumes, it is incontrovertible that there are crosslinguistic differences between the 1st and 2nd person versus the 3rd person (Bloomfield 1938; Halle 1997). As Speas and Tenny (2003: 330) state, “only the participants in the speech act – the speaker and the addressee, represented by 1st and 2nd person – have true grammatical person”.
4 Conclusions
Natural languages contain elements that do not contribute to the compositional (propositional) meaning of a sentence. In this paper, I referred to these elements as “expletives”/“pleonastic”. Among these, certain forms, such as the Ethical Dative, are less studied. The ED serves the specific function of identifying a person who is affected by the event described in a sentence. This is exemplified by the Italian sentence Tommaso mi ha camminato fino al parco da solo (literally, ‘Thomas ED has walked to the park alone’, meaning ‘Tommaso walked to the park alone’). In this study, I have described key aspects of the Italian ED, distinguishing it from other non-core datives such as Benefactive and CD, and I have proposed a syntactic analysis for it. Specifically, I have shown that (i) ED does not alter the propositional meaning of a sentence, as it does not belong to the thematic grid of the verb; (ii) ED preferably appears in the 1st and 2nd person singular, although it also occurs in the 3rd person singular; (iii) ED obligatorily displays the clitic form and therefore cannot occur in the 3rd person plural form, as Italian lacks a corresponding clitic for this; (iv) ED is not required to be co-referential with the grammatical subject of a sentence; (v) ED can appear in sentences with ditransitive constructions; (vi) ED does not undergo A’-movement, such as wh-fronting; (vii) ED can appear in passive structures, where the theme moves across the dative clitic to a preverbal subject position, but is not as grammatical when the theme remains in situ; (viii) ED in Italian is restricted by the kind of actionality the verb assumes, being unacceptable in stative predicates; (ix) ED does not control PRO; (x) ED naturally occurs in sentences with expletive functional words, such as negation and coordination and, finally, (xi) ED cannot appear in causative clauses, neither in the matrix clause.
To derive all these features in a unified manner, my analysis relies on the well-known Applicative Phrase framework, proposing the following schema (I here repeat the schema in (33)):
| [CP ED [TP …]] |
| [CP ForceP … (TopP*) … FocP … (TopP*) … FinP …. ApplP…[TP …]] |
I have argued that a non-core/non-argumental dative can be introduced as the head of an Applicative Phrase generated outside and above the thematic domain of the syntactic tree, specifically in the CP domain. This positioning accounts for its expletive nature and various other properties. Additionally, I have referenced the Speech Act Phrases theory to explain the preference of the ED for the 1st and 2nd person singular as well as their pragmatic contribution.
From this perspective, I can further confirm that expletive elements – i.e., those that do not contribute to the propositional meaning of a sentence – do not exist in the conventional sense, as their interpretative nature depends on their syntactic configuration, consistent with previous proposals for negation and coordination in Italian. A broader definition of expletiveness should then be considered, i.e., one where an element does not impact the truth conditions associated with a sentence, being merged in the syntactic layer where the discourse properties are established, i.e., the CP. This does not mean that ED does not contribute in any sense to the meaning of the sentence. In fact, ED plays a semantic role in a different domain, beyond grammatical meaning, representing speakers’ subjective evaluation of an event described by a sentence highlighting the perspective of the affectee of the situation.
Funding source: Ministero dell’Università e della Ricerca
Award Identifier / Grant number: P2022Y5CWX
Acknowledgments
I began working on the ethical dative during a period of study at Yale University under the direction of Raffaella Zanuttini and Jim Wood. Although I set this object of study aside for several years, the foundation of this article stems from that experience, and I extend my gratitude to both of them. I would also like to thank both Hannah Booth and Kim Groothuis for organizing the workshop at the Societas Linguistica Europaea 56th annual meeting – where I first presented part of this research – and for their great suggestions for improving this paper. I am also grateful to the audience at this conference. Special thanks go to Andrea Moro, Davide Mocci, Xavier Villalba and M. Teresa Espinal, with whom I discussed various issues of this paper. I also thank the anonymous reviewers of Linguistics and the Editor-in-Chief, Prof. Volker Gast, for their constructive comments on previous versions of the paper. Finally, I thank Gigi Giraffa for confirming some grammaticality judgments for me. All remaining errors are, of course, my own.
-
Research funding: This work was supported by the European Union- Next Generation EU, Mission 4, Component C2 (M4C2), CUP I53D23006900001, Grant no. P2022Y5CWX - PRIN PNRR 2022, Project name: REAding CompreHension for inclusion (REACH): analyzing and enhancing the comprehension of syntactic and semantic structures in children with linguistic fragilities.
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