马威艳

（女，2018级博士，专业：汉语言文字学，研究方向：汉语历史语法，导师：杨永龙）

　　摘 要

　　本文以近代汉语中用来标记和触发反预期语义的表达形式为研究对象，主要探讨了这两类表达形式的反预期语义演变过程与机制。全文共分为七个章节，即绪论章、五个反预期表达形式语义演变个案章及结语章。

　　第一章绪论部分主要介绍了国内外研究现状、选题意义、研究对象、研究内容、研究方法及研究语料。本章对国内外关于反预期研究的主要思想流派，反预期与意外的关系等进行了对比分析。同时，结合前贤研究将反预期表达形式分为反预期标记及反预期触发语，将反预期触发语从反预期标记中剥离出来进行专题研究对反预期理论的研究具有借鉴意义。

　　第二章以近代汉语反预期标记“不想”“不期”为研究对象，归纳了二者反预期义的主要类别，并结合历时语料，分别构拟了其反预期义演变过程。“不想”与“不期”均用来表达意外突发事件及与预期不一致状态或事件，属于认识情态预期。二者都经历了短语结构（“不+想”/“不+期”）词汇化为反预期标记的过程。经考察，“不想”与“不期”反预期义的演变动因是非自主性。本章同时探讨了反预期词之间以及反预期词与合预期词合用的类别以及合用的预期强化及复合预期功能。

　　第三章讨论了近代汉语反预期标记“反”“竟”“偏”的多重语义及演变过程与机制。首先通过汉英平行语料库找到这三个反预期副词的典型对译词，并对这些高频使用的对译词的语义进行分析，指出反预期内部含有转折、强调等义。本章分析了“反”“竟”“偏”分别从动词发展为反预期义副词的演变过程及语义上的异同之处。同时，对“竟”产生主观大量及主观小量义的四种逻辑结构进行了总结，即为：低量前提→常规/超常结果（语义指向前提，主观小量）；常规/超常前提→低量结果（语义指向结果，主观小量）；常规前提→超量结果（语义指向结果，主观大量）；常规/超量前提→低量结果（语义指向前提，主观大量）。

　　第四章主要探讨了近代汉语把字结构表示反预期义的类别及演变动因。把字句是主观性较强的句式，文章将近代汉语中用来标示反预期义的把字句归纳为以下几种类型：遭受义把字句、半截把字句、否定式把字句。把字句的反预期义主要源于把字句中谓语部分的强调性以及结果的不可控性。

　　第五章主要讨论了近代汉语反预期触发语“打算”“打量”的演变过程与机制。近代汉语时期，尤其在清代话本小说中，“打算”“打量”从“计算”“计量”义动词向认知义动词引申，发展出用来触发反预期的“以为”义用法，主要用来表示与言者、听者或他人的预期相反。“打算”的语义引申沿着“计算义 > 盘算义/考虑义 > 以为义”的演变路径；“打量”的语义引申沿着“丈量义 > 观察义 > 料想义/以为义”的演变路径。二者的反预期触发语演变主要源于力动态的失衡，且都经历了从动作动词到感知动词再到认知动词的演变过程。

　　第六章讨论了近代汉语中反预期触发语“NP家”的指称性质、演变过程及机制。经过考察，将近代汉语中频繁出现的“NP家”归纳为光杆“NP家”“一个NP家”“ADJ+NP家”“人称代词+NP家”及“人称代词+一个NP家”五种结构形式，指出指称性质是这五种“NP家”触发反预期义的主要原因。论文进一步将这五种形式的“NP家”分为简式、限定式及复指式三类，并分别讨论了其指称性质及语义演变。“家”的语义演变经历了“家庭义名词（实）→一般名词后表具有某种身份的人（较虚）→某种身份的人该完成某种行为（更虚）→反预期触发词缀（最虚）”的过程。表类同的定指性质促发了“NP家”成为反预期触发语。

　　第七章为结语部分。本章概括了与反预期相关的概念，梳理了预期与主观性、语法化、强调、否定等的关系。同时，本章总结了反预期的主要发展演变路径，即主要由有预期的偏离及无预期的意外演变而来，可以表现为与质不符或与量不符的反预期。最后指出了论文存在的局限性及后续努力方向。

　　关键词：反预期标记；反预期触发语；演变过程；演变机制；近代汉语

　　Abstract

　　This dissertation focuses on the expressive forms used to mark and trigger counter-expectation in Early Modern Chinese, and discusses the semantic evolution process and mechanism of the two kinds of counter-expectation forms. The dissertation is divided into seven chapters, namely, the introduction chapter, five case chapters on the semantic evolution of counter-expectation forms, and the conclusion chapter.

　　The first chapter mainly introduces the overseas and domestic research status, the significance of the topic, the research object, the research content, the research method and the research corpus. This chapter makes a comparative analysis of the main ideological schools of counter-expectation research, and the relationship between counter-expectation and mirativity and so on. At the same time, combined with previous studies, the counter-expectation forms are divided into counter-expectation markers and counter-expectation triggers. The monographic study that separates the counter-expectation triggers from the counter-expectation markers is of reference significance for the study of counter-expectation theory.

　　The second chapter takes the counter-expectation markers buxiang (不想) and buqi (不期) in Early Modern Chinese as the research objects, analyzes the main categories of their counter-expectation meanings, and analyzes the evolution process of their counter-expectation meanings with diachronic corpus. Buxiang and buqi are counter-expectation markers that evolved from the phrases bu + xiang and bu + qi respectively through lexicalization. After investigation, the reason for their evolution of the counter-expectation usage is non-autonomy. This chapter also explores the categories of counter-expectation words that are used in conjunction with each other and combined with expectation words, as well as the expectation-enhancing and compound expectation functions that are used in conjunction.

　　The third chapter discusses the multiple meanings, evolution process and mechanism of adverbs fan (反), jing (竟) and pian (偏) with counter-expectation meanings in Early Modern Chinese. Firstly, through the Chinese-English parallel corpus, the typical translation words of the three counter-expectation adverbs have been listed, the meanings and frequency of these translation words have been found, and then the adversative and emphasis meanings of the three adverbs have been pointed out. This chapter analyzes the evolution process, the semantic similarities and differences of fan, jing and pian from verbs to counter-expectation adverbs. At the same time, the dissertation summarizes the four logical structures of jing that produce subjective majority and subjective minority meanings, namely: minor premise → normal / excessive result (premise-oriented, subjective minority); normal / excessive premise → minor result (result-oriented, subjective minority); normal premise → excessive result (result-oriented, subjective majority); normal / excessive premise → minor result (premise-oriented, subjective majority).

　　The fourth chapter mainly discusses the counter-expectation categories and evolution of Ba-structure in Early Modern Chinese. Ba-structure is a sentence pattern with strong subjectivity, and is classified into the following types: suffering Ba-structure, half Ba-structure and negative Ba-structure. The counter-expectation meaning mainly comes from the emphasis of the predicate part of Ba-structure and the uncontrollability of the result.

　　The fifth chapter mainly discusses the counter-expectation evolution process and mechanism of the counter-expectation triggers dasuan (打算) and daliang (打量). In the Early Modern Chinese period, especially in the vernacular novels of Qing Dynasty, the meanings of dasuan and daliang were extended from verbs with meanings of “count” and “measure” respectively to cognitive verbs. Both of them developed the usage of yiwei (thought) to trigger counter-expectation, which were mainly used to express the opposite expectation to the speaker, the listener or others. The semantic extension of dasuan follows the evolution path of “jisuan meaning (count) > pansuan meaning (calculate) / kaolv meaning (considerate) > yiwei meaning (thought)”. The semantic extension of daliang follows the evolution path of “zhangliang meaning (measure) > guancha meaning (observe) > liaoxiang meaning (expected) / yiwei meaning (thought)”. The counter-expectation semantic evolution of both mainly resulted from the imbalance of force dynamics and experienced the process from action verb to perceptual verb and then to cognitive verb.

　　The sixth chapter mainly discusses the reference, the evolution process and mechanism of the counter-expectation triggers of NP Jia (NP家) in Early Modern Chinese. Five types of NP Jia which can trigger counter-expectation were frequently appeared in Early Modern Chinese, namely, bare NP Jia, yige NP Jia, ADJ + NP Jia, Personal Pronoun + NP Jia and Personal Pronoun + yige NP Jia. The counter-expectation meanings of these five forms mainly stem from their referential functions. The dissertation further divides the five forms of NP Jia into three categories: simple form, finite form and compound form, and discusses their semantic evolution respectively. The semantic evolution of Jia goes through the process of “family (real) → the person with a certain identity (a little virtual) → the person with a certain identity who should complete some certain behavior (more virtual) → counter-expectation trigger (most virtual)”. The nature of NP Jia referring to specific individuals with a certain identity promotes the evolution.

　　The seventh chapter clarifies the concepts related to counter-expectation, and generalizes the relationship between counter-expectation and subjectivity, grammaticalization, emphasis and negation. At the same time, this chapter summarizes the main evolution path of counter-expectation, that is, it mainly evolves from expected deviation and unexpected surprise, which can be manifested as counter-expectation inconsistent with quality or quantity. Finally, the chapter points out the limitations of the dissertation and the direction of efforts in the future.

　　KEY WORDS: counter-expectation marker; counter-expectation trigger; process of evolution; mechanism of evolution; Early Modern Chinese