EMBEDDED NULL SUBJECTS IN BRAZILIAN PORTUGUESE*
Simone Guesser
University of Siena

1.

Introduction

The weakening of verbal morphology in Brazilian Portuguese (henceforth BP) has led
this language to the loss of referential null subjects.1 However, there are two types ofreferential null subjects which are still widely used. The first is the null subject in matrix
clauses illustrated in (1). The second is the embedded null subject coreferent with the subject
in the matrix clause, as illustrated in (2).
(1)

Compreibought-1sg

um carro novo
a new carontem.
yesterday‘I bought a new car yesterday.’(2)Joãoi disse
Johni said

que eci comprou um carro novo.
that eci bought a new car‘John said that he bought a new car.’
Considering that BP has lost its pro-drop property, it has been frequently discussed how nullsubjects could still be licensed in these two specific contexts.
However, more detailed studies have pointed out that these subject omissions have somepeculiarities which are not found in null subject languages. This observation therefore has led
some researchers to hypothesize that the null subjects illustrated in (1) and (2) probably are
not genuine null pronouns. Consequently, an inquiry was started in order to identify whichgrammatical properties could determine their existence.
Null subjects in matrix clauses like (1) are restricted to the first position in the clause andmust refer to an element contained in the previous discourse. Therefore these null subjects are* I am deeply grateful to professors Adriana Belletti, Luigi Rizzi, Keiko Murasugi and Mamoru
Saito for giving me the opportunity to participate in the Nanzan Consortium. I also thank all theparticipants in the Siena-Tsinghua-Nanzan Joint Workshop on Linguistic Theory and Language
Acquisition for fruitful discussion, in particular Tomohiro Fujii and Tomoko Kawamura for linguistic
and non linguistic help.
1

There is a wide literature concerning the loss of referential null subjects in BP as well as its
correlation with the reduction of the inflectional paradigm. See the diachronic studies by Duarte(1996), the work by Figueiredo-Silva (1996) and the papers in Kato & Negrão (2000), among others.
Nanzan Linguistics: Special Issue 5, 55-78©2008 Simone Guesser

Nanzan Linguistics: Special Issue 5interpreted as instances of Topic Drop, a phenomenon found in languages like German (cf.
Figueiredo-Silva 1996 and Rodrigues 2002).
On the other hand, different analyses have been proposed in order to explain the natureof the embedded null subject illustrated in (2). More recently, Ferreira (2004) has proposedthat this indeed is not a genuine null pronoun but a trace of a hyperraising operation.2
According to this analysis, a sentence like (2) would have the derivation in (3):(2)

Joãoi disse
Johni said

que eci comprou um carro novo.
that eci bought a new car‘John said that he bought a new car.’
(3)

[TP

João Tфcomplete[vP ti disse [CP que [TP ti Tфincomplete [vP ti comprou um carro novo]]]]]
Johni
said
that
ti
bought a new car

Assuming this derivation, Ferreira (2004) can explain all the syntactic and interpretive
properties of the embedded null subjects in BP as the result of constraints on movement
operations, namely Minimal Link Condition and C-command Condition. One relevant aspectin Ferreira’s (2004) analysis is that it is linked to a highly debated topic in Generative
Linguistics, that is the possibility for an element to move from one thematic position toanother. Traditionally it has been assumed that A-chains must have only one thematic
position. This restriction is expressed by the Thematic Criterion in Government and Binding
theory and, even if it is formulated in different ways, it has remained valid until the mostrecent studies in the Minimalist Program (cfr. Chomsky 1995).
However, this traditional vision has been rejected in some recent works, particularly inHornstein’s (1999) analysis of obligatory control structures in English. Hornstein (1999)
proposes that control structures like (4a), generally analysed as in (4b), have the derivation
illustrated in (4c). As shown in (4c), the subject John is merged in a thematic position in theembedded infinitive clause and then is moved to the matrix clause, picking up another theta
role.
(4)

a.

John hopes to leave.

b.

Johni hopes [PROi to leave]c.

[IP Johni T [vP ti hopes [IP ti to [vP ti leave]]]]Hornstein’s approach caused a vivid discussion, to which Ferreira’s (2004) analysis ofembedded null subjects gives an interesting contribution. To the extent that this analysis can
explain the peculiarities of embedded null subjects in Brazilian Portuguese, it can be taken asa support to the theory of movement which allows movement to thematic positions.

2

A proposal along these lines is developed by Rodrigues (2002).

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Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

In this paper I discuss Ferreira’s analysis and point out some problematic aspects of it.
Based on the work by Rizzi (2006) on the form of chains, I consider some principles on thedelimitation of chains which are incompatible with hyperraising and movement to thematic
positions. In addition to this theoretical problem, I show that the analysis also suffers fromsome empirical inadequacies in that some of the properties of embedded null subjects in BP
cannot be fully explained in terms of hyperraising. To conclude, I suggest that thepeculiarities of embedded null subjects in BP become clearer if we adopt the approach
proposed by Huang (1984) to languages like Chinese. According to Huang, in theselanguages embedded null subjects are not identified by the inflection. Differently from what
happens in pro-drop languages, the identification is obtained through coindexation with theclosest c-commanding NP.
2.

Embedded Null Subject in Brazilian Portuguese and Ferreira’s (2004) Analysis

The main characteristic of embedded null subject in BP in contrast to null subjects in
pro-drop languages is that it must have an antecedent located in a higher clause. Sentences
like those illustrated in (5), where there is no antecedent to the embedded null subject, areungrammatical in BP.
(5)a.

* A Mariai disse
Mariaisaid

que ecj canto bem.
that ecj sing well

‘Maria said that I sing well.’b. * proexpl parece que ec
proexpl seems that ec

tinha telefonado.
hascalled‘It seems that she has called.’
Furthermore, coreference between the null subject and the antecedent is constrained in a waythat recalls the restrictions imposed to movement operations. For example, the null subject
must have an antecedent located in the immediately higher clause, as shows (6a) in contrast
with (6b-c). Moreover, embedded null subject cannot occur inside certain strong islands, likerelative clauses, and take an antecedent outside the island, as shown in the examples in (7)3:(6)

a.

Joãoi acha [queJohni thinks [thateci é esperto].
eci is smart-masc]‘John thinks that he is smart.’

3

Examples extracted from Ferreira (2004).

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Nanzan Linguistics: Special Issue 5b. * Joãoi disse
Johni said

[que
[that

a Maria acha [queMarythinks [thateci é esperto]].
eci is smart-masc]]‘Johni said that Mary thinks that hei is smart.’c.

* A mãe do Joãoi
Johni’s motheracha [quethinks [thateci é esperto].
eci is smart-masc]‘Johni’s mother thinks that hei is smart.’(7)a.

* Joãoi
Johni

não
not

gostou dos livros [quelike the book [thateci leu[eci readna scola].
in the school]]‘John didn’t like the books that he read in the school.’b. * Joãoi disse que [as meninas
Johni said that [the girls
eram estrangeiras.
were foreigners

[que
[that

eci encontrou
eci metna rua]]in the street]]‘John said that the girls that he met in the street were foreigners.’
Considering the data illustrated in (5)-(7), Ferreira (2004) argues that embedded nullsubjects in BP involve a movement operation. According to Ferreira, embedded null subject
is a trace resulting from hyperraising. In other words, it is a trace of the movement of theembedded subject from Spec,TP of the embedded finite clause to Spec,TP of the matrix
clause.
Ferreira proposes that the possibility of having null subjects from hyperraising is due tothe fact that BP has a finite T with an incomplete set of ф-features. He assumes that the
weakening of verbal morphology in BP has led this language to have this kind of finite T.
Because this finite T, like a non finite T, has an incomplete set of ф-features, it is unable toeliminate the Case feature of an element moved to its Spec.
Under this assumption, Ferreira (2004) proposes that a sentence with embedded nullsubject like (2), repeated in (8) below, has the derivation illustrated in (9):(8)

Joãoi disse
Johni said

que eci comprouthat eci boughtum carro novo.
a new car

(9)

[TP Johni Tфcomplete [vP ti said [CP that [TP ti Tфincomplete [vP ti bought a new car]]]]]The numeration underlying the derivation in (9) has one ф-complete finite T and one
incomplete finite T. The ф-incomplete finite T is merged in the embedded clause. The subjectJoão raises from its thematic position in the embedded vP to the Spec of embedded TP. At
this derivational step, the set of ф-features of T and the subject João establish a checking
relation and, consequently, the ф-features of T are eliminated. Since the set of ф-features of T-58-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

is incomplete, the Case feature of the subject João is not eliminated. After successive
applications of merge, the matrix vP is merged. Then, João raises to the Spec of the matrix v
and checks its thematic feature. Then, matrix T with a complete set of ф-features is mergedwith vP, and João raises to its Spec. At this step we obtain another checking relation between
the ф-features of the subject and the matrix T, and consequently the ф-features of T and theCase feature of João are eliminated.
Assuming the derivation in (9), the restrictions on embedded null subjects like the onesin (6) and (7) are interpreted as restrictions imposed on the movement of the embedded
subject to the matrix clause. Consider again the contrast illustrated in (6):(6)

a.

Joãoi acha [que eci é esperto].
Johni thinks [that eci is smart-masc]‘John thinks that he is smart.’b. * Joãoi disse
Johni said

[que
[that

a Maria acha [que eci
Marythinks [that eci

é esperto]].
is smart-masc]]‘John said that Mary thinks that he is smart.’c.

* A mãe do Joãoi
Johni’s motheracha [que eci é esperto].
thinks [that eci is smart-masc]‘John’s mother thinks that he is smart.’
Following Ferreira’s analysis, a sentence like (6b) is ungrammatical because the raising of thesubject João from the Spec of the embedded TP to the Spec of the matrix vP violates the
Minimal Link Condition, since Maria is closer to the matrix vP than the subject João. (6c) is
ungrammatical because the movement of João to the matrix TP violates the c-command
Condition, since the copy of João in the Spec of the embedded T is not c-commanded by the
copy in the matrix clause. Regarding the impossibility of having null subjects inside relative
clauses illustrated in (7), sentences like (7a) and (7b) are ill-formed because relative clauses
are barriers for movement.
Ferreira (2004) argues that if we assume his analysis, we can also explain the following
properties of embedded null subjects in BP:
A) Embedded null subjects freely alternate with overt pronouns. In BP a sentence with an
overt embedded subject like (10b) can be also used in neutral situations (without emphasis orcontrast), differently from what happens in null subject languages like Italian and Spanish. In
other words, the data in (10) suggest that BP violates the Avoid Pronoun Principle, which
establishes that whenever an alternation null/overt pronoun is possible, the null pronoun ispreferred.

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Nanzan Linguistics: Special Issue 5(10) a.

Joãoi disse
Johni said

que eci comprou um carro novo.
that eci bought a new carb.

Joãoi disse
Johni said

que elei comprou um carro novo.
that hei bought a new car‘John said that he bought a new car.’According to Ferreira’s analysis, the alternation in (10) is possible because it isn’t thealternation expressed by the Avoid Pronoun Principle. In BP, sentences with an overt
embedded subject like (10b) are used in neutral situations because in this language there is noreferential pro. On the other hand, sentences with embedded null subjects like (10a) canalternate with embedded overt subjects because BP has the option of hyperraising.
B) Embedded null subjects cannot take split antecedents, as illustrated in (11):(11) *Joãoi disse
Johni said

[que
[that

a Mariaj acha [queMaryjthinks [thatecij são espertos]].
ecij are smart-pl]]‘John said that Mary thinks that they are smart.’
According to Ferreira’s analysis, the embedded null subject in (11) cannot refer to both theelements João and Maria because two elements cannot be moved from the same position(embedded Spec, TP).
C) Embedded null subjects show a mixed behaviour regarding weak islands. For instance, in
embedded wh-questions like those in (12), if the wh-phrase in the embedded Spec,CP is an
adjunct, then the null subject is allowed in the embedded clause (cf. (12a)). On the other hand,
if the wh-phrase is an argument, then the use of the null subject makes the sentence degraded,
as illustrated in (12b-c).
(12) a.

Joãoi nãoJohni notsabe [quando eci perdeu esse livro].
know [when eci lost
this book]‘John doesn’t know when he lost this book.’b. ?? Joãoi não
Johni notsabe [que livro
know [which bookeci leu na semana passada].
eci read last week]‘John doesn’t know which book he read last week.’c.

? Joãoi nãoJohn notsabe [pra quem eci emprestou este livro].
know [to whom eci lent
this book]‘John doesn’t know to whom he lent this book.’
According to Ferreira’s analysis, the explanation for this contrast is the following: insentences like (12b-c) the subject João raises from embedded TP to the matrix Spec,vP in-60-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

order to check the thematic feature of v and receive its second theta role. This kind of
movement causes a minimality violation because the wh-phrase in the Spec of the embedded
CP has the relevant features to check the thematic feature of v. On the other hand, sentences
like (12a) are grammatical because the wh-phrase in the embedded CP is an adverb. As such,it does not have the relevant features to check the thematic feature of v and consequently it
does not block the movement of the embedded subject to the matrix v.
D) Embedded null subjects in BP have a different behaviour from the one of an overt
embedded subject in sentences in which the matrix subject has the form [Only DP], as
illustrated in (13). It also has a different behaviour in VP-ellipsis structures like (15).
Only DP:(13) a.
Só o João
only John

acha que ele vai ganhar
thinks that he will winacorrida.
the race‘Only John thinks that he will win the race.’b.

Só o João
only John

acha que ec
thinks that ec

vai ganhar
will winacorrida.
the race‘Only John thinks that he will win the race.’
Given a group of persons, in (13a) John is the only person who believes in John’s victory, inother words, Mary does not believe that John will win the race. Differently, in (13b) John isthe only person who believes in his own victory, in other words, Mary does not believe that
she will win the race.
According to Ferreira (2004), the different readings between overt and null subjects inexamples like (13) is due to the fact that while a sentence like (13a) is associated with thepredicate in (14a), a sentence with embedded null subject like (13b) is associated with thepredicate in (14b), where the matrix and the embedded subject are related to each otherthrough movement.
(14) a.
b.

[λx. x thinks that John will win the race][λx. x thinks that x will win the race]

VP-ellipsis:(15) a.
Joãoi acha que elei vai ganhar
Johni thinks that hei will winb.

acorridathe raceeanda Maria também.
Mary
too

‘John thinks that he will win the race and Mary too.’(strict/sloppy reading)Joãoi acha que eci vai ganhar
Johni thinks that eci will win

a Maria também.
Mary
too

a corrida
the raceeand‘John thinks that he will win the race and Mary too.’-61-(sloppy reading)Nanzan Linguistics: Special Issue 5

A sentence with an overt embedded subject like (15a) is ambiguous: it can have a strictreading, as paraphrased in (16), or it can have a sloppy reading, as paraphrased in (17). On theother hand, in a sentence with embedded null subject like (15b) only the sloppy reading in(17) is available.
(16) Johni thinks that hei will win the race and Mary thinks that hei will win the race.
(strict reading)(17) Johni thinks that hei will win the race and Maryj thinks that shej will win the race.
(sloppy reading)
Assuming an analysis for ellipsis that involves a copy of the elided constituent (Fiengo& May 1994), Ferreira explains the asymmetry in (15) as follows. If embedded null subject in
BP is a trace of the subject raised to the matrix clause, then in sentences like (15b) the nullsubject of the elided embedded clause must refer to the matrix subject Maria. Consequently,(15b) has the sloppy reading illustrated in (17). On the other hand, in (15a) the subject of theelided embedded clause is an overt pronoun, hence it is not related to the matrix subject
through movement. This allows for the subject of the elided embedded clause to have twodifferent interpretations: it can refer to the subject Maria in its own clause (obtaining thesloppy reading in (17)), or it can refer to the subject João in the coordinate sentence(obtaining the strict reading in (16)).
On the one hand, most of the properties of embedded null subjects in BP can be
explained assuming the analysis in terms of hyperraising and movement to thematic positions,as proposed by Ferreira (2004). On the other hand, we notice some problems with this kind ofanalysis, once we consider the discussion in Rizzi (2006) about the form of chains. In thefollowing section I illustrate the main ideas of Rizzi’s (2006) approach.
3.

Rizzi (2006): On the Form of A’-chains

Rizzi’s (2006) approach highlights some principles of chain delimitation which areincompatible with hyperraising. Rizzi (2006) characterizes A’-chains as connecting an sselection position to a criterial position. S-selection positions are dedicated to Theta
assignment to arguments and to assignment of interpretive properties to non-arguments, likemodifiers and adverbials. Criterial positions are dedicated to the assignment of scope anddiscursive properties, like focus and topic.
(18) ... criterial .......

s-selection ...

A’-chains of the kind shown in (18) are created in order to satisfy a requirement
involving the interface with semantics, for which certain natural language expressions need to
be associated with two kinds of interpretive properties: argumental and scope/discourse
properties. For example, in the sentences in (19), the phrase [D book] must receive both theinterpretative property “patient of the verb read” and the interpretation of interrogative-62-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

element (19a), topic (19b) and focus (19c). In order to achieve this duality of interpretations,the phrase moves from the position of complement of the verb read to a position in the left
periphery, dedicated to the interpretation of topic, focus or interrogative operator. We thus
obtain a chain which links two positions:(19) a.

Which booki should you read ti?

b.

This booki, you should read ti.

c.

THIS BOOKi you should read ti (rather than something else).

(Rizzi 2006)

S-selection and criterial positions are relevant for the interface with semantics and form
the backbone of A’-chains. In addition, chains must involve intermediate positions in between
s-selection and criterial positions.4 Intermediate positions are not motivated by interface
needs, but by locality principles (according to which movement cannot be too far away). Thus,
intermediate positions are steps that allow an element to reach a criterial position.
Rizzi provides empirical evidence showing that A’-chains are constrained in thefollowing way:
“Chains begin at an s-selection position and terminate at a criterial position,and such positions are unique, each chain has exactly (or at most) one
position of each kind.” (Rizzi 2006: 11)
Therefore, the three following situations cannot happen in A’-chains:
1) An argument cannot be merged in a non-Theta-position, and then be moved to a Thetaposition to pick up its Theta-role. One kind of evidence for this constraint is the contrast
illustrated in (20) (originally addressed by Chomsky 2000). (20) shows that it is impossible tohave a derivation like (20b), where the pronoun I is merged in the Spec of the embedded TP
in order to check the EPP feature of T, and then raised to the subject position of the verb
expect, in order to receive its theta role.
(20) a.
I expected [TP a proof to be discovered t]b. * I expected [TP t to be discovered a proof]
2) An argument cannot be merged in a Theta-position and then pick up another Theta-rolethrough movement.
For instance, control structures cannot be derived by movement of the subject from thelower subject position to the matrix clause, in contrast to Hornstein’s (1999) approach. A
crucial evidence against this kind of derivation in control structures is that they lackreconstruction effects typical of raising structures. Consider, for example, the reconstruction
4

See Rizzi (2006) and references cited there for a detailed discussion about the various syntactic,
morphosyntactic and interpretive evidence for intermediate positions.

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effect illustrated in (21a). In (21a) the anaphor each other raised to the matrix clause can bebound by the men under reconstruction (cfr. Belletti & Rizzi 1988). If subjects of control
structures were derived by movement, we would expect the same kind of reconstruction
effect in (21b), contrary to facts.
(21) a.

Friends of each other seemed [t to amuse the men t]b. * Friends of each other wanted [PRO to amuse the men t]3) Positions higher than the criterial position are not allowed to occur in A’-chains. An
empirical indication which suggests the presence of this constraint is illustrated in (22b). It
shows that in a structure involving both an indirect question and a main question, a wh-phrase
cannot satisfy the Wh-Criterion in the embedded CP and successively move to the main C
system.
(22) a.

Bill wonders [which book CQ [she read t]]b. * Which book CQ does Bill wonder [t’ CQ [she read t]]?
The same constraint can be illustrated by the contrast between the Italian sentences in (23):(23) a.

Mi
domandavo quale RAGAZZA
CL.refl ec wondered-1sg which GIRL
non quale ragazzo.
not which boy

ec

avessero scelto,
had-3pl chosen,‘I wondered which GIRL they had chosen, not which boy.’b. * Quale RAGAZZA mi
which GIRL
CL.reflnon quale ragazzo.
not which boy

ecdomandavo
wondered-1sg

ec

avessero scelto,
had-3pl chosen,‘Which GIRL I wondered they had chosen, not which boy.’(23a) shows that in Italian a wh-phrase moved to the embedded CP in order to satisfy the QCriterion, like quale ragazza/which girl, can also be contrastively focussed in that criterial
position. In contrast, (23b) shows that the wh-phrase quale ragazza cannot move to theembedded CP to satisfy the Q-Criterion, and successively move to the left periphery of themain clause to receive the interpretation of a focussed element. Notice that in Italian the left
periphery of the main clause is used to focalize an element generated in an embedded clause,
as long as this element does not satisfy a criterion in the embedded CP. This is shown in (24),where the phrase la ragazza/the girl moves from embedded clause to the left periphery toreceive the contrastive focus interpretation.

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Embedded Null Subjects in Brazilian Portuguese (S. Guesser)(24) LatheRAGAZZA
Girl
ec

pensavoche avessero scelto ____, non il ragazzo.
thought-1sg that had-3pl chosen ____, not the boy‘The GIRL I thought they had chosen, not the boy.’Thus, the contrast between (23b) and (24), as well the grammaticality of (22b), show thatmovement must stop when a criterial position is met.
The impossibility of movement from a criterial position is expressed by Rizzi (2006)
with the principle called Criterial Freezing:(25) Criterial Freezing: a phrase meeting a criterion is frozen in place.
Criterial freezing effects are also observed in complex phrases constituted by more thanone A’-feature. Consider the Italian complex phrase quanti libri di quale autore/how many
books by which author in (26), constituted by two A’-features of the same kind (two Qfeatures) and the complex phrase quanti libri del quale/how many books by whom in (27),containing two A’-features of different kinds (one Q-feature and one R(elative)-feature).
(26) a.

CQ Ti domandi
CQ[siano stati
CL.refl wonder-2sg CQ[have been
di quale autore]].
by which author]]censurati
censored[quantilibri[how many books‘You wonder have been censored how many books by which author.’b.

CQ Ti domandi[[quanti
libri diCL.refl wonder-2sg [[how many books bycensurati t]].
censored t]]quale autore]
which author]

CQ[siano
CQ[have

stati
been

‘You wonder how many books by which author have been censored.’c.

* [Quanti
libri di[how many books bycensurati t]]?
censored t]]quale autore] CQ ti domandi
which author] CL.acc wonder-2sg[t CQ [siano stati[t CQ [have been

‘How many books by which author do you wonder have been censored?’(27) a.

Gianni [CR [nonèancora stato chiarito [CQ [siano stati
Gianni [CR [not has yet
been clarified [CQ [have been[quantilibri del quale]]]]].
[how many books by whom]]]]]

censurati
censured‘Gianni, it has not been clarified yet have been censured how many books bywhom.’-65-

Nanzan Linguistics: Special Issue 5b.

Gianni [CR [non è
ancora stato
Gianni [CR [not has yet
been
CQ [siano stati censurati]]]].
CQ [have been censured]]]]chiarito [[quantilibri del quale]clarified [[how many books by whom]‘Gianni, it has not been clarified yet how many books by whom have been
censured.’c.

* Gianni [[quantilibri delGianni [[how many books by[tDP CQ [siano stati censurati[tDP CQ [have been censured

quale] CR [non è
ancora stato chiaritowhom] CR [not has yet
been clarifiedtDP]]]].
tDP]]]]‘Gianni, how many books by whom it has not been clarified yet have been
censured.’Starting from a structure involving both a main and an embedded question like (26a), thecomplex phrase quanti libri di quale autore/how many books by which author cannot move tothe embedded C-system, as in (26b), and then move to the main C-System, as in (26c).
Similarly, it is impossible to derive a structure like (27c), where the complex phrase quantilibri del quale/how many books by whom starts from the configuration in (27a), moves to theSpec,CP of the indirect question (27b), and successively moves to the relative C system.5
5

As for the example in (26), the only (marginally) possible option is the one in which the complex
wh-phrase splits in the following order: first the complex wh-phrase moves to the embedded CP,
yielding (26b), and successively the most embedded phrase di quale autore/by which author moves
from the embedded CP to the main C-system, yielding (i):(i) ?[ Di quale autore] CQ Ti[by which author] CQ CL.refl
censurati t]].
censured t]]

domandi[[quanti
libri
t] CQ
wonder-2sg [[how many books t] CQ

siano stati
have been‘By which author do you wonder how many books have been censured?’
As for (27), there are two possible options: the first one is the split of the complex phrase quanti libri
del quale/how many books by whom, after moving to the embedded CP, as illustrated in (ii).
(ii)

Gianni, [del quale ] CR [non è
ancora stato
Gianni, [by whom] CR [nothas yetbeen
CQ [siano stati censurati tDP]]].
CQ [have been censured tDP]]]chiaritoclarified[[quanti
libri
t PP]
[[ how many books t PP]‘Gianni, by whom it has not been clarified yet how many books have been censured.’
The second one is illustrated in (iii), in which the complex phrase [quanti libri del quale] moves to theinterrogative CP, yielding (iiib), and then the whole indirect question is pied-piped to the Spec of therelative C, yielding (iiic).

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Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

4.

EPP and Subject-object Asymmetries

Following his own analysis of chains, Rizzi (2006) proposes a new account of EPP, theprinciple expressing the obligatoriness of the subject position of clauses, as reported in (28):(28) EPP: Clauses must have subjects.
Assuming a dissociation between EPP position and Case-Agreement system, Rizzi proposesthat EPP is a criterial position. According to this analysis, EPP is the position dedicated toaboutness, that is, the position that provides subjects with the starting point interpretation ofan event description.
Thus, in Rizzi’s approach movement to subject position is understood as a movement tosatisfy a criterion. There is a criterial head in the highest part of the inflectional field, “Subj”
in Rizzi’s terminology, and this head attracts a nominal element to its Spec.

(iii)

a.

Gianni [CR [non è
ancora stato chiarito
Gianni [CR [not has yet
been clarified[quantilibri
del quale]]]]].
[how many books by whom]]]]][CQ [siano stati censurati[CQ [have been censured‘Gianni, it has not been clarified yet have been censured how many books by whom.’b.

Gianni [CR [non è
ancora stato chiarito
Gianni [CR [not has yet
been clarified
CQ [siano stati censurati]]]].
CQ [have been censured]]]][[quanti
libri
del quale][[how many books by whom]‘Gianni, it has not been clarified yet how many books by whom have been censured.’c. ?(?) Gianni, [[[quantilibriGianni, [[[how many books
CR [non è
ancora stato
CR [not has yet
been

del quale] CQ [siano stati censurati tDP]]
by whom] CQ [have been censured tDP]]chiarito tCP]].
clarified tCP]]‘Gianni, how many books by whom have been censured it has not been clarified yet.’Rizzi (p.c.) observes that, in order to account for the extraction of one part of a complex phrase from acriterial position, as illustrated in (i) and (ii), the Criterial Freezing in (25) must be reformulated.
Criterial Freezing must affect only the element bearing the relevant criterial feature, the Criterial goal,
but not all the elements of a complex phrase containing the criterial goal:(iv)

Criterial Freezing: the Criterial Goal is frozen in place.

Regarding (iiic), Rizzi observes that the movement of the complex phrase [quanti libri del quale] fromthe interrogative CP to the relative CP does not rule out the structure because in this case the QCriterion and the Relative Criterion are satisfied by two distinct phrases. The Q-Criterion is satisfied
by the phrase [quanti libri del quale] and the Relative Criterion by the whole indirect question quantilibri del quale siano stati censurati, which contains the complex nominal phrase.

-67-

Nanzan Linguistics: Special Issue 5(29) [XP[Subj ...

[Agr

S .........

Combining the proposal of Criterial Freezing with this account of EPP, Rizzi provides a
new explanation for the subject-object asymmetries, which were traditionally related to the
ECP.
Consider the subject-object asymmetries in (30) and (31). According to Rizzi’s approach,the sentences in (30a) and (31a) are ruled out because the wh-elements who and qui arefrozen in the Spec of SubjP where they satisfy the Subject Criterion. As a consequence theycannot undergo further movement to the matrix CP.6(30) a.
b.
(31) a.

* Who do you think [that [t will come]]?
Who do you think [that [Mary will meet t]]* Qui crois-tu
who think-you[que [t viendra]]?
[that [t will come]]‘Who do you think will come?’b.

Qui crois-tu [que [Marie rencontrera t]]?
who think-you [that [Mary will meet t]]‘Who do you think that Mary will meet?’

Following the discussion in Rizzi (2006), we can conclude that there is reason to cast
doubt upon the assumption of movement to thematic positions, as well as on the assumptionof subject-to-subject movement present in Ferreira’s (2004) analysis. On the one hand, data
regarding the lack of reconstruction effects in control structures, like that discussed in (21),show that movement to thematic positions is impossible. On the other hand, if the subject
position is constrained by Criterial Freezing, sentences with embedded null subjects are
expected not to involve movement from the subject positionof the embedded finite clause to the matrix clause.
5.

Further Problems

The analysis in terms of hyperraising proposed by Ferreira (2004) suffers from otherempirical inadequacies. First, consider the fact that embedded null subjects are allowed insideadjunct clauses, as shown in (32).

6

See Rizzi (2006) and Rizzi & Shlonsky (2007) for the lack of subject-object asymmetries incontexts like (30) and (31) in other languages and for the different strategies which allow subject
extraction in theses contexts.

-68-Embedded Null Subjects in Brazilian Portuguese (S. Guesser)(32) Joãoi visitou
Johni visiteda Maria [quando eci saiu do trabalho].
Mary[when eci left his job]

‘John visited Mary when he left his job.’
If we assume an analysis in terms of movement, then we expect a sentence like (32) to beungrammatical, since it involves extraction of the subject from an adjunct island. Ferreira(2004) argues that sentences like (32) involve a sideward movement, and this makes theextraction of the subject from the adjunct clause possible. However, if sideward movement
made extraction from adjunct clauses possible, we would expect that other kinds of elements
could also be extracted from this context. But this does not happen, as the impossibility of
wh-object extraction in (33b) shows.
(33) a.

O Joãoi ficou contente [quando eci ganhou
Johni was happy[when eci wono prêmio].
the prize]‘John was happy when he won the prize.’b.

*O quei o Joãoj ficou contente [quando ecj ganhou
whati Johnj
was happy[when ecj won

ti]?
ti]

‘What does John was happy when he won?’Since in BP it is not possible to extract an element from an adjunct clause, we conclude thatthe embedded null subject in (32) cannot be derived through movement.
Another problematic point in Ferreira’s analysis is its explanation for the behaviour ofnull subjects in weak island, as illustrated in (12) and repeated bellow.
(34) a.

Joãoi
Johni

não
doesn’tsabe [quando eci perdeu esse livro].
know [when eci lost
this book]‘John doesn’t know when he lost this book.’b. ?? Joãoi
Johni

não
doesn’tsabe [queknow [which

livro
book

eci leu
eci readna semana passada].
last week]‘John doesn’t know which book he read last week.’c.

? JoãoiJohninãodoesn’tsabe [pra quem eci emprestou este livro].
know [to whom eci lent
this book]‘John doesn’t know to whom he lent this book.’
As discussed in section 2, Ferreira argues that sentences like (34b-c) are degraded because theraising of the subject João from the embedded clause to the matrix Spec,vP, in order to checkthe thematic feature of v, causes a minimality violation (since the wh-phrases que livro/whichbook and pra quem/to whom in the embedded CP have the relevant features to check the-69-

Nanzan Linguistics: Special Issue 5thematic feature of v). However, if in the sentences (34b-c) there were a minimality violation,
we would expect these sentences to be not only degraded, but completely ungrammatical,
since minimality violations are strong violations.
Finally, a further complication in Ferreira’s (2004) analysis is the fact that BP is subject
to the Montalbetti’s (1984) Overt Pronoun Constraint. According to Overt Pronoun
Constraint, an overt pronoun cannot be locally bound by a variable, if a null pronoun ispossible in the same position. The example in (35a) shows that BP is subject to thisconstraint: the overt pronoun ele/he in the embedded clause cannot be locally bound by thevariable left by movement of the quantificational phrase nenhum menino/no boy. The only
grammatical option is sentence (35b), with a null embedded subject.
(35) a.

* Nenhumnomeninoi acha que elei é inteligente.
boyi
think that hei is intelligent‘No boy thinks that he is intelligent.’b.

Nenhumnomeninoi acha que eci é inteligente.
boyi
think that eci is intelligent‘No boy thinks that he is intelligent.’
The fact that BP undergoes the Montalbetti’s Overt Pronoun Constraint suggests thatembedded null subjects in BP are some kind of null pronouns. Consequently, BP null subjects
in embedded contexts cannot be analyzed as traces from a hyperraising operation, as
proposed by Ferreira (2004).
An alternative analysis of embedded null subjects in BP is to treat them like a pro as inlanguages like Chinese. In the next section I explore this possibility.
6.

Null Subjects in Chinese (Huang 1984)

Since the first formulations of the Null Subject Parameter (Chomsky 1981, 1982), it has
been proposed that the crucial factor that distinguishes languages regarding subject omissions
is the availability of a rich subject-verb agreement system. Thus, languages like Italian andSpanish can omit pronouns in the subject position of a finite clause because these languages
have a subject-verb agreement system that is rich enough to permit the recovery of thecontent of a null subject. On the other hand, null subjects are not allowed in languages like
English and French because these language have a poor agreement system that is unable torecover the content of a null pronoun.
Languages like Chinese represent a problem for this kind of theory, since they have amaximal freedom for the use of null arguments without having neither subject-verb nor verbobject agreement system. The sentences in (36) are some examples of subject and object-70-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)omissions in Chinese7:(36) a.

ec lai-le.
[he] cameb.

Lisi henxihuan ec.
Lisi likes [him] very muchc.

Zhangsan shuo
[ec burenshi Lisi].
Zhangsan said that [he] did not know Lisid.

Zhangsan shuo
[Lisi burenshi ec].
Zhangsan said that Lisi did not know [him]](Huang 1984)

However, considering languages like Chinese more in detail, Huang (1984) has shownthat the most of the omissions in (36) are not genuine null pronouns.
Huang observes that these null elements must refer to elements whose reference is fixedin the discourse. For instance, in (36d), the null object cannot take the matrix subject
Zhangsan as its antecedent. It may only refer to someone or something that a given discourse
is about, that is to a discourse topic. This behaviour is different from that of a pronoun. In an
English sentence like (37), for example, the pronoun him is free in reference: it may refer tothe matrix subject John or it may refer to someone whose reference is distinct from John.
(37) John said that Bill knew him.
The fact that null elements in Chinese must be bound by some NP whose reference isfixed in the discourse led Huang (1984) to treat them as cases of Topic drop. In other words,
sentences like those in (36) are assimilated to sentences like those in (38)-(40). The only
difference is that while the topic is present in (38)-(40), in (36) the topic is recoverable fromprevious discourse. According to this analysis, a sentence with a null object like (36d) has thederivation in (41b), where the object is topicalized and then deleted from topic position.
(38) Neige reni, Zhangsan
That mani, Zhangsan

shuo [Lisi bu
renshi ei].
said Lisi didn’t know ei(39) Neige reni, Zhangsan xiwang[Lisi keyi kanjianei].
That mani, Zhangsan hopes that Lisi will be able to see ei(40) Neige reni, Zhangsan
That mani, Zhangsan

7zhidao[Lisi mei banfa shuifu
ei].
knows that Lisi won’t be able to persuade ei

Examples from Huang (1984).

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Nanzan Linguistics: Special Issue 5(41) a.

b.

Zhangsan shuo
Zhangsan said that

[Lisi bu
Lisi did notrenshi e].
know [him][Top ei ], [Zhangsan shuo [Lisi bu renshi ei](Huang 1984)

Thus, null subjects and null objects in languages like Chinese can be analysed as
variables that are bound to a zero topic, and not as genuine null pronouns.
The only kind of null element which behaves like a null pronoun in Chinese is the one in
subject position of embedded finite clauses, as illustrated in (36c). The null subject in (36c)can refer both to a discourse topic and to the matrix subject Zhangsan.
According to Huang (1984), the embedded null subject coreferent with the matrix
subject is a null pronoun which is identified through coindexation with the closest ccommanding NP. Huang proposes this analysis essentially assuming the two following ideas:
1)
2)

Null pronouns must be identified by the closest c-commanding nominal element.
Agr qualifies as a potential antecedent of a null pronoun.
Let us see how Huang’s ideas can be applied to the English examples in (42):(42) a.

* ec came.

b. * John said that ec saw Bill.
c.

John tried ec to come.

According to Huang’s ideas, in sentences like (42a) and (42b) the null pronouns must be
coindexed with the Agr contained in come and saw, which are the closest nominal elements.
Since the agreement system in English is degenerated, Agr is unable to identify the content ofa null pronoun. Consequently, these sentences are ungrammatical. On the other hand, in
languages like Italian and Spanish sentences like (42a) and (42b) would be grammaticalbecause the agreement system of these languages is rich enough to determine the content of
the null pronoun.
The only context in which a null pronoun is possible in English is in the subject positionof an embedded infinitive clause, as in (42c). In (42c), there is no Agr in the embedded clause.
Consequently, the closest potential antecedent for the null pronoun are the Agr contained in
the matrix verb tried or the matrix subject John, which are both located in the same clause.
Since there is no principle that blocks this kind of interpretation, the sentence in (42c) is
grammatical, with the null pronoun interpreted as being controlled by John.
According to Huang, Chinese null subjects in embedded finite clauses like (36c) are
identified in the same way as English null subjects in control structures. Consider again (36c):-72-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)(36) c.

Zhangsan shuo[e buZhangsan said that [he] did notrenshi Lisi].
know Lisi

Since in Chinese there is no Agr, the closest potential antecedent for the embedded nullpronoun in (36c) is the matrix subject Zhangsan. As the null pronoun is coindexed toZhangsan, the sentence is ruled in.
Thus, according to Huang’s ideas, the embedded null subject in (36c) is a null pronoun
different from that of languages like Italian and Spanish. While in Italian and Spanish a nullpronoun in subject position within an embedded finite clause is identified by Agr, in Chinese
the null pronoun is identified in the same way as a PRO in control structures.
7.

BP under Huang’s (1984) Analysis

In this section I explain the properties of embedded null subjects in BP following theanalysis of Huang (1984). Consider again the behaviour of embedded null subjects in BP:- Embedded null subjects must have an antecedent located in the immediately higher clause,
as (43a) in contrast with (43b-c) show.
(43) a.

Joãoi acha [queJohni thinks [thateci é esperto].
eci is smart-masc]‘John thinks that he is smart.’b. * Joãoi disse
Johni said

[que
[that

a Maria acha [queMarythinks [thateci é esperto]].
eci is smart-masc]]‘Johni said that Mary thinks that hei is smart.’c.

* A mãe do Joãoi acha [queJohni’s mother thinks [thateci é esperto].
eci is smart-masc]‘Johni’s mother thinks that hei is smart.’
According to Huang’s analysis, embedded null subjects in Chinese are null pronouns whichmust be identified through coindexation with the closest c-commanding NP. Applying thisanalysis to BP, we find a direct explanation for the contrast in (43). Among the sentences in(43), only (43a) is grammatical because only in this case the null pronoun is identified
through coindexation with the closest c-commanding NP. In (43b) the null subject cannot
refer to the matrix subject João because this is not the closest c-commanding NP. Similarly,in (43c) the embedded null subject cannot refer to João because this element does not ccommand the null subject.

-73-Nanzan Linguistics: Special Issue 5- Embedded null subjects can freely alternate with an overt pronoun:(44) a.

Joãoi
Johni

disse
said

que
that

eci comprou
eci boughtum carro novo.
a new car

b.

Joãoi
Johni

disse
said

que
that

elei comprou
hei boughtum carro novo.
a new car

‘John said that he bought a new car.’
As discussed in section 2, the problem connected with this alternation is that it should bebanned by the Avoid Pronoun Principle, which establishes that whenever an alternation
null/overt pronoun is possible, the null pronoun is preferred. If we assume Huang’s analysis
we can explain why the alternation in (44) is not banned by the Avoid Pronoun Principle. In(44) there is no alternation between an overt pronoun and a null referential pronoun like thatof null subject languages, but an alternation between an overt pronoun and a pro which is
identified by the coindexation with the closest c-commanding NP. This kind of alternation is
not the one expressed by the Avoid Pronoun Principle and consequently it cannot be bannedby this principle.
- Impossibility of split antecedent:(45)* Joãoi disse
Johni said

[que
[that

a Mariaj acha [que ecij são espertos]].
Maryj
thinks [that ecij are smart-pl]]‘John said that Mary thinks that they are smart.’
Assuming Huang’s analysis, sentences like (45) are ungrammatical because the null pronouncannot refer to both João and Maria but it must refer only to the NP Maria, which is theclosest c-commanding NP.
- Embedded null subjects cannot occur inside relative clauses:(46) a.

* Joãoi não
Johni notgostoulike

dos livros
the books[que [eci leu na escola]].
[that [eci read in the school]]‘John didn’t like the books that he read in the school.’b. * Joãoi disse que [as meninas [queJohni said that [the girls [thateram estrangeiras.
were foreigners

eci encontrou
eci metna rua]].
in the street]]‘John said that the girls that he met in the street were foreigners.’
In sentences like (46a-b), the null subjects inside relative clause cannot refer to the NP Joãobecause there are other c-commanding NPs which are closer to these null subjects, that is, the-74-Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

NPs meninas/girls and livros/books.
- While embedded null subjects cannot occur inside certain strong islands, similarly torelative clauses, they are allowed in adjunct clauses:(47) Joãoi visitou a Maria [quando eci saiu do trabalho].
Johni visited Mary
[when eci left his job]
‘John visited Mary when he left his job.’
As discussed in section 4, the analysis in terms of movement proposed by Ferreira(2004) cannot explain why in (47) the null subject can occur inside the adjunct clause. On theother hand, if we adopt Huang’s (1984) analysis, we can explain this possibility. In (47), thenull subject is allowed inside the adjunct clause because it is identified through coindexation
with the matrix subject John, which is the closest c-commanding NP. Note that the NP Maria
is not a potential antecedent for the null subject, since it does not c-command the null subject.
- Mixed behaviour regarding weak islands:(48) a.

Joãoi
Johni

não
not

sabe [quando eci perdeu
know [when eci lostesse livro].
this book]‘John doesn’t know when he lost this book.’b. ?? Joãoi
Johni

não
not

sabe [que livro
know [which bookeci leu
eci readna semana passada].
last week]‘John doesn’t know which book he read last week.’c.

?Joãoi
Johni

não
not

sabe [pra quem eci emprestou este livro].
know [to whom eci lent
this book]‘John doesn’t know to whom he lent this book.’
Assuming Huang’s analysis, sentences like (48b-c) are degraded because in Spec of theembedded CP there is a c-commanding NP (or DP) which could be the antecedent of the nullpronoun (que livro/which book and pra quem/to whom). This blocks the coindexization of thenull pronoun with the matrix subject João. On the other hand, in (48a) the coindexization of
the null pronoun with the matrix subject João is not blocked because the wh-phrase in theembedded CP is an adverb, an element that cannot be an antecedent for the null subject
pronoun.
- An embedded null subject has a different behaviour from the one of an overt embedded
subject in sentences in which the matrix subject has the form [Only DP].

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Nanzan Linguistics: Special Issue 5(49) a.

Só o João acha que ec vai ganhar
only John thinks that ec will winacorrida.
the race‘Only John thinks that he will win the race.’b.

Só o João acha que ele vai ganhar a corrida.
‘Only John thinks that he will win the race.’

A sentence with an embedded null subject like (49a) has the interpretation in (50), while asentence with an overt embedded subject like (49b) is interpreted as in (51):(50) John is the only person who believes in his own victory.
(51) John is the only person who believes in John’s victory.
Notice that in BP a sentence with embedded null subject like (52a) can freely alternatewith a sentence with an overt embedded subject like (52b). The use of a null or an overt
pronoun in the subject position of the embedded clause does not implicate any particularinterpretative difference between (52a) and (52b).
(52) a.

O João acha que eci vai ganhar acorrida.
John
thinks that eci will win the race
‘John thinks that he will win the race.’b.

O João acha que elei vai ganhar a corrida.
‘John thinks that he will win the race.’

In addition, notice that the sentences in (49) involve a quantification, and thus can be
represented as in (53):(53) a.

[Só o João]i ti acha que eci vai ganhar[only John]iti thinks that eci will winacorrida.
the race‘Only John thinks that he will win the race.’b.

[Só o João]i ti acha que elei vai ganhar[only John]iti thinks that hei will winacorrida.
the race

The interpretative difference between a sentence with an embedded null pronoun like (53a)and a sentence with an overt pronoun like (53b) can be understood as a consequence of theMontalbetti’s (1984) Overt Pronoun Constraint (OPC). OPC says that an overt pronouncannot be locally bound by a variable if a null pronoun is possible in the same position. In thecase of the interpretation illustrated in (50), a null pronoun is possible in BP. Thus, the use of
the overt subject pronoun with this context is banned by the OPC.

-76-

Embedded Null Subjects in Brazilian Portuguese (S. Guesser)

According to OPC, an overt embedded pronoun can only be locally bound by a variable
in a context in which a null pronoun is not possible. This is what happens in (53b). (53b)
involves some kind of focalization of the embedded subject. Since null pronouns cannot be
focussed, in this context an overt pronoun is allowed.
- An embedded null subject has behaves differently from an overt embedded subject in VPellipsis structures. A sentence with an overt embedded subject like (54a) is ambiguous: it canhave a strict reading or a sloppy reading. On the other hand, in a sentence with embedded nullsubject like (54b) only the sloppy reading is available.
(54) a.

Joãoi acha que elei vai ganhar
Johni thinks that hei will win(strict/sloppy reading)a corrida
the raceea Maria também.
and Mary
too‘John thinks that he will win the race and Mary too.’b.

Joãoi acha que eci vai ganhar
Johni thinks that eci will win(sloppy reading)a corrida
the raceea Maria também.
and Mary
too‘John thinks that he will win the race and Mary too.’
As discussed in section 2, Ferreira (2004) explains the asymmetry in (54) by assuming
an analysis of ellipsis which involves a copy of the elided constituent (Fiengo e May 1994).
Combining this analysis with Huang’s (1984) approach, we explain the asymmetry in (54) inthe following way. If the embedded null subject in BP is a pro which is identified throughcoindexation with the closest c-commanding NP, then in sentences like (54b) the null subjectof elliptic embedded clause must refer to the matrix subject Maria. Consequently (54b) will
have a sloppy reading, as illustrated in (55):(55) Johni thinks that hei will win the race and Maryj thinks that shej will win the race.
On the other hand, in (54a) the subject of the elliptic embedded clause is an overt pronoun.
This allows the overt pronoun to have two different interpretations. It can be coreferent withthe matrix subject Maria in its own clause (thus obtaining the sloppy reading) or it can becoreferent with the subject João in the coordinate sentence (thus obtaining the strict reading).
8.

Conclusions

The analysis in terms of hyperraising and movement to theta positions proposed by
Ferreira (2004) for embedded null subjects in BP has problematic aspects and it cannot fully
account for the behaviour of embedded null subjects in BP. Thus, we can conclude thatembedded null subjects in BP cannot be taken as support to a theory of movement to thematic
positions.

-77-Nanzan Linguistics: Special Issue 5

A relevant point discussed in this paper is that BP is subject to Montalbetti’s (1984)
Overt pronoun Constraint. This suggests that sentences with embedded null subjects involvea kind of null pronoun, not a trace from a hyperraising operation. I also have shown that, if
we assume Huang’s (1984) analysis, we can explain embedded null subjects in BP in thefollowing way. In BP, referential null subjects are not allowed because this language has adegenerated agreement system, unable to identify a pro. However, null subjects are allowedin embedded finite clauses, where null subjects are identified through coindexation with theclosest c-commanding NP. This is a different kind of identification if compared with the oneof null subjects in null subjects languages. The syntactic and interpretative differences
between null subjects in BP and in pro-drop languages are a consequence of this fact.

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