Cheng Yu, whose courtesy name was Zhongde, presented a plan: “Guan Yunchang could not be taken by strength alone, only by stratagem. At once send over several former soldiers of Liu Bei who have already surrendered. Send them to Xiapi to meet Lord Guan, telling him they are deserters who have turned back from the enemy and are now hiding in the city as an inside force. Then force Lord Guan into battle, feign defeat and partial rout, lure him into another position, and when he begins to retreat, cut off his path with an elite detachment. Then the matter can be accomplished.”

When Cao Cao heard the proposal, he ordered dozens of surrendering troops from Xu Province to ride straight to Xiapi and submit to him. Guan Yunchang took them for old soldiers and kept from doubting.

The next day Xiahou Dun took the vanguard with five thousand men and went to wrestle Lord Guan.

Guan did not come out, so Xiahou Dun sent men under the city walls to hurl insults. Guan flared with anger and brought out three thousand horse and foot, then engaged Xiahou Dun. After more than ten bouts, Dun wheeled his horse and turned back. Guan chased and Dun fought and withdrew as he ran. Guan drove him nearly twenty li. Fearing that Xiapi might be lost, he gathered his men and returned. He then heard a cannon-shot. Xu Huang came in from the left and Xu Chu from the right; two battalions interposed and blocked his path.

Guan broke for their flank, but both sides had hidden crossbowmen, one hundred great crossbows laid down, sending arrows like locusts. He could not pass. He ordered his troops to wheel back. Xu Huang and Xu Chu caught him and closed again. Guan cut down both sides and, turning the pursuit toward Xiapi, found Xiahou Dun blocking him again.

The engagement lasted through evening and into dusk. With no route home, Guan withdrew to a nearby earthen rise, and there he posted his troops and rested briefly. Cao’s troops then drew up in rings and enclosed the mound.

From the summit, Guan could see Xiapi in the city, flames leaping into the sky. It was then that those pretending to have surrendered had opened the gate from inside. Cao Cao had brought his main army into the city and had set the fires to confound Lord Guan’s mind.

Guan saw the fires and grew alarmed. Through the night he ran down from the mound several times, each time turned back by scattered arrows. At dawn he again sought to gather and rush down, when a rider came up the hill on horseback. It was Zhang Liao.

Guan greeted him and asked, “Wenyuan, have you come to cross swords with me?”

Zhang Liao replied, “No. I came because old friends remember old affection. I came to pay my respects.”

He threw his sword, dismounted, and completed formal salutations with Guan Yu. After they sat at the top of the mound, Guan said, “You did not come to bring an accusation, did you?”

Zhang Liao said, “No. In former days your mercy saved my brother; today, as his brother, how could I refuse you?”

Guan replied, “Then you intend to aid me?”

Zhang Liao said, “Not exactly.”

Guan said, “If you are not here to aid me, why have you come?”

Zhang Liao said, “Liu Bei does not know whether you still live, and your brother Zhang Fei has not heard of your life or death. Last night Cao’s army broke into Xiapi and harmed neither soldier nor civilian. It sent escorts to guard Liu Bei’s household and forbade all disturbance. In such treatment, I came only to report to you.”

Guan grew angry: “You have come with these words only for me. I am now trapped and regard death as return. Go at once. I will descend to fight.”

Zhang Liao laughed: “Would your words not make you laughable in all under Heaven?”

Guan replied, “I rely on loyalty and righteousness and am willing to die for it. Why should I be laughed at by the world?”

Zhang Liao said, “If you die now, you have three crimes.”

Guan said, “Then speak them.”

Zhang Liao answered, “First, when Liu Bei took the oath with you, you swore to share life and death; now my lord has been defeated, and you stand ready to die in battle. If he should rally again and seek your aid, and you cannot be found, is that not betraying the oath of your founding years? Second, Liu Bei entrusted his household to you. If you die now, the two madams have nowhere to lean and you betray that trust. Third, you excel at arms and know the Classics and histories, yet you do not join your lord to secure the Han. You only rush into flames and blades to display a mere man’s bravery. How then are you still called righteous?”

Guan held silence. “You have called my three crimes. What is expected of me?”

Zhang Liao replied, “You are ringed on all four sides by Cao’s troops. If you do not surrender, you will die. To die in vain gains nothing. Better to yield for a while, then inquire after Liu Bei. Where he is, then go to him. First, you can save both madams. Second, you do not break the Peach Garden pledge. Third, you preserve a useful body. If these three are fulfilled, then this is a good course.”

Guan said, “You spoke of three goods; I also have three terms. If the Chancellor accepts them, I will lay down my armor. If not, I accept those three crimes and choose death.”

Zhang Liao said, “The Chancellor is broad and generous. What terms?”

Guan said, “First, I submit to the Han emperor and do not submit to Cao Cao. Second, my two madams are to petition the Imperial Uncle for salary and stipends, and no household retinue under them may cross my gate. Third, once I hear where Liu Bei is, whether near or far, I may leave at once. If even one of the three is missing, I will never submit.”

He added, “Please tell Wenyuan to report this quickly.”

Zhang Liao agreed and rode out. He informed Cao Cao first that he would submit to the Han emperor but not to Cao. Cao smiled: “I am Chancellor of Han. In this I am Han. This can be done.”

Then Zhang Liao added, “The two madams seek to petition my lord for stipend; no retainers from within or without should be permitted to pass their gate.”

Cao said, “For the stipend to the Imperial Uncle, I will add extra. As for strict prohibitions at home, that is family discipline.”

Zhang Liao also said, “If he knows Liu Bei’s location he will go at once, even across ten thousand li.”

Cao shook his head. “Then why did I preserve Guan Yu in the first place? This is hard to grant.”

Zhang Liao said, “Do you not recall Yu Rang’s praise among all gentlemen? Liu Bei’s favors to him were only deep kindnesses. If Your Excellency adds deep grace, why should Guan Yu not be attached?”

Cao said at last, “Your words are well taken. I will grant all three.”

Zhang Liao returned to Guan Yu and gave the terms. Guan said, “If so, let the Chancellor first withdraw his lines so I may enter the city, visit the two madams, and tell them the matter before I submit.”

Zhang Liao repeated this to Cao. Cao ordered the troops to pull back ten li. Xun Yu said, “Do not; it may be a trick.”

Cao answered, “Guan Yunchang is a chivalrous man. He will not break faith.”

So he withdrew. Guan led his troops into Xiapi, found all people safe and still, and went straight to the hall to greet the two madams.

Lady Gan and Lady Mi heard that Guan had come and rushed out together. Guan knelt at the stair and said, “My fault is that the two madams were frightened. I beg pardon.”

Lady Gan asked, “Where is your Imperial Uncle now?”

Guan said, “I do not know his whereabouts.”

Lady Mi asked, “What will become of the younger uncle?”

Guan said, “I, Guan, went out to die in battle and became trapped on the earthen mound. Zhang Liao urged me to surrender. I bargained three conditions with him. The Chancellor accepted all three and withdrew his troops for me. I could not take up this matter myself without first hearing your decision.”

Lady Gan asked him for those three terms, and Guan repeated all three clearly.

Lady Gan said, “Yesterday when the Cao army entered Xiapi, we all believed it was certain to die. Who would have thought not a hair moved and not one soldier dared enter the gate. If you have already obtained the lord’s word, why should you ask me two women? Only for fear that Cao Cao will later not let you go seek the Imperial Uncle.”

Guan said, “Sister-in-law, trust me. Guan has a resolve.”

Lady Mi said, “Brother, your own judgment belongs to you. Do not seek counsel from women.”

Guan withdrew and led some tens of riders to Cao Cao. Cao came out to meet him at the outer court.

Guan dismounted and entered. Cao hurriedly replied with ceremonial courtesy.

Guan said, “I deeply owe the mercy of not being killed to a commander who has suffered defeat.”

Cao said, “I have long admired Yunchang’s loyalty and righteousness. To meet you today fully satisfies old hope.”

Guan said, “Wenyuan presented three conditions, and the Chancellor accepted them. I trust he does not break faith.”

Cao said, “Once my words are out, how could I ever fail in trust?”

Guan said, “If I learn where Liu Bei is, even through water and fire I would surely go to him. I cannot spend the moment properly bidding farewell. Please, grant me leave.”

Cao said, “If Liu Bei yet lives, you must go to him. I fear, however, if he does come, the army might fall into disorder. Hold your heart still and I will listen first.”

Guan thanked him and withdrew.

The next day Cao arranged a banquet and treated him as an honored guest. Officers, ministers, and soldiers were invited, and Guan was shown a seat above his rank. He also sent fine silk and gold and silver vessels as gifts. Guan sent everything to the two madams to store.

Guan divided the one household into two courtyards, and he posted ten seasoned soldiers at the inner gate. Guan lived in the outer court.

Cao introduced Guan to Emperor Xian, who ordered him to be made a general. Guan thanked him and returned home.

From the day Guan arrived in Xuchang, Cao had treated him with exceptional honor: three small feasts and five grand feasts, then sent ten beauties to attend on Guan.

Cao attempted to disrupt courtly propriety by having Guan share a room with the two madams. Guan sent all the women into the inner gate and ordered them to attend on Lady Gan and Lady Mi. He then stood outside the gate through the night with a torch in hand, from dusk until dawn, without showing the least fatigue. Cao noticed this and respected him all the more.

Yet every three days he went to the inner gate, bowed and kept his place, and asked after the two madams. Whenever they asked of the Imperial Uncle, they answered, “Uncle, see to your own course.”

Only then would Guan dare to return. Cao heard this and praised him still more.

One day Cao saw that the green-gold battle robe Guan wore was worn, and estimated his quality by his person. He had a robe of special patterned silk made and presented to him.

Guan received it, put it on below his old robe, and wore the old robe over it.

Cao said with laughter, “Why does Yunchang keep such thrift?”

Guan said, “I am not thrifty. This old robe was given by Liu Bei. To wear Liu Bei’s gift as though it were Your Excellency’s new gift would be like turning from elder to younger brother in person. I wear the old as one facing the elder’s face.”

Cao sighed, “Truly a man of righteousness. Yet though my mouth praised him, my heart was not joyful.”

One day, while Guan was in the mansion, a report arrived: “The two madams in the inner palace have collapsed in crying on the ground; no one knows why. Please have the general come quickly.”

Guan straightened his clothes, knelt outside the inner gate, and asked why they wept.

Lady Gan said, “I dreamed last night that the Imperial Uncle lay trapped in an earthen pit. When I woke, I discussed it with Lady Mi. I think he has gone below the Nine Springs, and I weep for this.”

Guan said, “Dreams should not be trusted. This is only sisterly longing. Do not grieve.”

At that very moment a messenger from Cao had already arrived to summon Guan to banquet. Guan informed the two madams and went to Cao.

Cao saw him with tears and asked what troubled him.

Guan said, “The two madams long for their brother and weep with grief, and that has shaken me.”

Cao smiled and tried to soothe him, repeatedly offering wine.

Guan drank until his beard loosened in speech: “One cannot repay the state and yet betray one’s elder brother. One becomes no man.”

Cao asked, “How many hairs has Yunchang’s beard?”

Guan said, “Perhaps three hundred. Each autumn I trim three or five. In winter I wrap it in a dark muslin bag so it does not break.”

Cao had a silk-brocade pouch made and gave it to Guan, to protect his beard.

The next morning at audience, he saw that the silk pouch hung at Guan’s chest. The emperor asked him.

Guan reported, “My Excellency’s beard is long, and the Chancellor presented me a pouch to hold it.”

The emperor ordered him to stand at the hall and let the pouch pass across his belly. He said, “You are truly a handsome-bearded general,” and from then everyone called him “Beautiful-Bearded General.”

One day Cao held Guan to banquet. At the close, he saw Guan’s horse was thin and said, “Why is your horse so lean?”

Guan answered, “This body is not light, and the horse cannot carry it.”

Cao ordered a horse prepared at once. A horse was brought: its body was like hot embers, its form mighty and bold.

Cao said, “Do you recognize this horse?”

Guan said, “Could this be Lü Bu’s Red Hare?”

Cao said, “It is.”

Then he presented the saddle and bridle, and gave them to Guan.

Guan knelt once more in thanks.

Cao was displeased and said, “I have long sent gifts of women and gold and silver; he had never bowed for them. For this horse, he bows twice. How can one so poor cherish a beast so much?”

Guan said, “I know this horse can run a thousand li in a day. If I knew where my elder brother is, we could see him in one day.”

Cao looked startled and repented. Guan then departed.

A poem was written afterward:

His prestige shakes the three kingdoms; his courage and nobility are renowned,
Though the evil prime minister grants him empty honors, how could one guess Yunchang would not submit to Cao?

Cao asked Zhang Liao, “I have not held Yunchang lightly, and yet he is always with a heart to leave. Why?”

Zhang Liao said, “Permit me to test him.”

The next day he went to pay visit to Guan. After formal greetings Zhang said, “I have recommended you to the Chancellor and did not let you fall behind.”

Guan said, “I am deeply grateful for the Chancellor’s kindness. But although my body is here, my mind still keeps to the Imperial Uncle.”

Zhang Liao replied, “You are mistaken. If one handles the world without weighing the light and heavy, he is not a man. Liu Bei’s favor for you is no greater than that of the Chancellor. Why hold only departure in your mind?”

Guan said, “I know the Chancellor’s kindness very well. Yet I received Liu Bei’s great kindness and swore to die together. I cannot abandon it. I will not remain. I must first render service and then leave.”

Zhang Liao said, “If Liu Bei is dead, where will you go?”

Guan said, “I would go to the earth below.”

Zhang Liao recognized he could not keep him, returned, and told Cao all of it.

Cao sighed, “A minister who never forgets his root is righteousness itself.”

Xun Yu said, “He says he must win merit before he goes. If no one compels him to win merit, he may never leave.”

Cao agreed.

Meanwhile Liu Bei, in the camp of Yuan Shao, worried day and night. Yuan Shao asked, “Why are you so troubled, Liu Bei?”

Liu Bei replied, “My second brother has no news. His wife and children are in the hands of Cao bandits. He cannot report to the realm nor protect his own house. How can he not be worried?”

Yuan Shao said, “I have wished to strike at Xuchang for long. Now that spring has warmed, this is a good time to raise troops.”

Then they discussed a plan to break Cao’s forces. Tian Feng warned, “When Cao attacked Xu Province, Xuchang was bare and open. This was the chance then and is gone. Now he has defeated Xu Province; his troops are sharp. Do not meet him rashly. Better hold long and wait for a gap.”

Yuan Shao said, “Let me think on it,” then asked Liu Bei, “How do you read Tian Feng’s counsel?”

Liu Bei said, “Cao is a bandit to Heaven’s court. If my lord does not punish him, he loses righteousness in the whole world.”

Yuan Shao said, “Liu Bei speaks well. We should move to raise troops.”

Tian Feng counseled again. Yuan Shao grew angry and said, “You play with writing and neglect arms, so my righteousness is obstructed.”

Tian Feng knelt: “If you do not heed my plain words, your campaign will fail.”

Yuan Shao grew furious and ordered him to be executed.

Liu Bei interceded, and Tian Feng was only confined to jail.

Ju Shou saw him brought low and then gathered his family. He distributed all his property and told his household, “I go with the army. If we win, honors will follow me; if we lose, one body cannot be kept.”

Everyone wept as he left.

Yuan Shao sent his great commander Yan Liang as vanguard to advance on Baima.

Ju Shou advised, “Yan Liang is narrow of temperament though brave and fierce. He should not be set alone.”

Yuan Shao said, “My senior commanders are not weighed by such men as you.”

As the army marched to Liyang, Liu Yan, the Administrator of Dong Commandery, came in haste to Xuchang with urgent news. Cao hurried to confer and raise troops.

When Guan Yu heard of it, he entered the Secretariat and told Cao, “I heard Your Excellency march. I volunteer to be the forward division.”

Cao said, “I will not trouble the General. There will be work again soon and I will then send for you.”

Guan retired.

Cao gathered one hundred fifty thousand troops and advanced in three columns. On the road he added Liu Yan’s emergency dispatch and sent fifty thousand personally to Baima, holding near the mound.

From afar he looked across the broad plain before the hill and saw Yan Liang’s vanguard: one hundred thousand picked troops in battle order.

Cao was startled. He turned and addressed Song Xian, a former underling of Lü Bu: “I hear you once rode as Lü Bu’s fierce commander. Go now and fight Yan Liang.”

Song Xian accepted and, with spear in hand, mounted his horse and rode straight out before the ranks.

Yan Liang stood under his banner with a broad blade. Seeing Song Xian arrive, he shouted and charged on his horse.

In fewer than three exchanges, with one stroke Song Xian was cut down before the lines.

Cao said in astonishment, “Truly a brave general.”

Wei Xu said, “I lost one comrade and wish to go for revenge.”

Cao allowed it.

Wei Xu mounted and galloped straight to the front, shouting at Yan Liang. Yan offered no words, clashed horse against horse once, and with one stroke of his blade he cleaved off Wei Xu at the top of his head.

Cao said, “Who now dares him?”

Xu Huang called out and went forward to battle Yan Liang. After twenty exchanges, he returned defeated to camp.

All the officers trembled. Cao withdrew his troops, and Yan Liang also drew back.

Seeing two commanders fallen in succession, Cao was heavy in mind. Cheng Yu said, “One person alone can oppose Yan Liang.”

Cao asked, “Who?”

Cheng Yu said, “No one but Guan Yunchang.”

Cao said, “I fear if he wins merit he may leave.”

Cheng Yu replied, “If Liu Bei is alive and returns, he will go to Yuan Shao; then Yuan Shao will suspect Liu Bei and kill him. If Liu Bei is dead, where can Guan go? Therefore he must go.”

Cao was pleased and ordered someone to summon Guan.

Guan came and made his leave to the two madams. The two madams said, “Uncle, on this trip find any word of the Imperial Uncle.”

Guan nodded and set out.

He raised the Green Dragon Crescent Blade, mounted Red Hare, and with several attendants rode directly to Baima to meet Cao.

Cao told him the situation: “Yan Liang has put down two commanders in one stretch. His bravery is beyond holding. I have asked you to discuss this with him.”

Guan said, “Please allow me to observe.”

Cao entertained him with wine and then word came that Yan Liang had met for battle. Cao brought Guan to the mound and gave him a place to sit. Generals stood about.

Cao pointed to the formations at the foot and said, “These Hebei horse and foot are so strong and showy.”

Guan said, “To me they are like chickens and dogs.”

Cao pointed again: “Under that standard and plume, in rusted robes and golden armor, the one with blade in hand mounted is Yan Liang.”

Guan looked up and said, “He is a marked man for head bounty.”

Cao warned him, “Do not be hasty.”

Guan stood: “Though I am not able, I will ride into the ten-thousand ranks and bring back his head for the Chancellor.”

Zhang Liao said, “No play-speech in the army. Even Yunchang should not be taken lightly.”

Guan leapt to his horse, raised the Green Dragon Crescent Blade, and flew down from the mound. His hawk-like eyes flared and his brows came up like caterpillars. He charged straight into the line. The Hebei troops parted like waves ripping open.

He charged straight at Yan Liang. Yan Liang was still beneath the command umbrella. Seeing Guan come, he asked what he should do. Guan’s horse reached him first. Yan did not have time.

One stroke from Guan, from below the horse, struck and cut him down. He dropped from the saddle and severed Yan Liang’s head. He tied it beneath the horse’s bridle, sprang back to the saddle, lifted his sword, and broke clear from formation as if entering an empty camp.

The Hebei troops were shocked and scattered in confusion without fighting.

Cao’s troops pressed in. Those who fell could not be counted; horses and equipment were taken in great number.

Guan wheeled to the hill as those men cheered all around. He presented the severed head before Cao.

Cao said, “The general is truly a man of spirit.”

Guan said, “What am I that I can boast? My brother Zhang Yide in a hundred-thousand host can take a foremost general’s head as easily as drawing from a purse.”

Cao was stunned. He turned to those around and said, “If you meet Zhang Yide in the future, do not ever take him lightly.” He ordered that line written upon the hem of his robe.

Yan Liang’s routed troops fled back. Halfway he met Yuan Shao and reported that one long-bearded, red-faced man on one horse had entered the host, beheaded him, and carried off the head, causing a total defeat.

Yuan Shao asked sharply, “Who is this man?”

Ju Shou said, “This must be Liu Bei’s brother, Guan Yunchang.”

Yuan Shao was furious. He pointed at Liu Bei and said, “Your brother has slain my prized general. You must have connived in it. What use to keep you?”

He called the executioners and ordered Liu Bei brought to the block.

At first he was a guest on the banquet bench; this day he nearly shared the ground below with other prisoners. Unknown is how the life of Liu Bei will end. How this turned out will be told in the next chapter.