Guan Yu

**Guan Yu** (162-220), courtesy name **Yunchang**, was a military general serving under the warlord Liu Bei in the late Eastern Han dynasty. He played a significant role in the events that led to the collapse of the dynasty and the establishment of the state of Shu Han – founded by Liu Bei – in the Three Kingdoms period. After Liu Bei gained control of Yi Province in 214, Guan Yu remained in Jing Province to govern and defend the area for about seven years. In 219, while he was away fighting Cao Cao's forces at the Battle of Fancheng, Liu Bei's ally Sun Jian broke the Sun–Liu alliance and launch an invasion to conquer Liu Bei's territories in Jing Province and stealthy capture more the half of Jing Province. When Guan Yu retreated to Maicheng after his defeat at Fancheng in an attempt to reclaim loss territories He was defeated by Sun Jian's forces at the Battle of Maicheng and was subsequently captured in an ambush and executed by Sun Jian's order.

As one of the best known Chinese historical figures throughout East Asia, Guan Yu's true life stories have largely given way to fictionalized ones, most of which are found in the 14th-century historical novel *Romance of the Three Kingdoms* or passed down the generations, in which his deeds and moral qualities have been lionized. Guan Yu is respected as an epitome of loyalty and righteousness.

Guan Yu was deified as early as the Sui dynasty and is still worshipped by many Chinese people today in mainland China, Taiwan, Hong Kong, and among many overseas Chinese communities. In religious devotion he is reverentially called the "*Divus* Guan" (*Guāndì*) or "Lord Guan" (*Guāngōng*). He is a deity worshipped in Chinese folk religion, popular Confucianism, Taoism, and Chinese Buddhism, and small shrines to him are almost ubiquitous in traditional Chinese shops and restaurants. His hometown Yuncheng has also named its airport after him.

## Historical sources

The authoritative historical source on Guan Yu's life is the *Records of the Three Kingdoms* (*Sanguozhi*), which was written by Chen Shou in the third century. During the fifth century, Pei Songzhi annotated the *Sanguozhi* by incorporating information from other sources to Chen Shou's original work and adding his personal commentary. Some alternative texts used in the annotations to Guan Yu's biography include: *Shu Ji* (*Records of Shu*), by Wang Yin; *Wei Shu* (*Book of Wei*), by Wang Chen, Xun Yi and Ruan Ji; *Jiang Biao Zhuan*, by Yu Pu; *Fu Zi*, by Fu Xuan; *Dianlue*, by Yu Huan; *Wu Li* (*History of Wu*), by Hu Chong; *Chronicles of Huayang*, by Chang Qu.

## Physical appearance

No descriptions of Guan Yu's physical appearance exist in historical records, but his beard was mentioned in the *Sanguozhi*. Traditionally, he is portrayed as a red-faced warrior with a long lush beard. The idea of his red face may have derived from a description of him in the first chapter of the 14th-century historical novel *Romance of the Three Kingdoms*, where the following passage appears:

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Alternatively, the idea of his red face could have been borrowed from opera representation, where red faces depict loyalty and righteousness. In illustrations of *Romance of the Three Kingdoms*, Guan Yu is traditionally depicted wearing a green robe over his body armour.

Supposedly, Guan Yu's weapon was a guandao named Green Dragon Crescent Blade, which resembled a glaive and was said to weigh 82 catties (about 18.25 kg or 40 lbs). A wooden replica can be found today in Emperor Guan Temple in Xiezhou County, Shanxi.

## Early life and career

Guan Yu was from Xie County (解縣), Hedong Commandery (河東郡), which is in present-day Yuncheng, Shanxi. His original courtesy name was "Changsheng" (長生). He fled from his hometown after committing a serious crime and arrived in Zhuo Commandery (涿郡; present-day Zhuozhou, Hebei). When the Yellow Turban Rebellion broke out in the 180s, Guan Yu and Zhang Fei joined a volunteer militia formed by Liu Bei, and they assisted a Colonel (校尉), Zou Jing, in suppressing the revolt.

When Liu Bei was appointed as the Chancellor (相) of Pingyuan State (平原國; around present-day Dezhou, Shandong), Guan Yu and Zhang Fei were appointed as Majors of Separate Command (别部司马), each commanding detachments of soldiers under Liu. The three of them shared a brotherly-like relationship, to the point of sharing the same room. Zhang Fei and Guan Yu also stood guard beside Liu Bei when he sat down at meetings. They followed him on his exploits and protected him from danger.

## Conflict between Liu Bei and Lu Bu

In 194, Liu Bei succeeded Tao Qian as the Governor (牧) of Xu Province. The following year, he led his forces to Shiting (石亭), Huaiyin (淮陰), to counter an invading army sent by Yuan Shu, Guan Yu followed Liu Bei against Yuan Shu (下邳; present-day Pizhou, Xuzhou, Jiangsu), the capital of Xu Province.

## Short service under Cao Cao

### Background

Liu Bei and his men followed Cao Cao back to the imperial capital Xu (許; present-day Xuchang, Henan) after their victory over Lü Bu at the Battle of Xiapi in 198. About a year later, in 199, Liu Bei and his followers escaped from Xu on the pretext of helping Cao Cao lead an army to attack Yuan Shu. Liu Bei went to Xu Province, killed the provincial inspector Che Zhou (車冑), and seized control of the province. He moved to Xiaopei (小沛; present-day Pei County, Jiangsu) and left Guan Yu in charge of the provincial capital Xiapi (下邳; present-day Pizhou, Jiangsu).

In 200, Cao Cao led an eastern campaign against Liu Bei, defeated the latter in battle, and retook Xu Province. Liu Bei fled to northern China and found refuge under Cao Cao's rival Yuan Shao. Guan Yu was captured by Cao Cao's forces and brought back to Xu. Cao Cao treated Guan Yu respectfully and asked Emperor Xian to appoint Guan as a Lieutenant-General (偏將軍).

### Conflict with Xiahou Dun

While temporary serving under Cao Cao Guan Yu came in conflict with Xiahou Dun a general under Cao Cao. Xiahou Dun having served Cao Cao longer then Guan Yu became jealous of Guan Yu and engaged Guan Yu in a sword fight but Cao Cao intervened and said Yuanrang do really think you're capable to kill Guan Yu. Xiahou Dun became silent and left

### Battle of Boma

Later that year, Yuan Shao sent his general Yan Liang to lead an army to attack Cao Cao's garrison at Boma (白馬; or Baima), which was defended by Liu Yan (劉延). Cao Cao sent Zhang Liao and Guan Yu to lead a vanguard force to resist the enemy. In the midst of battle, Guan Yu recognized Yan Liang's parasol so he charged towards Yan, decapitated him and returned with his head. Yuan Shao's men were unable to stop him. The siege on Boma was lifted. On Cao Cao's recommendation, Emperor Xian conferred the title "Marquis of Hanshou Village" (漢壽亭侯) on Guan Yu.

### Leaving Cao Cao

Cao Cao admired Guan Yu's character, but he also sensed that Guan had no intention of serving under him for long. He told Zhang Liao, "Why don't you make use of your friendship with Guan Yu to find out his objective?" When Zhang Liao asked Guan Yu, the latter replied, "I'm aware that Lord Cao treats me very generously. However, I've also received much favours from General Liu and I've sworn to follow him until I die. I cannot break my oath. I'll leave eventually, so you should help me convey my message to Lord Cao." Zhang Liao did so, and Cao Cao was further impressed with Guan Yu. The *Fu Zi* gave a slightly different account of this incident. It stated that Zhang Liao had a dilemma on whether to convey Guan Yu's message to Cao Cao or not: if he did, Cao Cao might execute Guan Yu; if he did not, he would be failing in his service to Cao Cao. He sighed, "Lord Cao is my superior and is like a father to me; Guan Yu is like a brother to me." He eventually made his decision to tell Cao Cao. Cao Cao said, "A subject who serves a lord but does not forget his origins is truly a man of righteousness. When do you think he will leave?" Zhang Liao replied, "Guan Yu has received favours from Your Excellency. He'll most probably leave after he has repaid your kindness."

After Guan Yu slew Yan Liang and lifted the siege on Boma, Cao Cao knew that he would leave, so he presented Guan with greater rewards. Guan Yu sealed up all the gifts he received from Cao Cao, wrote a farewell letter, and headed towards Yuan Shao's territory to reunite with Liu Bei. Cao Cao's subordinates wanted to pursue Guan Yu, but Cao stopped them and said, "He's just doing his duty to his lord. There's no need to pursue him."

Pei Songzhi commented on this as follows: "Cao Cao admired Guan Yu's character even though he knew that Guan would not remain under him. He did not send his men to pursue Guan Yu when Guan left, so as to allow Guan to fulfil his loyalty. If he did not possess the magnanimity of an overlord, how would he have allowed this to happen? This was a showcase of Cao Cao's goodness."

## Returning to Liu Bei

When Cao Cao and Yuan Shao clashed at the Battle of Guandu in 200, Yuan sent Liu Bei to contact Liu Pi, a Yellow Turban rebel chief in Runan (汝南; present-day Runan County, Henan), and assist Liu Pi in attacking the imperial capital Xu (許; present-day Xuchang, Henan) while Cao was away at Guandu. Guan Yu reunited with Liu Bei around this time. Liu Bei and Liu Pi were defeated by Cao Cao's general Cao Ren, after which Liu Bei returned to Yuan Shao. Liu Bei secretly planned to leave Yuan Shao, so he pretended to persuade Yuan to ally with Liu Biao, the Governor (牧) of Jing Province. Yuan Shao sent Liu Bei to contact another rebel leader, Gong Du, in Runan, where they gathered a few thousand soldiers. Cao Cao turned back and attacked Runan after scoring a decisive victory over Yuan Shao at Guandu, and he defeated Liu Bei in Runan. Liu Bei fled south and found shelter under Liu Biao, who put him in charge of Xinye (新野; present-day Xinye County, Henan) at the northern border of Jing Province. Guan Yu followed Liu Bei to Xinye.

## Battle of Red Cliffs and aftermath

Liu Biao died in 208 and was succeeded by his younger son, Liu Cong, who surrendered Jing Province to Cao Cao when the latter started a campaign that year with the aim of wiping out opposing forces in southern China. Liu Bei evacuated Xinye together with his followers and they headed towards Xiakou (夏口; in present-day Wuhan, Hubei), which was guarded by Liu Biao's elder son Liu Qi and was independent of Cao Cao's control. Along the journey, Liu Bei divided his party into two groups – one led by Guan Yu which would sail along the river towards Jiangling (江陵; in present-day Jingzhou, Hubei); another led by Liu Bei which would travel on land. Cao Cao sent 5,000 elite cavalry to pursue Liu Bei and they caught up with him at Changban (長坂), Dangyang (當陽), resulting in the Battle of Changban. Liu Bei managed to escape from the pursuers and reach Han Ford (漢津), where he was picked up by Guan Yu's fleet, and they sailed to Xiakou together.

In 208, Liu Bei allied with Sun Jian and they defeated Cao Cao at the decisive Battle of Red Cliffs. Cao Cao retreated north after his defeat and left Cao Ren behind to defend Jing Province. In the Battle of Jiangling (a follow-up to Red Cliffs), Guan Yu was sent to block Cao Ren's supply lines via infiltration, so he led a special force to attack Xiangyang, which was guarded by Cao Cao's general Yue Jin. Yue Jin defeated Guan Yu and Su Fei (蘇非) and drove them away. After seizing and pacifying the various commanderies in southern Jing Province, Liu Bei appointed Guan Yu as the Administrator (太守) of Xiangyang and General Who Defeats Bandits (盪寇將軍), and ordered him to garrison at the north of the Yangtze River.

Guan Yu later engaged Yue Jin and Wen Ping at Xunkou (尋口) and lost. Wen Ping attacked Guan Yu's equipage and supplies at Han Ford (漢津) and burnt his boats at Jingcheng (荊城).

## Guarding Jing Province

Between 212 and 215, Liu Bei started a campaign to seize control of Yi Province (益州; covering present-day Sichuan and Chongqing) from the provincial governor Liu Zhang. Most of Liu Bei's subordinates participated in the campaign, while Guan Yu was ordered to remain behind to guard Liu's territories in Jing Province and oversee its affairs.

## Sun-Liu territorial dispute

During that period of time, tensions were rising at the border between Liu Bei and Sun Jian's domains in Jing Province as the two allies became more suspicious of each other. After Liu Bei had taken over Yi Province, Sun Quan asked him for three commanderies in southern Jing Province but Liu refused. Sun Quan then sent his general Lü Meng to seize the three commanderies by force. In response, Liu Bei ordered Guan Yu to lead troops to stop Lü Meng, but Sun Quan's general Gan Ning deterred Guan from crossing the shallows near Yiyang (益陽) to confront their forces. The shallows were thus named 'Guan Yu's Shallows' (關羽瀨). Lu Su (the commander of Sun Quan's forces in Jing Province) later held talks with Guan Yu to discuss and settle the territorial dispute. Around the same time, Cao Cao had seized control of Hanzhong Commandery and posed a strategic threat to Liu Bei's position in Yi Province. Liu Bei eventually agreed to divide Jing Province between his and Sun Quan's domains along the Xiang River. Both sides then withdrew their forces.

## Battle of Fancheng

In 219, Liu Bei emerged victorious in the Hanzhong Campaign against Cao Cao, after which he declared himself "King of Hanzhong" (漢中王). He appointed Guan Yu as General of the Vanguard (前將軍) and bestowed upon him a ceremonial axe. In the same year, Guan Yu led his forces to attack Cao Ren at Fan (樊; or Fancheng, in present-day Fancheng District, Xiangyang, Hubei) and besieged the city. Cao Cao sent Yu Jin to lead reinforcements to help Cao Ren. It was in autumn and there were heavy showers, so the Han River overflowed. The flood destroyed Yu Jin's seven armies. Yu Jin surrendered to Guan Yu while his subordinate Pang De refused and was executed by Guan. The bandits led by Liang Jia (梁郟) and Lu Hun (陸渾) received official seals from Guan Yu, so they submitted to him and became his followers. Guan Yu's fame spread throughout China.

The *Shu Ji* recorded that before Guan Yu embarked on the Fancheng campaign, he dreamt about a boar biting his foot. He told his son Guan Ping, "I'm growing weaker this year. I might not be able to return alive.

### Belittling Sun Jian

After Yu Jin's defeat, Cao Cao contemplated relocating the imperial capital from Xu (許; present-day Xuchang, Henan) to another place to avoid Guan Yu, but Sima Yi and Jiang Ji told him that Sun Jian would become restless when he heard of Guan Yu's victory. They suggested to Cao Cao to ally with Sun Jian and enlist his help in hindering Guan Yu's advances, and in return, Cao Cao would recognise the legitimacy of Sun Jian's claim over the territories in Jiangdong. In this way, the siege on Fancheng would automatically be lifted. Cao Cao heeded their suggestion. Previously, Sun Jian's son Sun Quan had sent a messenger to meet Guan Yu and propose a marriage between his son and Guan's daughter. However, Guan Yu not only rejected the proposal but also scolded and humiliated the messenger and Sun Jian was enraged by the rejection.

### Encounter with Xu Huang and Xiahou Dun

Cao Cao later sent Xu Huang and Xiahou Dun to lead another army to relieve Cao Ren at Fancheng. Xu Huang broke Guan Yu's encirclement and routed Guan's forces on the battlefield, thus lifting the siege on Fancheng. Guan Yu withdrew his forces after seeing that he could not overcome the enemy. The *Shu Ji* recorded an incident about Xu Huang meeting Guan Yu on the battlefield. Xu Huang had a close personal friendship with Guan Yu. They often chatted about other things apart from military affairs. When they met again at Fancheng, Xu Huang gave an order to his men, "Whoever manages to take Guan Yunchang's head will be rewarded with 1,000 *jin* of gold." Guan Yu was shocked and he asked Xu Huang, "Brother, what are you talking about?" Xu Huang replied, "This is an affair of the state."

## Incident at Jing Province and Death

After Guan Yu defeated and captured Yu Jin at Fan (樊; or Fancheng), his army lacked food supplies so he seized grain from one of Sun Jian's granaries at Xiang Pass (湘關). By then, Sun Jian had secretly agreed to the alliance with Cao Cao, and had led his forces to invade Jing Province sending his general Lu Meng to lead the invasion while Sun Jian followed behind with another army. At Xunyang (尋陽), Lü Meng ordered his troops to hide in vessels disguised as civilian and merchant ships and sail towards Jing Province. Along the way, Lü Meng employed infiltration tactics to disable the watchtowers set up by Guan Yu along the river, so Guan was left unaware of the invasion until much later.

When Guan Yu embarked on the Fancheng campaign, he left Gan Xin behind to defend his key bases in Jing Province – Nan Commandery (南郡; around present-day Jingzhou, Hubei) and Gong'an (公安; present-day Gong'an County, Hubei). Gan Xin once warned about straining relations with his subordinate and with Sun Jian but Guan Yu ignored him. When Guan Yu learned about the invasion as he was unable to capture Fancheng he eventually withdrew his forces.

By the time Guan Yu retreated from Fancheng, Mi Fang and Fu Shiren who Guan Yu treated in contempt surrendered which eventually allowed Sun Jian's forces to occupied Jiangling (江陵) and captured the families of Guan's soldiers. Lü Meng ordered his troops to treat the civilians well and ensure that they were not harmed. Most of Guan Yu's soldiers lost their fighting spirit and deserted and went back to Jing Province to reunite with their families. Guan Yu knew that he had been isolated so he withdrew to Maicheng (麥城; present-day Maicheng Village, Lianghe Town, Dangyang, Hubei) and headed west to Zhang District (漳鄉), where he was besieged by Lu Meng.

Initially, Guan Yu sent Liao Hua to request reinforcement from Meng Da and Liu Feng at Shangyong but was refused. So Liao Hua went to Ma Chao who was stationed at Baidicheng instead. When Liu Bei learned that Sun Jian has broken the Sun-Liu Alliance He sent Zhang Fei to lead a relief force to rescue Guan Yu but Zhang Fei's army was routed by Sun Jian's forces by an ambushed.

Sun Jian sent Zhu Yuan and Pan Zhang to block Guan Yu's retreat route. Guan Yu, along with his son Guan Ping and subordinate Zhao Lei, was captured alive by Zhu Yuan in an ambush. Guan Yu and Guan Ping were later executed by Sun Jian's forces in Linju (臨沮; in present-day Nanzhang County, Hubei).