Yet there was talk that Cao Cao withdrew his army to Xie Valley. Kongming had already calculated that he would abandon Hanzhong and flee, so he sent Ma Chao and other generals, splitting the forces into more than ten routes and striking and looting from time to time. For this reason Cao Cao could not stay for long. Wei Yan also had shot him with an arrow, so he hurriedly ordered a retreat. The sharp edge of the whole army fell away. As soon as the forward detachment had only just set out, fires broke out on both sides; it was Ma Chao’s ambush in pursuit. Cao’s soldiers all lost heart. Cao Cao ordered the troops to move on in haste and they ran through the night without rest; only when they had reached Jingzhao did he begin to feel secure.

Meanwhile Liu Bei, whose courtesy name was Xuande, ordered Liu Feng, Meng Da, and Wang Ping to take up the counties of Shangyong. When Shen Dan and others heard that Cao Cao had abandoned Hanzhong and left, they all surrendered. Once Liu Bei had settled the people and fixed governance, he gave great rewards to the whole army, and spirits rose among all. So every general in attendance wished to honor Liu Bei as emperor, but did not dare to raise the matter directly. They reported it to Zhuge Liang, whom everyone called the military adviser. Zhuge said, “I have already decided the matter.” He then led Fa Zheng in and requested an audience with Liu Bei.

“Cao Cao now monopolizes state authority, and the people have no lord. Your Majesty’s benevolence and justice are known throughout the world. You have now pacified and governed lands in both Sichuan; you can answer Heaven and win men’s support. You can take the imperial seat as the Han King, with lawful title and right order, to punish the traitor to the state. This must not be delayed; choose an auspicious day.”

Liu Bei was startled. “What the adviser says is wrong. Though Liu Bei is of the Han imperial lineage, he is a servant of the court; if I do this, it is rebellion against Han.” Zhuge said, “No. Today the realm is split apart. Heroes rise everywhere and each rules his own sphere. Men of merit across the Four Seas, abandoning life and choosing service under a ruler, all seek to climb a dragon and attach to a phoenix in order to make a name. Now, if Your Majesty refuses for the sake of scruple and righteousness, you risk losing the people’s expectations. Think again on it.”

Liu Bei replied, “If I dare to seize the august seat, I would not do so. Let us discuss a greater strategy again.” All the generals spoke at once: “If Your Majesty keeps refusing, the common people’s hearts will part in confusion.”

Zhuge said, “Your Majesty has always taken righteousness as your root and has not been eager to call yourself lord by a title. Now that Jing and Xiang and both Sichuan are in your control, you can for now take the title King of Han.” Liu Bei said, “You all may wish to honor me as king, but without the Son of Heaven’s edict it is usurpation.” Zhuge said, “Now we must proceed by expediency and not cling to strict convention.”

Zhang Fei shouted, “Men of different clans all seek to be lords. How much more so, with Brother as a lineal scion of the Han throne. Need we say merely King of Han? Why not imperial title?” Liu Bei rebuked, “Do not speak too much!” Zhuge said, “Your Majesty should follow flexible action. Take first the rank of King of Han, and then report it to the Son of Heaven; that is no delay.”

Liu Bei delayed again and again, and at last reluctantly consented. In the autumn of the twenty-fourth year of the Jian’an era, in the seventh month, he built an altar at Mianyang, nine li in circuit, arranged the five directions with banners and honors. All ministers lined up in formal order. Xu Jing and Fa Zheng invited Liu Bei to mount the platform, and after receiving crown, seal, and ribbons, he faced south and sat while civil and military officials congratulated him as King of Han. Liu Shan was established as crown prince of the king. Xu Jing was made Grand Tutor. Fa Zheng was made Prefect of the Masters of Writing. Zhuge Liang was appointed as military adviser, and made to manage all major state and military affairs. Guan Yu, Zhang Fei, Zhao Yun, Ma Chao, and Huang Zhong were enfeoffed as the Five Tiger Generals. Wei Yan was made Administrator of Hanzhong Commandery. The rest of the merits and ennoblements were settled according to service records.

Now that Liu Bei had become King of Han, he drafted a memorial and sent envoys to Xu.

The memorial read:

I, Liu Bei, have but a servant’s talent and yet was entrusted with the office above general. I was given command over three armies and served outside the court; I have not been able to sweep away bandit disorder, steady the royal house, and thus for many days have delayed the Son of Heaven’s teaching and governance. Within the Four Seas heaven is not yet at peace; I am only anxious over reversals and turning tides, as if a fever had taken hold in my head.

In former days Dong Zhuo had made himself a source of disorder. Since then, lawless men ran rampant and plundered the realm. By Your Majesty’s holy virtue and command, ministers answered together. Either loyal men rose in resistance, or Heaven’s punishment struck down the violent and rebellious, and they gradually withered. Only Cao Cao has remained unremoved, and he has long misappropriated state authority, yielding his heart to ruin.

Formerly I once planned with Dong Cheng, General of Chariots and Cavalry, to punish Cao Cao. The matter was not held with care, and Cheng was caught in a trap. My base then shifted and broke, loyal effort bore no fruit; thus Cao Cao was made to run full stride in his villainy. He slaughtered the Son of Heaven and the Empress and poisoned imperial sons. Though I tried to forge alliances, my intent was to fight hard, yet I was weak and not forceful. For many years it availed nothing. I always feared I might perish and betray the emperor’s grace; day and night I kept sighing, startled in my sleep and wakeful as one who heeds danger.

Now my councillors and I agree that in the old records one is taught to settle the nine clans so that royal rule may be clarified and the line of sovereigns pass on in order; this way must not be abandoned. In the two Zhou dynasties, though many consorts were raised, success still came with the aid of ministers Pu and Zheng. When the Great Ancestor’s dragon rose, he honored his brother the king, opened the Nine Provinces, and in the end beheaded Lü’s household to secure the grand clan.

Now Cao Cao is ugly in intent and corrupt in uprightness, full of violent followers, storing treachery in his heart. His theft and usurpation are already clear. Since the imperial house is weak and the royal lineage has no seat, by referring to ancient precedent and adjusting to present necessity I submit that I, your subject, be made Great Commandant and King of Han.

Bowing in all three courts, having received deep favor from the state and bearing charge over one region, I have spent myself with little effect; what I have gained is already beyond enough. It is not fitting to keep presuming high office again and incur grave guilt. Pressed by ministers and officials, I am driven by duty and meaning. If I look away, rebels remain unpunished and the national danger continues. The ancestral temple tilts and the state’s altar and foundation are near collapse; truly my heart feels cracked to pieces. If expediency is needed to change and still the Holy Court, even water and fire would not let me refuse. Therefore I followed the advice of the officials and accepted the seal and cords to raise and strengthen the state’s authority.

As I look up, I find my title to be lofty and honored; as I look down, I think on how I might repay these benefits. My worry is deep, my accountability heavy; fear and alertness keep me awake like one standing at a ravine. How could I fail to exert every strength, devote my loyalty, reward the six armies, unite all the righteous, and in accord with Heaven and the time, crush the ferocious traitors and pacify the realm? I humbly submit this memorial.

When the memorial reached Xu, Cao Cao in Ye received word that Liu Bei had proclaimed himself King of Han and was furious.

“Woven-mat brat,” he said. “How dare you do this! I swear I will wipe him out.”

He immediately sent orders to raise all the nation’s troops and move into both Sichuan to decide life and death with the King of Han.

One official stepped forward to remonstrate, “Your Majesty, do not, for a moment’s anger, drive the chariot in person for a distant campaign. I have one plan that needs no bow or arrow. Let Liu Bei be left to suffer in Shu. When his army weakens and his strength drains, just send one general against him and he can be easily taken.”

Cao Cao looked at the man. It was Sima Yi. Cao Cao asked with joy, “What high thought has Zhongda?”

Yi said, “Sun Quan of Jiangdong married his sister to Liu Bei and then took her back in secret; Liu Bei in turn holds Jingzhou and does not return it. They both carry the hatred of biting teeth. Now send a persuasive envoy with letters to Sun Quan. Let him raise troops to seize Jingzhou. Liu Bei will certainly send his soldiers from both Sichuan to defend it. Then Your Majesty can march against Hanchuan; Liu Bei will be unable to protect his front and rear at once. He will surely be trapped.”

Cao Cao was delighted and immediately sent Fan Chong as envoy. Fan hastened through the night to Jiangdong. When Sun Quan learned that Fan Chong had arrived, he conferred with his ministers.

Zhang Zhao said, “Wei and Wu were not enemies by nature. Because we followed Zhuge’s words before, this has made our two houses wage wars back to back. The people are burning and grinding under the fire. Since this envoy has come now, he must bear an intention of peace. Receive him with courtesy.” Sun Quan followed this, and ordered all strategists to welcome Fan into the city. After the ceremony, he greeted him with proper state hospitality and gave him chamberly rest.

Fan presented Cao Cao’s letter:

“Between Wei and Wu there has long been no enmity. It is Liu Bei’s fault that this rift and clash have continued for years without cease, and that the people suffer through it. The King of Wei sends me here to propose that Commander-in-chief you and he raise forces for Jingzhou. When your army and mine meet, Wei king will press in at Hanchuan and strike at both front and rear. After defeating Liu Bei, we will divide the territory and swear never to invade each other’s lands.”

After reading the letter, Sun Quan held a banquet for Fan and then sent him back to a guesthouse for rest.

Sun Quan then consulted the strategic circle.

Guo Yong said, “Though there is reason in this argument, we can do two things at once: send Fan back with a message for a coordinated strike from both sides, and at the same time send men across the river to report on Yun Chang’s condition.”

Zhuge Jin said, “I have heard that Guan Yu came to Jingzhou and that Liu Bei has taken a wife and set household. He has one son and then a daughter; the girl is still young and not yet betrothed. I wish to ask for her on behalf of Your Majesty’s heir. If Guan Yu agrees, we can discuss together how to destroy Cao Cao. If he refuses, then we may aid Cao in taking Jingzhou.” Sun Quan accepted the plan. He first sent Fan home to Xu; then he dispatched Zhuge Jin as envoy to Jingzhou.

Upon entering the city, Guan Yu received him with ceremony. Guan Yu said, “Why has Ziyu come?”

Zhuge Jin said with deference, “I have come only to ask for harmony between our two houses. My lord, the Prince of Wu, has a son, who is very intelligent. Hearing that the general has a daughter, I come to ask for a marriage. It is a fine matter for both families; Lord, please consider.” Guan Yu grew fierce. “Would my tiger-girl agree to marry a dog’s whelp? Do not let me see your face, and I will cut your head down at once. Say no more!” He then ordered attendants to drive him out.

Zhuge Jin slunk away, kept his head low, and returned to Sun Quan. He hid nothing and reported everything exactly. Sun Quan was furious. “How could he be so impertinent?” he said, then called Zhang Zhao and other martial officers to plan the taking of Jingzhou.

Bu Zhi said, “Cao Cao long desired to usurp Han, and what he fears most is Liu Bei. He has sent an envoy to stir Wu’s troops into swallowing Shu. This means he has loaded Wu with trouble.”

Sun Quan said, “I have wished to seize Jingzhou for long.”

Bu Zhi replied, “Cao Ren is now encamped at Xiangyang and Fancheng. Since there is no great river barrier there and the dry route is open, Jingzhou can be taken by land. Why should we wait and move our host? This alone shows his intent. Your Majesty should send an envoy to Xu to Cao Cao and urge that Cao Ren take up his forces by land and seize Jingzhou first. Guan Yu will move his own troops and take Fancheng. If Guan Yu stirs, Your Majesty can send one general and take Jingzhou in one move in secret.”

Sun Quan followed this. He at once dispatched an envoy across the river to inform Cao Cao. Cao Cao rejoiced, ordered the envoy back ahead, and then sent Fan Chong to Fancheng to serve as strategist for Cao Ren and plan operations. At the same time he sent urgent orders to Eastern Wu for troop movement by water in support, with Jingzhou as the target.

Now the King of Han had ordered Wei Yan to supervise cavalry and horse supply, and to defend Dongchuan. He summoned all officials back to Chengdu. He ordered works for a palace and guesthouses and established more than four hundred mail stations and lodgings from Chengdu to Baishui. He hoarded grain and made many weapons, preparing to advance into Central Plains.

When agents reported that Cao Cao had allied with Eastern Wu and meant to take Jingzhou, they flew the news into Shu. The King hurriedly consulted Zhuge Liang. Kongming said, “I already expected Cao Cao to have this plan. But there are many clever men in Wu, and he will surely order Cao Ren to raise troops first.”

The King asked, “In that case, what should we do?” Zhuge said, “Send an edict and command to Yun Chang immediately, ordering him to raise troops and take Fancheng first. If he does so, the enemy force will grow fearful and naturally break.”

The King rejoiced at this and sent Fei Shi, the Sima officer, as messenger, with the king’s edict to Jingzhou.

Guan Yu left the city gate and welcomed him inside. At the hall of audience, with formal greetings complete, Guan Yu asked, “What rank has the King of Han granted me?”

Shi said, “Chief of the Five Tiger Generals.”

“Which five?” Guan Yu asked.

He replied, “Guan, Zhang, Zhao, Ma, and Huang.”

Guan Yu bristled. “Yide is my younger brother; Mengqi is famed in his generation; Zilong has long followed my brother, too, and is like my younger brother. Their standing may be made equal to mine. But who is Huang Zhong, to stand in the same line as me? A true man will never stand with old drudges!” So he refused to accept the seal and ribbons.
Shi laughed and said, “General, you are mistaken. In former days, Xiao He and Cao Shen were among Emperor Gaozu’s closest men when great matters were undertaken. Yet Han Xin, once a doomed general of Chu, was still raised to a king above both Xiao and Cao, and none of them made it their grievance. Now though the King of Han has conferred the title of Chief of the Five Tiger Generals, he and you are bound as brothers. You are one body. The general is the King of Han, and the King of Han is the general. How is this alike ordinary men? You receive great grace from the King of Han; you must share joy and suffering, fortune and misfortune with him, and should not argue over the relative heights of titles. I urge you to ponder this well.”

Guan Yu came to clarity. He bowed twice and said, “Through my lack of understanding, and not through your instruction, this nearly caused great error. I accept the seal and ribbons.”
When the king’s command had just been delivered, Shi ordered Guan Yu to lead his troops and take Fancheng.

Guan Yu accepted the order and at once sent Fu Shiren and Mi Fang as vanguard captains. He also sent one army to encamp outside Jingzhou; at the same time he prepared a banquet in the city and entertained Shi. As they drank until the second watch, a sudden report came that fire had broken out among the outer sentry camps. Guan Yu donned his armor and mounted. He went out and saw that Fu Shiren and Mi Fang, drunk at their tents, had left embers behind; they had caught fire to the cannons, and the whole camp shuddered in flame, all camp weapons and provisions burning to ruin.

Guan Yu rode to put out the fire and by the fourth watch it was finally gone.

Back in the city, he summoned Fu Shiren and Mi Fang and said, “I ordered you two as vanguard. You have not even left the camp, and yet you burned our own weapons and grain, and burned the military engines that shot our mounts. This mistake in action — how could either of you be useful?” He shouted for their execution.

Shi intervened, “You have not even left camp; to cut down your superior generals now is bad for the army. Their fault should be set aside for the moment.”

Guan Yu’s anger did not cool. He shouted to the two men, “I will not look on Shi’s face. I will cut down both your heads!” He then ordered warriors to cane each of them forty strokes, removed their vanguard seals, and reassigned Mi Fang to guard Nanjun, and Fu Shiren to guard Gong’an. “If I return in victory,” he said, “and there is any shortfall at all, both offenders will be punished again.” The two men left in shame. Guan Yu then made Liao Hua vanguard and Guan Ping deputy commander. He took total command of the center, with Ma Liang and Yi Ji as military advisers, and led the assault together. Earlier, Hu Ban, son of Hu Hua, had come from Jingzhou to surrender to Guan Yu. Guan Yu remembered the aid Hu Hua had once given him and loved the man. He sent Hu Ban with Shi back into Shu to report the conferment. Hu Ban bid farewell and returned with him to Shu.

Elsewhere that day, Guan Yu raised the main battle banner and reclined briefly in camp. Suddenly he saw a black pig as large as an ox burst into the pavilion and bite his left foot. He grew furious and drew his sword to cut it down, the sound ringing like torn silk. At once he woke with a start. It had all been a dream. Yet his left foot throbbed faintly. Deeply unsettled, he summoned Guan Ping and reported the dream.

Guan Ping answered, “A pig may carry dragon features; when a dragon joins the leg it is an omen of ascent. Do not mistrust it.”

Guan Yu assembled his officers in the pavilion and reported the omen. Some called it auspicious, others inauspicious; opinion was divided. Guan Yu said, “A man of my age near sixty, what regret is there if I die?” As he spoke, an envoy from Shu arrived with a command from the King of Han. He was appointed General of the Vanguard, granted the token ribbon, and made Superintendent of the nine commanderies in Jing and Xiang. After receiving the edict, the officers congratulated him, saying, “This is proof that the pig-dragon was favorable.” He then cast off his hesitation and raised the army toward Xiangyang.

At that time Cao Ren was in the city when news came that Guan Yu had come in command of his troops. He was startled and wanted to hold firm and not venture out. Deputy commander Zhai Yuan said, “The King of Wei asked this general and Commander-in-chief Cao to coordinate with Eastern Wu to take Jingzhou. He has come now by himself; this is a move to offer himself to death. Why then avoid him?” Adviser Fan Chong remonstrated, “I have long known Guan Yu to be brave and clever. We must not underestimate him. The best course is to stand firm and hold.”

Brave commander Xiahou Cun said, “That is bookman talk only. Have you not heard, ‘When the waters are shallow and mud covers the ford, a coming army should be met in the open square’? Our army is fresh while his is tired by march; we can win.” Cao Ren agreed and ordered Fan Chong to hold Fancheng while he personally led troops to meet Guan Yu. Guan Yu heard the Wei forces approaching and summoned Guan Ping and Liao Hua to consult and advance.

Liao Hua rode out to engage in skirmish; Zhai Yuan came to receive him. The two generals fought a little. Liao Hua feigned defeat and turned his horse and fled. Zhai Yuan pursued from behind and the Jingzhou troops fell back twenty li. The next day they fought again. Xiahou Cun and Zhai Yuan both came out to meet them. Again the Jingzhou soldiers were repelled and chased over twenty li. Then they suddenly heard loud shouts behind them and drums and horns sounding as one. Cao Ren hurriedly ordered the front line to turn and run back; from behind, Guan Ping and Liao Hua were striking down toward them. The Wei army was thrown into confusion. Realizing he had been tricked, Cao Ren at once cut out one army and dashed for Xiangyang; several miles from the city, banners in bright silk snapped forward from the front, and Guan Yu reined in his horse sideways and blocked the road. Cao Ren was terrified, trembling in fear, and dared not make frontal contact. He slipped out along a slanting road toward Xiangyang. Guan Yu did not pursue. Soon Xiahou Cun’s force arrived and seeing Guan Yu, grew furious and engaged. In a single clash, Guan Yu killed him. Zhai Yuan fled, and Guan Ping caught up and cut him down in one stroke. In the press of pursuit, most of Cao’s men died in the Xiang River. Cao Ren retreated and withdrew to Fancheng.

After taking Xiangyang, Guan Yu rewarded the troops and pacified the people. Wang Pu, his chief clerk, said, “General, in one drum of time you brought down Xiangyang, and though Cao’s men are disoriented, my poor opinion is this: on the eastern side, Lü Meng is encamped at Lukou and often wants to swallow Jingzhou. If he advances straight toward it, how are we to meet that?”

Guan Yu said, “I have also thought of this. You can take this matter in hand. Along the river above and below, every twenty or thirty li choose high mounds and build signal towers. Put fifty soldiers in each tower. If Wu troops cross the river, burn bright fire at night and raise smoke by day as signals. I will ride to meet them myself.”
Wang Pu said, “Mi Fang and Fu Shiren hold the two passes and I fear they are not earnest enough. We need another to supervise all Jingzhou.”

Guan Yu said, “I already assigned Pan Jun to the inner office. Why this concern?”

Wang Pu said, “Pan Jun all his life has been cautious and fond of profit; he cannot be trusted with this charge. Send Zhaolei, deputy commander and logistics officer. Zhaolei is loyal, upright, and frugal. If we use him, there will be no failure.”
Guan Yu replied, “I have long known Pan Jun. Now he is already assigned; there is no need to change. Zhaolei now oversees grain and provisions; that too is an important matter. You need not suspect. Build the beacons and watchtowers only.”

Wang Pu bowed, still troubled, and left. Guan Yu ordered Guan Ping to prepare boats for crossing the Xiang River and to attack Fancheng.

Back at Fancheng, Cao Ren had lost two commanders and retired to the city. He told Fan Chong, “I did not follow your advice, and the army was lost and Xiangyang lost. How are we to endure?” Fan Chong said, “Guan Yu is a tiger general, ingenious and wise. He must not be underestimated. We should hold the city alone.” As this was being spoken, news came that Guan Yu had crossed the river and was coming to assault Fancheng. Cao Ren was alarmed. Fan said again, “We must keep firm.”

Deputy commander Lü Chang suddenly said, “Your servant asks for several thousand troops. I am willing to meet the enemy in the waters of Xiang River.” Fan remonstrated, “No.” Lü Chang grew angry. “You civil officials only repeat: ‘hold the city.’ How can that alone drive back the enemy? Have you not heard war doctrine: ‘When an army is halfway across a river, strike them then’? Guan Yu is halfway across the Xiang River now. Why not strike him? If he reaches the ramparts, he will be at the ditch and difficult to resist.”

Cao Ren took two thousand and sent Lü Chang out of Fancheng to meet battle. Lü Chang arrived at the river mouth and saw ahead the bright banners. Guan Yu, cross-sword raised in hand, came out. Lü Chang tried to come forward to engage. From behind, the rest of the army saw Guan Yu’s awe-inspiring vigor and began to retreat before striking; Lü Chang could not stop them. Guan Yu rushed on through mixed close-combat, and the Wei army was routed. The mounted and foot forces were broken in large part. The survivors fled in disarray into Fancheng. Cao Ren immediately sent for help and dispatched riders by night to Chang’an with a petition to Cao Cao: “Guan Yu has taken Xiangyang. Now he besieges Fancheng in grave urgency. Please send the Great General.”

Cao Cao pointed to a man in his staff and said, “You should go and break the siege.” The man came out at once. The onlookers saw it was Yu Jin. Yu Jin said, “I ask leave to act as vanguard with one general and take troops with me.” Cao asked the assembled, “Who dares be vanguard?” One man came forth. “I volunteer for this dangerous vanguard mission. I will capture General Guan alive and present him beneath your standard.” Cao Cao looked at him with joy.

It was said:

The lords of Wu have not yet come to watch for openings, yet first the forces of northern Wei send forth more troops.
Who this man is

How this turned out will be told in the next chapter.