THE LOWER OPERATOR WITH
PARASITIC GAPS AND
THE COMPUTATIONAL
SPECIFICATION OF SUBJECTS
Handout
based on J. Emonds, “The Lower Operator Position with Parasitic Gaps” in Features
and Interfaces in Romance. Essays in honor of Heles Contreras, J.
Herschensohn, E. Mallén, and K. Zagona, eds., John Benjamins,
Amsterdam, 2001, 85-106. Material here is reproduced with the kind permission
of the publisher.
1. General background
and limitations of study
I
presuppose some familiarity with parasitic gaps ‘PG’ (Chomsky, 1982; Engdahl,
1983; or Culicover, 2001), and limit discussion to English PG. Chomsky (1982,
#56) credits Taraldsen (1981) with the generalization (1).
(1) No C-command Condition. A trace of the
operator binding a PG cannot C-command the PG.
(2) a. Who
did he give [a picture of t] [to e]?
b. I prefer hosts who
[letters to e] don’t [make t sarcastic].
c. Who did the
professor strike [friends of t] as [unfair to e]?
d. Which candidate
did Bill [dismiss t] [without interviewing e]?
e. Which one did
she [criticize t] [right after introducing e]?
f. ?Here is the author who
John [sent a manuscript to t] [in order to impress e].
g. ?Which guest did
Bill [invite t] [before recalling that Sue hated e]?
Two limitations: I will
treat only PG that are impossible as traces (3), e.g., in adverbial
adjuncts as in (2d-g).[1]
(3) *Which candidate did Bill [dismiss the issues]
[without interviewing t]?
*Which student did she [criticize the supervisor] [right
after introducing t]?
*Here
is the author John [got a haircut] [in order to impress t].
*Which guest did Bill [go out] after
recalling that Sue [hated t]?
I
also treat only what Postal (1994) calls “true P-gaps”, i.e. licensed by some
leftward movement, and not those he shows are “pseudo-P-gaps” licensed by
rightward movement.
Basic generalization. Chomsky (1982, 45) proposes that a
necessary No C-command Condition between an A-bar bound trace t and
a co-referential parasitic gap e is due to the very definition of an
LF variable:
(4) (Only) A locally A-bar bound empty XP in a
theta position is a well-formed LF variable.
I
interpret (4) as follows: an empty XP in a theta (argument or A-) position is a
well-formed LF variable only if it has a closest binder, which determines its
range, in an A-bar (non-argument) position.[2]
This
interpretation of (4) accounts for Strong Crossover as in (5), without using
Principle C (Chomsky, 1981):
(5) a. Example:
*Which candidatei did Hillary think that hei
had tricked Bill into hiring ti?
b. Generalization: An empty XP variable in
a theta position cannot have a local binder in an A-position.
According to (4), the traces and the PGs in (2)
are both LF variables bound by the same WH antecedents. If an intervening trace
additionally C-commands a potential variable as in (6), the antecedent of the
trace fails to locally bind it and thus violates (4).
(6) *Who
did he describe t to (a friend of) e?
?Which
secretary did Bill promise t that he would hire e?
*Who did Bill persuade t that Sue had betrayed e?
*Which student did she promise t to introduce e to
a professor?
*Which
city did John prefer t to the residents of e?
*Who
did the professor strike t as unfair to e?
Chomsky’s
(4) thus entails the No C-command Condition (1). This is the main charm of
Chomsky (1982). There is no need for the later ad hoc and poorly understood
“chain composition” of Chomsky (1986).
Contreras (1984) and Chomsky (1986) use
Binding Theory Principles to question the No C-command Condition (1) between a
trace t and a PG e. That is, they “undo” the nice result of
Chomsky (1982) and essentially leave the whole topic of parasitic gaps as yet
another unsolved problem. This can be avoided, however.
Principles
of disjoint reference are better characterized in terms of Cmax-command.
Thus, Principle C should be formulated so that a referring expression can’t
be Cmax-commanded by an antecedent:
(i) *Mary
[VP [V’ criticized himi ] after introducing
Johni to us ].
*John
[VP [V’ read themi ] without buying those
booksi ].
Nor, according to Principle B, can an
antecedent Cmax-command a pronoun in its Governing Category
(roughly, the same IP) in similar configurations:
(ii) *Bill
recalled that [IP Mary [ VP [V’ criticized
Johni ] right in front of himi ] ].
*Bill
was happy that [IP Mary [ VP [V’ had found
Johni a room] for himi ] ].
?Helen
[ VP [V’ married Johni ] because of a picture
of himi ].
Both these Binding Conditions should be
redefined using Cmax-command, where the lowest Cmax
containing the referring expression in (i) and the pronouns in (ii) are VPs.
Thus, although their antecedents fail to C-command John and him, their
antecedents nonetheless (improperly) Cmax-command them,
accounting for the ungrammaticality of (i)-(ii).
I conclude that Principle C need not
be considered as applying to A-bar bound traces or to parasitic gaps.
2. Subjacency
effects on parasitic gaps
PGs exhibit subjacency effects induced by
islands. (Kayne, 1983; Contreras, 1984; Stowell, 1985)
(7) *Which guest did Bill criticize t while
recalling [DP the fact that Sue supported e]?
*Which
one did Bill encourage t without saying [CP where he would
publicly support e]?
*What
student did she criticize t right after [DP introducing e to
a professor] was suggested?
Thus, at least some PGs must be
additionally bound at s-structure by a lower operator Oi in the
clause containing the PG. In these cases, e is a trace of Oi
at s-structure.
(8) Which one did Bill dismiss t without [
Oi interviewing e]?
Which
one did she criticize t right after [ Oi introducing e]?
?Which guest did Bill criticize t while recalling [ Oi
that Sue had supported e]?
There
are now two questions that must be posed about this lower operator with PGs.
First:
(9) What
can be the location of the lower operators Oi?
Second,
if the definition of a variable (4) is to continue to describe the relation in
LF between the higher operators and PGs e, then the s-structure
lower operators Oi must be deleted in LF.
(10) How
do the lower operators Oi come to be deleted in LF?
If
these Oi are not deleted in LF, then PGs are in reality not
parasitic and Chomsky’s crucial definition of variables (4) lacks generality
and hence interest.
3. The
location of the parasitic operator Oi
It
is often quickly concluded that parasitic gaps occur freely in various
adverbial clauses. This is far from so, and limitations on where they can occur
provide important clues as to the location of the parasitic operator Oi.
I
then attribute the lack of PGs in constructions to the lack of this Oi.
3.1. Simple
participial PG clauses are fine while simple finite PG clauses are not.
Contrary to commentary about all PG clauses
being marginal, finiteness provides the real contrast in English.[3]
(11) I liked the painting that the expert
scrutinized t before describing e to the owner.
Which books did he make a
list of t while putting e away?
Which students did she
criticize t after introducing e to the professor?
(12) *I liked the painting that the expert
scrutinized t before Mary described e to the owner.
*Which books should I make a list of t while
we are putting e away?
*Which students did she criticize t after the boss
had introduced e to the professor?
(13) *Which books did so many people take out t
that Sue had to rebind e?
*I didn’t meet the people John invited t in
order that I might speak to e about a job.
*How many tools did you
bring t in case the carpenters need e?
3.2. No Oi in infinitives with overt subjects.
Bordelois (1985) argues with Spanish paradigms
that intervening overt subjects block parasitic gaps. English examples show the
same thing, contra a point in Culicover (2001):
(14) Who do we have to take t to a jazz club
in order (*for you) to impress e?
The
computer they bought t in order (*for their kids) to take e on their trip was
faulty.
3.3. PGs
are not good in adverbial participles lacking conjunctions.
(15) *I
disliked the one that she scrutinized t describing e to the owner.
*What dishes
should I dry t putting e away?
*Which students do we need to praise t
introducing e to you?
3.4. PGs are excluded in absolute
constructions.
(16) *The papers I can't locate t with the
staff putting e away so soon are important.
*Which supplies don't you trust t with
Bill getting e so cheap?
The
four puzzles suggest that exactly the sequence: overt P + non-finite V plays a
curious role in allowing PGs with parasitic operators Oi. This
previously unrecognized factor is the basis of the present analysis.
4. The
lower operator Oi is not in SPEC(CP). Rather, it is in SPEC(IP) or
SPEC(DP).
The
adverbial constructions introduced by overt P + non-finite V, even though it
favors PGs, otherwise exhibit no COMP phenomena of the type which motivates
SPEC(CP).
4.1. The constructions P + non-finite V show no
evidence of a long distance escape hatch for A-bar movement; see examples (3). This
restriction on movement motivates Huang’s (1982) Condition on Extraction
Domains.
4.2. These adjunct constructions show no
evidence of null operators other than the PG lower operator itself:
(17) *Bill had to find a walli Oi
before leaning the boards against ti.
*We must justify more receiptsi
Oi in order to list ti for the tax investigation.
4.3. The constructions P + non-finite V can
contain no overt WH phrases:
(18) *Bill hired the candidate in order
who(ever) to please in his home state.
*She
might criticize us after whatever tasks doing for low pay.
We
need to find some other landing site, presumably also a SPEC, to house the
lower operator for PGs.
(14) Who do we have to take t to a jazz club
in order (*for you) to impress e?
The
computer they bought t in order (*for their kids) to take e on their
trip was faulty.
Certain subordinating P do not impose obligatory
control on their DP-gerund (V + ing) complements (19):
(19) She scrutinized the paintings without
the owner(‘s) knowing about it.
Instead of John
putting away the dishes, let’s leave now.
But with parasitic gaps, these same
gerunds tolerate no overt subject (20):
(20) Which paintings could she scrutinize
without (*the owner) bringing to the gallery?
These
are the dishes you should leave out instead of (*John) putting away.
(14)
and (19)-(20) suggest a first, descriptive version of my hypothesis for the
lower operator in parasitic gaps:
(21) Lower Operator Hypothesis
(tentative): A non-case-marked SPEC(IP) can house a lower or parasitic operator
for PGs.
The LOH (21) immediately explains why PGs are
ill-formed in finite clauses (12)-(13) or infinitives with overt subjects (14).
Similarly, Absolute constructions must contain an overt lexical subject and so
exclude PGs (16).
The
Lower Operator Hypothesis can explain (15) if extended from infinitive clauses
to V + ing clauses, i.e., to all non-finite clauses, along the following
lines.
English introduced and headed by V + ing
are generally of two types:
(22) a. DP gerunds are generated freely in
all structural DP positions. They translate as Spanish infinitives or finite
clauses, but never as ‘gerundios’ introduced by V + ndo. English
gerunds pass all DP tests (Rosenbaum, 1967; Emonds, 1976).
b. Non-DP participles are generated freely in
structural AP positions. They always translate as Spanish ‘gerundios’. English
participles fail all DP tests in both languages (Emonds, 1985, Ch. 2).[4]
We can’t easily tell which of these two types
includes the PG-favoring adverbial sequence in (15), i.e., “overt P + V + ing”,
because Huang’s CED independently stops us from using movement to test these
for DP status:
(23) *It’s { the dinner party/ introducing
me } that you should reveal our secret after.
*It
was { a fair interview/ reviewing his book } that Bill dismissed her without.
Moreover, obligatory control actually says
nothing about whether a sequence V + ing is a DP (22a) or not (22b),
since gerunds can also exhibit such control.
(24) She
avoided (*the owner's) selling the painting.
Sue
tried (*my) lecturing the new students.
But what decides that the sequences P + V + ing
in (15) are deep DPs is that they otherwise fit with (22a). They translate as
Spanish infinitives introduced by P, and never as ‘gerundios’.
(25) Lower Operator Hypothesis: A non-case-marked
SPEC(IP) or SPEC(DP) can house a lower or parasitic (A-bar) operator for PGs.
By requiring a non-case-marked SPEC, the LOH
(25) accounts for why IPs with a lower operator Oi are infinitival
and why DPs with O i are gerundive.
5. Explaining why
parasitic gaps must be DPs
Emonds
(1985) and Lasnik & Stowell (1991): PGs are limited to DPs and cannot be
PPs or APs.
(26) a. *This
is a neighborhood in which you should look around t before residing [PP
e].
This is a
neighborhood which you should look over t before residing in [DP
e].
b. *For whom did
he ever work t without praying [PP e]?
Who would he ever work with t without
praying for [DP e]?
c. *How sick did
John say he felt before actually getting [AP e]?
d. *How clever
does she look while acting [AP e] in company?
Lasnik & Stowell's proposal is that PGs are
limited to DPs because empty operators Oi only bind names and names
are DPs; but this stipulation is incorrect for many Oi beyond PGs:
(27) In
the hall would be a good place Oi to put it [PP ei ].
Less abrasive would be an appropriate way Oi
to act [AP ei ].
Summary of data patterns. The LOH (25) thus successfully explains (i) the DP status of PGs, (ii)
paradigms for (3.1)-(3.4), (iii) the paradigms supporting (4.1)-(4.3), (iv) subjacency
effects on PGs, and (v) the No C-Command Condition (1). No competing account of
PGs makes so many predictions. They follow with no extra stipulations beyond
the Lower Operator Hypothesis itself and whatever answers the remaining
question (10).
(10)
How do the lower operators Oi come to be deleted in LF?
The
LOH is so strongly supported that theory should accommodate it and not
vice-versa.
The
LOH and (10) thus reduce to the two intriguing problems (28)-(29), still to be
derived:
(28) In the structure [IP/DP (DP')
- I/D – XP ], the SPEC position DP' may have binding properties of an A-bar
(non-argument) position, provided it is deleted in LF. Cf. also Deprez (1994).
(29) In this same structure, if DP' is an
A-bar position and X = V, the subject of V cannot be in SPEC position but must
be elsewhere (higher).
The
solution to (28) is a nearly trivial extension of the system of LF
deletions in Lasnik and Saito (1984).
The
solution to (29) is based on applying the structural definition of
subject in Emonds (1985) to trees at LF, and not earlier in a
derivation.
6. The
sequence of T-model operations on a Cyclic Domain
(28) becomes less puzzling by conceptualizing
Chomsky & Lasnik’s (1977) T-model as applying not to deep structures but
rather to a series of derivational “phases,” such as the cyclic domains IP and
DP.
(30) First,
heads of YP are selected in terms of subcategorized complements of Y (Merge).
(31) Second,
phrases can Move to SPEC(YP) positions, including SPEC(IP) and SPEC(DP).
This second step becomes A-movement (to a
subject position) if and only if case is directly assigned to the SPEC
position. I
assume case assignment is always optional, resulting in Case Filter violations
in argument chains if not applied. If case is not assigned, movement to SPEC is
A-bar movement.
Thus, when a DP moves to a subject position
SPEC(DP) by the structure-preservation of Emonds (1976), SPEC can be an A-bar
position if no case assigner assigns case. Similarly on an IP domain: if no
case assigner assigns case, SPEC(IP) can be an A-bar position. That is,
these SPEC positions can house A-bar binders.
However, these A-bar SPEC positions are not
automatically interpretable operators, due to (32)-(33).
(32) Specific
interpretive rules for LF must license any configurations that are not licensed
by Merge.
(33) English
operators can be licensed for LF only in SPEC(CP).
Consequently such A-bar DPs (i.e., the lower
operators with parasitic gaps) must eventually delete. This happens as the
bottom up sequencing of operations on cyclic domains continues:
(34) Third,
Spell Out derives Phonological Form on the YP domain.
(35) Fourth, Logical Form on the YP
domain is derived after Spell Out, by (33) and by deleting uninterpretable
empty elements under appropriate identity of indexing.
7. Deriving LF: deleting and pruning empty
categories
When (35) processes a domain YP whose SPEC
contains an empty (parasitic) operator Oi, nothing happens to
prepare Oi for LF. However, on the next largest domain XP,
which always exists for parasitic operators, this now “lower” operator Oi
can delete if it is co-indexed with (i.e., locally bound by) some ZPi
in XP.[5]
This deletion on the higher XP domain conforms
to the system of deleting “intermediate traces” in COMP in Lasnik & Saito
(1984). There is no reason not to consider it rather as applying to a chain of
operators.
There may be reasons for
allowing LF deletion to apply only to operators, i.e. to non-argument
positions. The intermediate argument trace ti’ must remain in LF to
properly bind the anaphor in (36).
(36) Johni
is likely ti’ to seem to himself ti to be incompetent.
A lower operator binding PGs fulfills the same
range of conditions as do “intermediate operators” in successive cyclic chains
of WH-movement:
(37) a. They
are empty categories in the highest SPEC position of a cyclic domain @.
b. They are
locally bound by an operator not in a theta position, in the smallest cyclic
domain above @.
c. They are not
in a case-marked position.
d. They are in a
position where they typically alternate (and cannot co-occur) with a
phonologically realized phrase.
e. They are
freely generated only when they bind arguments, not when they bind adjuncts.
These parasitic operators are forced to delete.
Then, adjuncts bound by these operators in PG s-structures are ill-formed when
that operator disappears in LF.
(38) *Which room did the artist move out of t
before painting her portraits in e?
?This is the car that Joan wants to sell t
instead of driving to work in e.
?Who are they preparing to see now t in order
to visit museums with e next week?
(39) ?Which room did the artist move out of
before putting her portraits in?
This is the road that Joan avoids instead of driving
along.
Who are they telephoning now in order to visit next
week?
I attribute the operator deletion to a step that
is not part of a derivation but of the definition of projection. (revising a
proposal by S.-Y. Kuroda).
(40) Pruning: YP disappears when its head has no marked
features and its SPEC is deleted.
Thus in LF, a clause with a typical PG looks
like (41); the bold nodes delete and prune in LF and are thus absent in the
final interface representation. I simplify the representation of gerunds as VPs
in an NP position.
(41) [SPEC(CP) which one]k
did [IP Bill [V’ dismiss tk ] without [DP
[SPEC(DP) ø ] [D’ [D ø ] [VP interviewing tk ]]]]
The No C-command condition (1) again holds in
full generality: the two empty tk in (41) are not in a C-command
relation, and both are locally bound by the same LF operator in SPEC which
one.
There remains a question, however. Where is
the subject of the lower V interview in (41) in LF?
8. Extending
the analysis to long distance movement
Lifting the limitation to PGs, we can observe
the same processes in arguments as are at work in adjuncts: The possessive
position in English DP gerunds can act like a deletable intermediate operator.
(42) Lower
Operator Hypothesis (extended): A non-case-marked SPEC(DP) with V + ing
can house a lower or parasitic
(A-bar) operator.
When SPEC(DP) is a subject (with its own theta
role), i.e., disjoint in reference from any higher subject, it must survive at
LF. This makes long distance movement through SPEC(DP) impossible.
(43) *Which prisonersi did they
criticize PROj executing ti for petty crimes?
*Whati
did John enjoy Mary's showing off ti at the party?
*The jobsi we talked about Bill’s having
lost ti never paid well.
Now the SPEC of this gerund can serve as a
deletable intermediate trace, exactly as in PG constructions:
(44) Which
prisonersi did they avoid executing ti for petty
crimes?
Whati
did John enjoy showing off ti at the party?
He
asked which lettersi I was worried about having lost ti.
Long distance movement blocked by unlike
subjects in (43) is perfect when the subjects are the same in (44).
9. A
generalized definition of Subject
(29) In the structure [IP/DP
(DP') - D - XP ], if DP’ is an A-bar
position and X = V, the subject of V cannot be in SPEC position but must be
elsewhere.
(45) Extended
Projection Principle. Every interpreted V that heads a phrase must have a
subject in LF.
This statement of the EPP of Chomsky (1981) is
actually more general and explanatory than “the strong D-feature on Tense” in
the minimalist program (see Emonds 2001, Chs. 1, 6, 10).
Generative studies have been laboring for
decades under a misconception, namely that structural subjects, e.g. those that
satisfy the EPP, must somehow be specified as such early in or even at the
beginning of derivations.
For a variety of constructions (passives and
Romance causatives with post-posed agent phrases, Romance restructuring
constructions, auxiliaries), superior accounts emerge if we identify subjects
of Vs only in the final LF interface representations such as (41), i.e.,
in which the bold nodes are absent.
DP subjects are not sisters of predicates but
are rather the lowest DPs that c-command them, as determined by the following
definition:[6]
(46) Generalized definition of Subject. DPj
is the subject of X0 in LF if and only if DPj is the
lowest DP c-commanding X1 such that DPj and X1 are in all the same
DP and IP.
Eventually, (46) will sound simple: “the subject
DP of X0 is the closest DP to X1.” Why? Because all
syntactic relations will require “c-command,” and only nodes in the same
“phases” or “cyclic domains” will be relatable.
Given the pruning of the bold nodes in the LF of
(41), this general definition of subject successfully relates the verb interviewing
in the adverbial clause with the higher subject DPj Bill.
In fact, since every head V interpreted in LF
must have its own subject position in LF (by the EPP), the structure (41) can
survive only through deletion of the DP in the lower SPEC position.
If the DP in the lower SPEC remained, it would
be the subject of the lower V, by (46). It could escape deletion as a parasitic
operators by not having the index k. But then the lowest empty DPk
would be unlicensed.
The
generalized definition of Subject (46) is thus compatible with deletion of a
parasitic operator and the consequent Pruning (40) of the DP (or IP) over a
non-finite adverbial clause containing a PG.
But
the definition of Subject (46) must apply “late” in a derivation after steps (32)-(35) and (40), in order to
successfully locate the “missing subject” in non-finite PG clauses and thus
complete the present analysis.
In conclusion, not only is there no need to properly
identify subjects “early” in a derivation. Defining subjects prior to LF
interferes with effective accounts of many paradigms, some newly presented in
this study.
Defining
subjects at deep structure is in fact incompatible with a successful account of
parasitic gaps.
REFERENCES
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“Parasitic Gaps: Extensions of
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Bordelois, Heles Contreras and Karen Zagona.
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Chomsky, Noam. 1970. “Remarks on
Nominalizations”. Studies on Semantics in Generative Grammar. The Hague:
Mouton, 1-61.
Chomsky, Noam. 1981. Lectures on Government and Binding.
Dordrecht: Foris.
--------. 1982. Concepts and
Consequences. Cambridge: MIT Press.
--------. 1986. Barriers.
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Chomsky, Noam. and Howard Lasnik. 1977.
“Filters and Control”. Linguistic Inquiry 8.425-504.
Contreras, Heles. 1984. “A Note on Parasitic Gaps”.
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Culicover, Peter. 2001.
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Culicover and Paul Postal.
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Deprez, Viviane. 1994. “Parameters of
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and H. van Riemsdijk. Berlin: Mouton de Gruyter.
Emonds, Joseph. 1976. A
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Press.
--------. 1985. A Unified Theory
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--------. 2000. Lexicon and
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[1] Lack
of C-command by a trace is not always sufficient to permit a potential
parasitic gap. The following two structurally similar examples contrast with
respect to permitting a PG.
(i) *Which student did the professor speak
with t about (friends of) e?
(ii) Which neighborhood did the councilman
talk about with the residents of?
[2] It
might be thought that the bold A-bar binder which for the variable e
in example (i) from Stowell (1985, 315) is not local, because of the
intervening who.
(i) This
is the type of book which [ laymen [ who try to read e ] ]
usually can’t understand t.
However, the relative who may
simply not be raised out of IP here into the CP projection. When CP clearly
contains a potential closer A-bar binder, a PG is impossible:
(ii) *This
is the type of book which [ laymen [ who we consult about e ] ]
usually can’t understand t.
[3] Chomsky’s
(1982) example, This is the kind of food you must cook before you eat,
sounds better than the more typical structures below, because a) its two overt
subjects are identical unstressed pronouns, and b) intransitive eat can
pragmatically be construed as referring to the food being cooked (John
cooked the fish and then we ate).
*These
are the tools that I broke before Mary could sell cheap.
*Which
articles did she file if the boss put on her desk?
*Here’s
the editor who we sent your manuscript to just after Mary contacted.
*This is the kind of food this restaurant overcooks when we order.
[4]
Emonds
(1985) argues further that participles without introductory P as in (22b) are
not IPs either.
[5] There
are limitations on permissible positions for ZP, but generally any ZP which is
a WH-phrase in SPEC(CP) seems to be a candidate for properly binding a lower Oi.
[6] Emonds (2000, Ch. 1) argues that subjects of various DP-internal predicates are not always full DPs but sometimes only intermediate N-projections. Hence (46) should be modified (generalized) using “N-projections” including DPs.