Liu Bei

Historical Record（史载）

Liu Bei, styled Xuande, was a descendant of Liu Sheng, the Jing King of Zhongshan and a son of Emperor Jing of Han; he was a native of Zhuo County in Zhuo Commandery^[1]. He lost his father in his youth and made a living together with his mother weaving mats and selling shoes. At the southeast corner of his family's home stood a tall mulberry tree shaped like the canopy of a carriage, which was regarded as an extraordinary omen, foretelling that a person of high rank would emerge from his household^[2]. In his youth Liu Bei did not care for reading, but was fond of dogs, horses, music, and fine clothes. He was seven chi and five cun tall, his hands reached past his knees, and he could see his own ears. He spoke little, was good at dealing with people, did not show his joy or anger on his face, and was fond of associating with bold and chivalrous men, so that he was much admired by the young. Zhang Shiping, Su Shuang, and other great merchants of Zhongshan, recognizing his extraordinary nature, funded him with money, and Liu Bei was thereby able to recruit a following^[2].

At the end of Emperor Ling's reign, when the Yellow Turban Rebellion broke out, Liu Bei led his followers to join Colonel Zou Jing in suppressing the Yellow Turban bandits, and for his merit was appointed Commandant of Anxi. Later, dissatisfied that the inspecting clerk demanded bribes, he flogged the clerk, abandoned his office, and fled^[3]. Before long he joined the commandant Wuqiu Yi in raising troops; encountering bandits at Xiapi, he fought hard and won merit, and successively held the posts of Aide of Xiami, Commandant of Gaotang, and Prefect of Gaotang. After Gaotang was overrun by bandits, Liu Bei went over to Gongsun Zan, who memorialized him as Major of a Separate Division. Together with Tian Kai, the Inspector of Qing Province, he resisted Yuan Shao, the Governor of Jizhou, and won repeated merits in battle; afterward he served on a trial basis as Prefect of Pingyuan and then held the post of Chancellor of Pingyuan^[3].

When Cao Cao campaigned against Xu Province, Tao Qian, the Governor of Xu Province, sought aid from Tian Kai, and Liu Bei went with Tian Kai. At that time Liu Bei already had over a thousand soldiers, along with Wuhuan and miscellaneous Hu cavalry and several thousand famine refugees. Upon his arrival, Tao Qian further added four thousand Danyang troops to his command, and Liu Bei thereupon attached himself to Tao Qian. When Tao Qian was gravely ill, he believed that none but Liu Bei could bring peace to the province, and before his death he entrusted Xu Province to him. At first Liu Bei was unwilling to accept, but persuaded by Chen Deng, Kong Rong, and others, he finally took control of Xu Province^[4].

In the first year of Jian'an, Yuan Shu attacked Liu Bei at Xuyi and Huaiyin, and Liu Bei held him off. Cao Cao memorialized Liu Bei as General Who Guards the East and enfeoffed him as Marquis of Yicheng Village^[4]. Liu Bei stood in confrontation with Yuan Shu for over a month, when Lü Bu took advantage of the opening to seize Xiapi and captured Liu Bei's wife. Liu Bei moved his army to Haixi, and later reconciled with Lü Bu, who returned his wife; Liu Bei then sent Guan Yu to garrison Xiapi^[4]. Liu Bei returned to Xiaopei and again recruited over ten thousand men. Displeased, Lü Bu attacked Liu Bei, who was defeated and fled to Cao Cao. Cao Cao treated Liu Bei generously, appointed him Governor of Yu Province, supplied him with troops and provisions, and ordered him to strike Lü Bu in the east. Lü Bu sent Gao Shun to attack Liu Bei; Cao Cao sent Xiahou Dun to the rescue, but Xiahou Dun was defeated by Gao Shun, and Liu Bei's wife was captured once again. Cao Cao personally campaigned east, and together with Liu Bei surrounded Lü Bu at Xiapi, taking Lü Bu alive. Liu Bei was thus reunited with his wife and returned with Cao Cao to Xu. Cao Cao memorialized Liu Bei as General of the Left and treated him very generously—riding in the same carriage when they went out and sitting on the same mat when they sat^[5].

Before Liu Bei left Xu, Dong Cheng received a secret edict from Emperor Xian to plot the assassination of Cao Cao, and Liu Bei took part in it^[6]. Cao Cao once said to Liu Bei, "In all the realm today, the heroes are only you, sir, and Cao." Hearing this, Liu Bei was so startled he dropped his chopsticks^[6]. Later Liu Bei occupied Xiapi, killed Che Zhou the Inspector of Xu Province, left Guan Yu to garrison Xiapi, and himself returned to Xiaopei^[7]. Chang Ba and many commanderies and counties rebelled against Cao Cao and went over to Liu Bei, his followers reaching tens of thousands. Liu Bei sent Sun Qian to ally with Yuan Shao. Cao Cao sent Liu Dai and Wang Zhong to attack Liu Bei, but they could not prevail^[7]. In the fifth year of Jian'an, Cao Cao campaigned east against Liu Bei; Liu Bei was defeated, Cao Cao captured his wife, and took Guan Yu prisoner^[7].

Liu Bei fled to Yuan Shao, and Yuan Shao and his sons esteemed him wholeheartedly^[8]. Later Liu Bei persuaded Yuan Shao to ally with Liu Biao in the south, and Yuan Shao sent Liu Bei with troops to Runan, where he joined forces with Gong Du and other bandits, several thousand strong. Cao Cao sent Cai Yang to attack Liu Bei, but Cai Yang was killed by Liu Bei^[8]. After Cao Cao defeated Yuan Shao, he marched south to attack Liu Bei. Liu Bei sent Mi Zhu and Sun Qian to make contact with Liu Biao, who received him with the courtesy due an honored guest, augmented his forces, and had him garrison Xinye. Many of the bold men of Jing Province went over to Liu Bei, and Liu Biao, suspecting his intentions, secretly guarded against him^[9]. Liu Bei once set an ambush and defeated Xiahou Dun, Yu Jin, and others^[9].

In the twelfth year of Jian'an, when Cao Cao campaigned north against the Wuhuan, Liu Bei urged Liu Biao to seize Xu, but Liu Biao could not bring himself to adopt the plan^[10]. Cao Cao campaigned south against Liu Biao; Liu Biao died of illness, and after his son Liu Cong succeeded him, Liu Cong surrendered to Cao. Liu Bei was garrisoning Fancheng, unaware that Cao Cao's main army had arrived; only when he reached Wancheng did he learn of it, whereupon he led his followers in a retreat to the south. Passing through Xiangyang, Zhuge Liang urged Liu Bei to seize Liu Cong, but Liu Bei could not bring himself to do so^[10]. Liu Bei retreated south to Changban in Dangyang, where Cao Cao led elite cavalry in pursuit; Liu Bei abandoned his wife and fled with Zhuge Liang, Zhang Fei, Zhao Yun, and several dozen horsemen, while Cao Cao captured a great number of his people and baggage^[11]. Liu Bei cut across toward Hanjin, joined up with Guan Yu's naval forces, and afterward rendezvoused with Liu Qi at Xiakou^[11]. Liu Bei sent Zhuge Liang to make contact with Sun Quan, who dispatched Zhou Yu, Cheng Pu, and others with naval forces tens of thousands strong to join Liu Bei; at Red Cliffs they crushed Cao Cao and burned his ships^[11].

After the Battle of Red Cliffs, Liu Bei memorialized Liu Qi as Inspector of Jing Province and campaigned south against the four commanderies, where Jin Xuan, Han Xuan, Zhao Fan, and Liu Du all surrendered^[12]. After Liu Qi died of illness, the assembly raised Liu Bei as Governor of Jing Province, with his seat at Gong'an. Sun Quan, somewhat wary of Liu Bei, married his younger sister to Liu Bei to cement their friendship^[12]. In the sixteenth year of Jian'an, Liu Zhang, the Governor of Yi Province, heard that Cao Cao was about to attack Zhang Lu and was filled with fear. Zhang Song urged Liu Zhang to welcome Liu Bei into Shu to campaign against Zhang Lu. Liu Zhang thereupon sent Fa Zheng to welcome Liu Bei, and bribed him with goods worth hundreds of millions^[13]. Liu Bei left Zhuge Liang, Guan Yu, and others to defend Jing Province, and led tens of thousands of foot soldiers into Yi Province. Liu Zhang personally welcomed him, and their meeting was most cordial. Liu Bei went north to Jiameng, but did not immediately campaign against Zhang Lu; instead he lavished kindness and favor to win men's hearts^[13].

The following year, Cao Cao campaigned against Sun Quan, and Sun Quan sought aid from Liu Bei. Liu Bei seized the opportunity to demand troops and supplies from Liu Zhang, but Liu Zhang granted only four thousand soldiers and halved everything else. Zhang Song wrote to Liu Bei and Fa Zheng, urging them to seize Yi Province. Zhang Song's elder brother Zhang Su exposed the plot, and Liu Zhang thereupon executed Zhang Song, and from this the rift arose^[14]. Liu Bei was enraged; he executed Yang Huai, the commander of Liu Zhang's Baishui army, and sent Huang Zhong and Zhuo Ying to attack Liu Zhang. Liu Bei advanced and besieged Luocheng, attacking the city for nearly a year^[14]. In the summer of the nineteenth year of Jian'an, Luocheng was breached, and Liu Bei went on to besiege Chengdu for several dozen days, whereupon Liu Zhang came out and surrendered^[15]. Liu Bei thereupon took the post of Governor of Yi Province, with Zhuge Liang as Chancellor, Fa Zheng as chief strategist, and Guan Yu, Zhang Fei, and Ma Chao as his fangs and claws^[15].

In the twentieth year of Jian'an, Sun Quan demanded Jing Province from Liu Bei. Liu Bei said he could return Jing Province only after he had obtained Liang Province, whereupon Sun Quan sent Lü Meng to seize the three commanderies of Changsha, Lingling, and Guiyang. Liu Bei led fifty thousand troops down to Gong'an and ordered Guan Yu into Yiyang. That same year, Cao Cao pacified Hanzhong, and Zhang Lu fled. Liu Bei reconciled with Sun Quan and divided Jing Province: Jiangxia, Changsha, and Guiyang in the east went to Sun Quan, while Nan Commandery, Lingling, and Wuling in the west went to Liu Bei. Liu Bei led his army back to Jiangzhou^[16].

In the spring of the twenty-fourth year of Jian'an, Liu Bei crossed the Mian River southward from Yangping and made camp at Mount Dingjun. Huang Zhong, taking the high ground and raising a great clamor, crushed Xiahou Yuan's army and slew Xiahou Yuan. Cao Cao personally led a great army in a southern campaign, but Liu Bei drew in his forces and held the defiles, refusing to engage. Cao Cao attacked for a long time without success and finally withdrew his army, whereupon Liu Bei took possession of Hanzhong^[17].

In the summer, the fourth month of the first year of Zhangwu, Liu Bei proclaimed himself emperor south of Wudan in Chengdu^[18], granted a general amnesty, and changed the reign title. He appointed Zhuge Liang as Chancellor and Xu Jing as Minister over the Masses, established the full array of officials, set up the ancestral temple, and made offerings to Emperor Gao and the ancestors of every generation since^[19]. In the fifth month, he established Lady Wu as Empress and his son Liu Shan as Crown Prince. In the sixth month, he enfeoffed his son Liu Yong as King of Lu and Liu Li as King of Liang. The General of Chariots and Cavalry, Zhang Fei, was murdered by his own attendants^[19]. In autumn, the seventh month, Liu Bei, to avenge Guan Yu, led his armies in a campaign against Wu. Sun Quan sent envoys to sue for peace, but Liu Bei in his great rage refused. The Wu generals Lu Yi, Li Yi, Liu A, and others garrisoned Wu and Zigui; Liu Bei sent Wu Ban and Feng Xi to defeat Li Yi and the others, and his army encamped at Zigui, where the Man tribes of the Five Streams of Wuling sent envoys to request troops^[19]. In the spring, the second month of the third year of Zhangwu, Liu Bei fell gravely ill, and at the Yong'an Palace he entrusted his orphan to Chancellor Zhuge Liang, with the Master of Writing Li Yan as deputy. In the summer, the fourth month, on the day guisi, Liu Bei passed away at the Yong'an Palace, aged sixty-three^[20].

In the Novel（演中）

In its portrayal of Liu Bei, the Romance of the Three Kingdoms greatly elaborates upon the historical record, making his image fuller and more legendary.

The novel opens by describing Liu Bei's origins in detail, emphasizing his status as a kinsman of the Han royal house, and through the mouth of a physiognomist foretells that "a person of high rank must emerge"^[21], laying a fatalistic foundation for his later imperial enterprise. Unlike the historical "not much fond of reading," in the Romance Liu Bei at the age of fifteen was sent by his mother to study abroad, once served under Zheng Xuan and Lu Zhi as his teachers, and was friends with Gongsun Zan and others^[21]—adding an early education under famous masters that elevated his cultural refinement.

The Oath of the Peach Garden is the signature event in the Romance's shaping of Liu Bei, and is not recorded in history. In the novel, Liu Bei sighs deeply before the proclamation board in Zhuo County, which draws out Zhang Fei; he then meets Guan Yu, and the three, hitting it off at first sight, burn incense and swear brotherhood in the peach garden behind Zhang Fei's estate, vowing "not to be born on the same year, month, and day, but to die on the same year, month, and day"^[22],^[23]. This episode greatly strengthens the brotherly bond among Liu Bei, Guan Yu, and Zhang Fei, and lays the core foundation of the Shu Han camp. Thereafter, the great Zhongshan merchants Zhang Shiping and Su Shuang funded them with gold, silver, and horses; Liu Bei had skilled craftsmen forge a pair of twin swords, Guan Yu had the Green Dragon Crescent Blade made, and Zhang Fei had the Eighteen-Span Serpent Spear made. Each provided himself with armor, and together they gathered the village braves and went to join Zou Jing^[23].

In the early stages of suppressing the Yellow Turban bandits, in the Romance Liu Bei, Guan Yu, and Zhang Fei won repeated merits. For example, in the battle with Cheng Yuanzhi, Zhang Fei stabbed Deng Mao to death and Guan Yu slew Cheng Yuanzhi^[24]. In relieving the siege of Qing Province, Liu Bei employed stratagems, divided his troops to ambush, and crushed the Yellow Turban bandits^[25]. These details all highlight Liu Bei's military talent and his deeds of benevolence and righteousness.

The episode of flogging the inspecting clerk is portrayed more dramatically in the Romance. The historical record says Liu Bei "went straight in and bound the clerk, gave him two hundred strokes, untied the seal-cord and fastened it around his neck to a hitching post, then abandoned his office and fled"^[3]. In the Romance, it is Zhang Fei who, because the clerk made things difficult for Liu Bei, bound and beat him severely. Though Liu Bei was benevolent, at Guan Yu's urging he finally hung the seal-cord around the clerk's neck and abandoned his office^[26]. This alteration both displays Zhang Fei's fiery temper and highlights Liu Bei's benevolence and reluctance, while foreshadowing his later "designs for greater and farther-reaching plans."

When the eighteen warlords campaigned against Dong Zhuo, in the Romance Liu Bei, Guan Yu, and Zhang Fei went along with Gongsun Zan, and before Hulao Gate the "Three Heroes Fought Lü Bu"—one of the most classic battle scenes in the Romance, which greatly enhanced the prestige of Liu Bei's faction^[27]. The historical record notes that Liu Bei once resisted Yuan Shao together with Gongsun Zan, but makes no mention of the specific battle of the "Three Heroes Fighting Lü Bu."

Tao Qian's Three Cessions of Xuzhou is another important embodiment of Liu Bei's "benevolent and righteous" image in the Romance. In the novel, Tao Qian, gravely ill because of Cao Cao's attack on Xu Province, repeatedly begged Liu Bei to take control of Xu Province; Liu Bei firmly declined, even saying, "Do you wish to plunge me into unrighteousness?"^[28]. Finally, under Tao Qian's earnest pleading and the people's support, he "provisionally took charge of the affairs of Xu Province"^[29]. This episode differs somewhat from the historical record of Liu Bei taking control of Xu Province at the urging of Chen Deng and Kong Rong; the Romance places greater emphasis on Liu Bei's modesty and his receiving the mandate from the people.

Key Relationships

* Gongsun Zan's faction (serves): After Gaotang was overrun by bandits, Liu Bei went over to Gongsun Zan, who memorialized him as Major of a Separate Division, and together with Tian Kai he resisted Yuan Shao. Gongsun Zan also memorialized Liu Bei as Chancellor of Pingyuan^[3],^[30]. In the Romance, Gongsun Zan was an important early supporter of Liu Bei, once lending him troops to help suppress the Yellow Turbans and recommending him for the post of Chancellor of Pingyuan^[27].
* Dong Cheng (friend_of): Liu Bei once plotted with Dong Cheng and others to kill Cao Cao^[6].
* Che Zhou (enemy_of): When Liu Bei occupied Xiapi, he killed Che Zhou, the Inspector of Xu Province^[7].
* Xiahou Dun (enemy_of): Cao Cao once sent Xiahou Dun to rescue Liu Bei when he was under attack by Lü Bu, but Xiahou Dun was defeated by Gao Shun^[5]. Later Xiahou Dun, together with Yu Jin and others, was defeated by an ambush set by Liu Bei at Bowang^[9].
* Guan Yu and Zhang Fei (sworn brothers): In the Romance, Liu Bei, Guan Yu, and Zhang Fei swore brotherhood in the peach garden, became as close as kin, and toiled together for the Han royal house^[23] (unique to the Romance). In history their relationship was close, but there is no record of a sworn brotherhood.
* Tao Qian (benefactor): When Tao Qian was gravely ill, he entrusted Xu Province to Liu Bei^[4]. In the Romance, Tao Qian ceded Xuzhou three times, highlighting Liu Bei's benevolence and righteousness^[28].
* Cao Cao (rival/temporary ally): Liu Bei once attached himself to Cao Cao, who treated him generously and memorialized him as General of the Left^[5]. But the two ultimately came into opposition, and Cao Cao once said, "Among the heroes of the realm, only you, sir, and Cao"^[6].
* Lü Bu (enemy): Lü Bu once took advantage of Liu Bei's clash with Yuan Shu to seize Xiapi and capture Liu Bei's wife^[4]. Later Liu Bei, together with Cao Cao, besieged Lü Bu at Xiapi and took him alive^[5].
* Yuan Shu (enemy): Yuan Shu was once at odds with Yuan Shao and sought aid from Gongsun Zan, who had Liu Bei garrison Gaotang to pressure Yuan Shao^[31]. Later Yuan Shu attacked Liu Bei at Xuyi and Huaiyin^[4].
* Yuan Shao (temporary ally/enemy): Liu Bei once fled to Yuan Shao, and Yuan Shao and his sons esteemed him wholeheartedly^[8]. Later Liu Bei persuaded Yuan Shao to ally with Liu Biao in the south, and led troops to Runan^[8].
* Sun Quan (ally/rival): At the Battle of Red Cliffs, Liu Bei joined with Sun Quan to crush Cao Cao^[11]. Later Sun Quan demanded Jing Province from Liu Bei and sent Lü Meng to seize three commanderies, and their relationship turned from allies to rivals^[16].
* Liu Zhang (enemy): Liu Zhang once welcomed Liu Bei into Yi Province to resist Zhang Lu; later, because of Zhang Song's betrayal being exposed, the two turned against each other, and Liu Bei finally seized Yi Province^[14],^[15].

Signature Scenes

* Oath of the Peach Garden: Liu Bei, Guan Yu, and Zhang Fei swore brotherhood as men of different surnames in the peach garden, taking an oath of life and death, which laid the foundation of the Shu Han camp^[23] (unique to the Romance).
* Flogging the inspecting clerk: Dissatisfied that the clerk demanded bribes, Liu Bei angrily flogged him and abandoned his office, displaying his fearless, upright, benevolent, and righteous character^[3],^[26].
* Three Heroes Fight Lü Bu: Before Hulao Gate, Liu Bei, Guan Yu, and Zhang Fei joined forces in a great battle against Lü Bu, manifesting the martial valor and unity of Liu Bei's faction^[27] (unique to the Romance).
* Tao Qian's Three Cessions of Xuzhou: When gravely ill, Tao Qian repeatedly offered Xuzhou to Liu Bei; Liu Bei firmly declined and only "provisionally took charge" under the people's support, highlighting his benevolence and humility^[28],^[29].
* Relief of Qing Province: Liu Bei led troops to relieve the siege of Qing Province, employing ambush stratagems to crush the Yellow Turban bandits and displaying his military talent^[25] (unique to the Romance).
* Discussing Heroes over Warm Wine: Cao Cao and Liu Bei warmed plum wine together, and Cao Cao said, "Among the heroes of the realm, only you, sir, and Cao." Hearing this, Liu Bei dropped his chopsticks, displaying his deeply concealed political wisdom and his wariness of Cao Cao^[6] (unique to the Romance; the historical record has a similar dialogue but without the warm-wine detail).
* Abandoning his wife at Changban: Cao Cao pursued Liu Bei to Changban, and Liu Bei abandoned his wife and fled; afterward Zhao Yun on a single horse rescued his lord, displaying Liu Bei's decisiveness at a moment of peril and Zhao Yun's loyalty and valor^[11] (the episode of Zhao Yun rescuing his lord is described in greater detail in the Romance).
* Battle of Red Cliffs: Liu Bei joined with Sun Quan to crush Cao Cao at Red Cliffs, laying the foundation for the tripartite division of the Three Kingdoms^[11].
* Entering Shu and seizing Yi Province: Liu Bei entered Shu at Liu Zhang's invitation, later turned against Liu Zhang, and finally seized Yi Province, laying the foundation for establishing the Shu Han regime^[13],^[15].
* Battle of Xiaoting: To avenge Guan Yu, Liu Bei led a great army in a campaign against Wu, but was finally crushed at the Battle of Xiaoting, suffering grievous losses^[19].
* Entrusting the Orphan at Baidicheng: Gravely ill at the Yong'an Palace, Liu Bei entrusted the Latter Lord Liu Shan to Zhuge Liang and left a final edict, charging Zhuge Liang to assist Liu Shan^[20].