The historical Guan Yu
Early life
Guan Yu was born in the county of Xie (解, a subdistrict of present day Yuncheng, Shanxi). The year of his birth is not found in historical records, but according to a 1680 stele in a temple worshipping Guan Yu in his hometown, as well as a biography of Guan Yu written in 1756, Guan Yu's birth year is estimated to be 160.
Guan Yu fled his hometown at the age of twenty-three after slaying a local bully named Lü Xiong (吕熊). Five years later, he arrived in Zhuo Commandery (涿郡, present day Zhuozhou, Hebei), where Liu Bei was recruiting a force to heed the government's call to resist the Yellow Turban Rebellion. Together with Zhang Fei, Guan Yu joined Liu Bei and fought against the rebel forces in northern China. For his efforts Liu Bei was appointed governor of Pingyuan County (平原). Guan Yu and Zhang Fei were also made commanders and given their own divisions of troops. According to the Chronicles of the Three Kingdoms, the three men slept on the same bed and treated one another like brothers. Guan Yu and Zhang Fei also followed Liu Bei wherever he went, and protected him from danger however perilous the situation
In 199 Liu Bei assassinated the governor of Xuzhou (徐州) appointed by the rising warlord Cao Cao and placed Guan Yu in control of the regional capital Xiapi, while he returned to Xiaopei (小沛). Cao Cao soon retaliated, personally leading a campaign east to reclaim Xuzhou. Liu Bei fled to seek refuge under Yuan Shao, a powerful warlord further north, but Xiapi was captured and Guan Yu surrendered to Cao Cao. Cao Cao treated Guan Yu with respect and even made him a deputy general.
Short service under Cao Cao
In 200, Yuan Shao mustered an army boasting 100,000 in strength and marched on Xuchang, the new capital and base city of Cao Cao. To ensure a safe crossing of the Yellow River, Yuan Shao sent his trusted general Yan Liang to attack Baima (白马, northeast of present day Huaxian, Henan) as a diversionary tactic. In a counter-tactic, Cao Cao moved his main force westwards along the Yellow River, diverting Yuan Shao's army in the same direction, but sent Guan Yu and Zhang Liao east to relieve the attack on Baima. Upon reaching Baima, Guan Yu saw from afar the standard on Yan Liang's chariot and urged his mount towards the latter. He speared Yan Liang amid the enemy troops, and brought back his severed head. Thus Yuan Shao lost an important lieutenant and the siege of Baima was unravelled. Guan Yu was then enfeoffed as Marquis1 of Hanshou (汉夀亭侯).
After doing Cao Cao this favor, Guan Yu declined further gifts from the former. Leaving behind a letter, he left for his former lord, who was still in the camp of Yuan Shao. When some of his subordinates wanted to pursue Guan Yu, Cao Cao stopped them, saying, "To each his own."
Capture of Jingzhou
After Cao Cao defeated Yuan Shao at the decisive Battle of Guandu, Liu Bei went south to seek shelter under Jingzhou (荆州) governor Liu Biao, who soon died of sickness. Cao Cao took the opportunity to expand his control south and seized a great part of Jingzhou north of the Yangtze River, but Liu Bei escaped south and formed a coalition with Sun Quan, a powerful warlord controlling most of southeastern China. The coalition defeated Cao Cao at the Battle of Red Cliffs and Jingzhou was reclaimed. Guan Yu was promoted to General Who Purges Rebels (荡寇将军) and made governor of Xiangyang (but he was stationed in Jiangling), in charge of the defense of northern Jingzhou.
In 213, Liu Bei left for Yizhou (present day Sichuan) and took over the region two years later, staying there ever since. In 219, Liu Bei proclaimed himself King of Hanzhong (汉中王) and promoted Guan Yu to General of the Front (前将军), ranked first among the top five generals under his service (popularly known as the Five Tiger Generals, among whom were Zhang Fei, Zhao Yun, Ma Chao and Huang Zhong).
Downfall
In the same year Guan Yu attacked Fancheng (樊城, present day Xiangfan, Hubei), a city near Xiangyang which was defended by Cao Ren, a trusted general and cousin of Cao Cao. A long spell of rainfall as autumn came around flooded the Han River next to the city, which greatly aided Guan Yu. The flood drowned the majority of the relief troops Cao Cao sent, while their commanders, Yu Jin and Pang De, were both captured by Guan Yu. However, a further relief force under Xu Huang successfully repelled the invaders. When Guan Yu returned to Jiangling, he found that traitors Mi Fang (麋芳) and Shi Ren (士仁) had surrendered the city to Sun Quan, with whom Liu Bei's relations had soured.
With many of his troops deserted, Guan Yu attempted to retreat west to reunite with Liu Bei. However, he was encircled by Sun Quan's forces west of Maicheng (麦城, southeast of present day Dangyang, Hubei) and captured along with his son Guan Ping. Both were executed. Sun Quan sent Guan Yu's head to Cao Cao (in an attempt to lay blame on Cao Cao), who buried the body with the honors befitting a marquis. Guan Yu was given the posthumous title of Marquis Zhuangmou (壮缪侯).
In 223, Liu Bei attempted a campaign to recapture Jingzhou and avenge Guan Yu, which culminated in his decisive defeat at the Battle of Yiling. Guan Yu's son Guan Xing and grandson Guan Tong both served as military commanders in the Kingdom of Shu. According to the Record of Shu (蜀记) by Wang Yin (王隐), after the Kingdom of Wei conquered Shu in 263, Guan Yu's entire household was massacred by Pang Hui, son of Pang De who was executed by Guan Yu at the Battle of Fancheng.
Note
1 The title of marquis was divided into three grades during the late Han Dynasty and Three Kingdoms period. These are, in ascending order of prestige, tinghou (亭侯), xianghou (乡侯) and xianhou (县侯). Guan Yu's was the first.
The Romance of the Three Kingdoms is a historical novel based on the events that occurred before and during the Three Kingdoms period. Written by Luo Guanzhong more than a millenium after the Three Kingdoms period, the novel incorporates many popular folklore and opera scripts into the character of Guan Yu, making him one of the most altered and aggrandized in the book. Significant incidents that deviate from true history include:
Brotherhood sworn in the garden of peach blossoms
One of the most well-known story from the novel, found in the first chapter, it speaks of Liu Bei, Guan Yu and Zhang Fei who, having met by chance in the county of Zhuo in 188, found that all three shared the same desire to serve the country in the tumultuous times. They swore to be brothers the next day in Zhang Fei's backyard, which was a garden full of peach blossoms. Liu Bei was ranked the eldest, Guan Yu the second, and Zhang Fei the youngest. Having done this, they recruited more than 300 local men and joined the resistance against Yellow Turban rebels.
In true history, the three did not swear brotherhood. The Chronicles of the Three Kingdoms says the three often shared a bed, and treated one another as brothers. Guan Yu was also a year older than Liu Bei, not younger.
The peach blossom oath inspired the present day secret societies in Chinese communities, such as the Triad, to use a similar ritual when swearing in new members. "Though not born on the same day of the same month in the same year, we hope to die so" 钬?the phrase the three borthers made during the oath 钬?had also become popular among the present day secret society members.
Slaying Hua Xiong
In Chapter 5, warlords around the country formed a coalition against Dong Zhuo, the tyrannical warlord and minister who held the puppet Emperor Xian hostage in the capital Luoyang. Guan Yu and his sworn brothers were then serving in the camp of Gongsun Zan, a warlord from northern China who was also in the coalition.
Dong Zhuo placed Hua Xiong at the Sishui Pass to ward off the attack. Having singlehandedly slain four generals of the coalition – Bao Zhong (鲍忠), Zu Mao (祖茂), Yu She (俞涉) and Pan Feng (潘凤) – Hua Xiong seemed indomitable. Despite mistrust from many leaders of the coalition, Guan Yu, who was a mere horsed archer then, volunteered to duel Hua Xiong. Cao Cao, one of the eighteen coalition leaders, poured Guan Yu a cup of hot wine but the latter declined, claiming he would soon return. Within moments Guan Yu truly reappeared with Hua Xiong's head in hand, while the wine was still warm!
In true history Hua Xiong was executed after his force was defeated by Sun Jian at Yangren (阳人).
Surrender to Cao Cao
In Chapter 25, Cao Cao attacked Liu Bei's position in Xuzhou (徐州). The defeated Liu Bei escaped to seek refuge in the camp of Yuan Shao, a powerful warlord in the north. Guan Yu, along with two wives of Liu Bei, was besieged in the city of Xiapi. Taunting outside the city walls, Cao Cao's general Xiahou Dun managed to draw Guan Yu out. As he pursued his enemy far from the city gate, Guan Yu found his retreat cut off by the invading troops. He then made a stand on top of a nearby knoll, but the city was already taken
Zhang Liao, another general under Cao Cao who was an old friend of Guan Yu, then came unarmed up the knoll. He tried to persuade Guan Yu to surrender using reason. Guan Yu agreed, but with three conditions: that the surrender was to the Han emperor and not Cao Cao; that the two wives of Liu Bei were to be suitably provided for and protected; and that all three would leave to seek Liu Bei once they found out his whereabouts. These conditions were agreed to and Guan Yu finally surrendered without breaking the code of loyalty. Cao Cao was very pleased and showered Guan Yu with many gifts, including Red Hare, a top-grade steed previously owned by the warrior Lü Bu.
According to the Chronicles of the Three Kingdoms, both Guan Yu and family members of Liu Bei were captured after Xiapi was fallen, though it was not stated in any known historical records that Guan Yu made the three conditions of surrender. The gift of Red Hare was probably also fabricated later.
Slaying Yan Liang
Also in Chapter 25, Cao Cao confronted Yuan Shao on the shores of the Yellow River. To ensure a safe crossing south, Yuan Shao sent a diversionary force east under his trusted general Yan Liang to attack Baima (白马, northeast of present day Huaxian, Henan). Cao Cao drew a 50,000-strong army and came personally to defend Baima. As the two armies made their stands across the plain, Cao Cao sent out Song Xian and Wei Xu to duel with Yan Liang, but both were slew within bouts. As suggested by advisor Cheng Yu (程昱), Cao Cao then sent for Guan Yu.
The next day, as Yan Liang's army lined up on the battlefield, Guan Yu sat with Cao Cao on a hillock and looked down. From afar he saw Yan Liang sitting on a chariot under the army standard. Leaping onto the Red Hare, Guan Yu galloped straight into the enemy ranks, which broke before him like waves before a swift vessel. Before Yan Liang could react, he was struck down by his nemesis. Guan Yu severed Yan Liang's head, tied it to the neck of his steed and rode back unhindered.
In true history Cao Cao did not participate personally in the Battle of Baima but rather led his main force westwards along the Yellow River to draw Yuan Shao in the same direction. Guan Yu and Zhang Liao were then sent to defend Baima against Yan Liang's division.
Slaying Wen Chou
In Chapter 26, following the death of Yan Liang in Guan Yu's hands, Wen Chou, another trusted general of Yuan Shao, volunteered to avenge his close friend. Leading 100,000 troops, Wen Chou crossed the Yellow River and came for Cao Cao's camp. In an unusual move, Cao Cao turned his entire formation around, placing the supplies in front. While Wen Chou's soldiers made an easy task robbing the supplies, Cao Cao directed his men south onto a knoll, from where they allowed their horses to graze. Wen Chou's soldiers pounced upon the horses as they approached the knoll and became disorganized. Cao Cao then gave the order for a counterattack, forcing the enemies to retreat.
Zhang Liao and Xu Huang immediately gave chase. Wen Chou fired two arrows from atop his horse, one of which cut off the feather on Zhang Liao's helmet and the other hit Zhang Liao's horse in the face. With his poleaxe, Xu Huang came for Wen Chou but had to retreat when a band of enemy soldiers came to their commander's rescue. Leading a dozen riders, Guan Yu cut off Wen Chou's escape and engaged in a duel with the enemy. Within three bouts, Wen Chou withdrew and attempted to evade. However, Guan Yu's Red Hare was of a superior breed and soon caught up. Guan Yu then slew Wen Chou from behind.
It was not stated in historical records whether Wen Chou was killed by Guan Yu in battle, only that Wen Chou's force was defeated and himself was killed.
Crossing five passes and slaying six warriors
Another of the most popular stories surrounding Guan Yu, this tale speaks of the loyal man's hazardous journey to reunite with his lord and sworn brother Liu Bei, who was residing in Yuan Shao's camp. The five passes mentioned in fact only consist of two bona fide passes 钬?Dongling and Sishui 钬?while the rest were two cities and a guarded ferry point.
The story began late in Chapter 26 where, having found out the whereabouts of Liu Bei some time after the slaying of Wen Chou, Guan Yu prepared to leave Xuchang along with Liu Bei's two wives. Unable to keep the determined general, Cao Cao forbade his subjects from pursuing Guan Yu.
Riding beside the horse carriage carrying his sisters-in-law, Guan Yu set off for Luoyang. However, he was stopped at Dongling Pass (东岭关, south of present day Dengfeng, Henan) by the pass defender Kong Xiu (孔秀), who refused passage for the former without a document from Cao Cao. Guan Yu had no choice but to slay Kong Xiu in a duel and force through the pass.
Having crossed the first pass, Guan Yu arrived outside Luoyang. The city governor Han Fu (韩福) drew a thousand troops and blocked the city gate. Han Fu's aide Meng Tan (孟坦) came forward to duel Guan Yu. Within bouts, Meng Tan retreated in an attempt to draw Guan Yu into a trap, but Guan Yu's horse was fast and Meng Tan was slashed into halves before he could escape. However, Han Fu had already taken aim and fired an arrow at Guan Yu, who was struck in the left arm. Plucking the arrow out from the bleeding wound, Guan Yu then came for Han Fu and cleaved him clean below the shoulders.
Having dressed his wound, Guan Yu was anxious to move on. The company moved through the night to arrive at Sishui Pass (汜水关, north of present day Xingyang, Henan). The pass defender, Bian Xi, laid 200 men in ambush in a temple outside the pass, while he went out to meet Guan Yu. Having won the trust of the latter, Bian Xi then invited Guan Yu to a feast in the temple hall. One of the monks, who was also from the county of Xie, hinted the danger to his fellow townsfolk. The ambush then failed and Guan Yu slew the scheming Bian Xi and left for Xingyang (荥阳).
Wang Zhi (王植), the governor of Xingyang, attempted a similar scheme. Feigning kindness towards Guan Yu, Wang Zhi led the company to a relay station to settle for the night. He then ordered his deputy Hu Ban (胡班) to draw a thousand troops to surround the station and burn it. Curious about how the famed Guan Yu looked like, Hu Ban decided to go into the station to take a peek. Guan Yu heard him and asked who he was, whereupon he learnt that Hu Ban was the son of Hu Hua (胡华), an old villager who had given Guan Yu's company lodging early in the journey. Guan Yu then passed Hu Ban a letter from his father, which told of the loyal and upright man Guan Yu was, whereupon Hu Ban divulged Wang Zhi's plot, and opened the city gate for Guan Yu to escape. However, Wang Zhi soon caught up and came for Guan Yu with his spear poised. Guan Yu spun around and cleaved him in half.
Trudging along, the company finally arrived at the ferry point on the southern shore of the Yellow River. Qin Qi (秦琪), the defender of the crossing, met a similar fate as his colleagues who dared challenge Guan Yu. Within a bout, Guan Yu severed Qin Qi's head with a sweep of his sabre. Thus the company finally crossed the Yellow River and came to Yuan Shao's territory, though, unknown to them, Liu Bei had by then already moved to Runan (汝南).
Throughout Guan Yu's escape, he also encountered Zhang Liao and Xiahou Dun, who eventually did not resist him much as Cao Cao kept wavering between his orders to stop Guan Yu or to let him go. At the end of his departure, Guan was to meet Zhang Fei, who, against the advice of others, was infuriated with Guan for having defected and picked up his spear to fight him. Guan was unprepared for this but after several bouts, Guan managed to convince Zhang that he was still true to their brotherhood.
Releasing Cao Cao at Huarong Trail
In Chapter 50, after the fire started burning his ships at the Battle of Red Cliffs, Cao Cao gathered all the men he could and escaped towards the city of Jiangling. Under instruction from advisor Zhuge Liang, Guan Yu led 500 foot soldiers and lay in wait along the Huarong Trail, a narrow shortcut in the woods leading to Jiangling. Prior to leaving, Guan Yu had duly sworn an oath not to allow Cao Cao passage over past favours from the warlord.
On the other hand, Cao Cao had come to a fork in the road during his perilous escape. Columns of smoke were seen rising from the narrower path. Cao Cao judged that the smoke was a trick of the enemy to divert him to the main road, where an ambush must have been laid. He then led his men towards the narrow path - the Huarong Trail.
The smoke was indeed a trick by Zhuge Liang. Grasping Cao Cao's psychology exactly, however, Zhuge Liang had meant to direct him to the Huarong Trail, where Guan Yu with his men were waiting. Upon being cut off, Cao Cao rode forward and appealed to Guan Yu to remember his kindness in former days. Seeing the plight of the defeated men and recalling the former favors he received from Cao Cao, Guan Yu eventually allowed the enemy to pass through without challenge, despite his previous oath. Upon returning, Guan Yu pleaded guilty and would have been executed at the order of Zhuge Liang if not for Liu Bei's intercession
One day, the famed physician Hua Tuo came by a boat from the east and went to see Guan Yu, who was playing a game of go with advisor Ma Liang. After examining the wound, Hua Tuo told Guan Yu he had to cut open the flesh and scrape off the residual poison on the surface of the bones. He also suggested that the patient place the injured arm through a ring fixed to a pillar to prevent movement in the absence of anaesthesia, and that blindfold be applied. However, Guan Yu requested that the primitive surgery be performed on the spot, while he continued the game. Those around him cringed at the sound of the knife scraping the bone, but Guan Yu ate and drank, talked and laughed as if he did not feel any pain, presumably not to affect the morale of his army.
Within moments, the treatment was completed. Hua Tuo applied some medications to the wound and sewed it up. Guan Yu laughed and praised the skills of the physician, for the arm felt no more pain. Hua Tuo then left without accepting any reward.
The Chronicles of the Three Kingdoms did record a similar incident, though the physician was not named. Also, the injury was sustained on the left arm instead of the right at an unspecified time.
Enlightenment on Yuqian Hill
In Chapter 77, after Guan Yu was beheaded by Sun Quan, lord of the Kingdom of Wu, his spirit roamed the land, crying, "Give me back my head!" Thus he came to Yuquan Hill (玉泉山) outside Dangyang County (present day city of Dangyang, Hubei), where he met the same monk who saved his life at the temple outside Sishui Pass many years ago during his journey t
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