Cheng Yu proposed a plan: “Guan Yu commands an army that can stand alone against ten thousand enemies. Only stratagem will defeat him. Let us send a detachment of surrendered Xuzhou troops into Xiaopei to offer their allegiance to Lord Guan. They will swear they escaped from our lines and will serve as his inside force. When Guan Yu sallies forth, feign defeat and lure him away; then deploy our elite troops to cut off his return.”
Cao Cao approved the scheme at once. He ordered several dozen of Liu Bei’s former soldiers to ride to Xiaopei and surrender to Guan Yu, who—believing them old comrades—welcomed them without suspicion.
The next morning, Xiahou Dun led five thousand men to challenge Guan Yu at the city walls. When Guan Yu refused to emerge, Xiahou Dun’s heralds hurled insults from below. Enraged, Guan Yu led three thousand men out and met Xiahou Dun in battle. After a dozen or so exchanges, Xiahou Dun feigned flight. Guan Yu pursued him for twenty li, then, fearing the city might be left undefended, wheeled back. Suddenly a signal fire cracked. From the left came Xu Huang; from the right, Xu Chu—each at the head of a fresh detachment—cutting off his path. Hidden crossbowmen loosed a volley of bolts like swarms of locusts. Guan Yu was forced to retreat and fought Xu Huang and Xu Chu to clear a way, only to be intercepted again by Xiahou Dun. By dusk he found himself surrounded and led his horse up a low earthen hill, where he held position through the night.
From the summit he saw Xiaopei ablaze: the false deserters had opened the gates, and Cao Cao’s troops poured into the city, setting fires to draw his attention. Desperate, Guan Yu charged down several times, only to be driven back by a rain of arrows.
At dawn a single rider appeared on the hillside—Zhang Liao. Guan Yu greeted him, “General Wen Yuan, have you come to fight me?” Zhang Liao dismounted and clasped Guan Yu’s hand: “No, my lord. I come out of respect for an old friendship.” They sat together on the hilltop. Guan Yu asked, “Surely you’ve news for me?” Zhang Liao shook his head. Guan Yu pressed, “Then why come?” Zhang Liao replied, “My gratitude compels me. You once saved my life; how could I not come to see you in dire straits? Last night Cao Cao captured Xiaopei but spared its people and gave orders to protect your family. I come only to bring word of their safety.”
Guan Yu scowled, “You flatter me. Even in this desperate hour, I would die by the sword rather than yield. Leave now and I will meet you in battle at dawn.” Zhang Liao laughed, “Would you not be mocked across the land?” Guan Yu answered, “What shame is there in dying for righteousness?” Zhang Liao shook his head: “You would incur three charges.” Guan Yu demanded, “Name them.” Zhang Liao said:
Breach of Oath: When you and Lord Liu swore brotherhood, you vowed to live or die together. Now that Lord Liu has fallen, if you perish and he survives, he will have no brother at his side.
Abandoning Liu Bei’s Household: Lord Liu entrusted his wife and children to your care. Should you die, they will be left helpless.
Wasting Your Talents: You excel in both martial and scholarly arts. Rather than aiding Lord Liu to restore the Han dynasty, you seek only personal valor, forsaking the greater cause.
“These are your three transgressions,” Zhang Liao concluded. Guan Yu fell silent. Finally he asked, “And what remedy do you offer?” Zhang Liao replied: “Your situation is hopeless; to fight on is certain death. Better to surrender now to Cao Cao—whom you may treat as your liege so long as you regard only the Han emperor as your true sovereign. Meanwhile, inquire after Lord Liu’s whereabouts. When you learn where he survives, you may depart freely. Only by doing so can you spare Lady Gan and Lady Mi, uphold your oath, and live to serve again.”
Guan Yu considered and said, “Very well. I will lay down my arms on three conditions:
I surrender only to the Han emperor, not to Cao Cao personally.
Liu Bei’s two wives shall receive their full stipends, and none of their household may be disturbed.
Once I learn of Lord Liu’s location, I will depart at once.
“Fail even one of these, and I will die with my oath unfulfilled.”
Zhang Liao hastened back to Cao Cao and delivered Guan Yu’s terms. Cao Cao laughed, “I am Chancellor of Han—Han is embodied in me. Surrendering to Han is surrendering to me.” Zhang Liao continued, “He also demands stipends for Liu Bei’s wives and immunity for their retinues.” Cao Cao replied, “I will double their stipends and forbid any disturbance—this is family law, no question.” Finally, Zhang Liao relayed the third condition. Cao Cao frowned, “If I grant these three terms, why keep Guan Yu at all?” Zhang Liao quoted a scholar’s praise of loyalty and urged, “Treat him with warmth and he will stay.”
Cao Cao agreed. He ordered his forces drawn back thirty li.
Guan Yu led his men into Xiaopei and hurried to Lady Gan and Lady Mi’s residence. He knelt before them: “My ladies, forgive my absence.” They asked anxiously about Liu Bei’s fate. Guan Yu answered, “I do not know where my lord is.” The ladies objected, “You have made your pledge—why consult us? We only fear Cao Cao will not let you go.” He reassured them: “Do not worry. I have my plan.” Lady Gan smiled, “My lord will decide as he sees fit; you need not trouble yourselves.”
Guan Yu then rode out with a handful of retainers to Cao Cao’s camp. Cao Cao met him at the gate. Guan Yu dismounted, bowed, and said, “I, a defeated general, am grateful you have spared me.” Cao Cao clasped his arm: “I have long admired your loyalty. Meeting you today fulfills a lifelong aspiration.” Guan Yu bowed again, and Cao Cao treated him to a banquet.
The next morning they returned to Xuchang. Guan Yu escorted his wives in a carriage, personally ensuring their safety. At Cao Cao’s suggestion, they lodged together, but when Cao Cao arranged for them to share a room, Guan Yu stood outside the entire night, candle in hand, until dawn—earning Cao Cao’s utmost respect. In Xuchang, Cao Cao assigned them a two-court compound: ten veterans guarded Lady Gan and Lady Mi’s inner residence, while he lived in the outer.
At court, the emperor appointed Guan Yu as a Lieutenant-General. Cao Cao hosted a grand feast in his honor, seating him in the place of highest honor, and presented him with silks, brocades, and gold and silver vessels. Guan Yu passed these gifts to his wives for safekeeping.
Three days later, Cao Cao noticed Guan Yu’s faded green battle-robe and had a new brocade coat made. When he offered it, Guan Yu quietly wore it beneath his old robe. Cao Cao laughed: “Lord Guan, your thrift is admirable.” Guan Yu replied, “This old robe was given by Lord Liu. When I wear it, I feel him before me. I cannot forget his gift for any new favor.” Cao Cao sighed, “Truly a man of principle.” Though he praised him outwardly, he felt a pang of displeasure.
One day a messenger announced Lady Gan had fallen unconscious in tears. Guan Yu hurried in and knelt. She sobbed, “I dreamed my lord lay buried in a pit… my heart aches.” Guan Yu soothed her: “Dreams arise from longing; do not grieve.”
Soon after, Cao Cao summoned Guan Yu to a feast. Noting his tear-stained face, he pressed wine to comfort him. Guan Yu, moved, cried out: “I cannot repay my country, nor can I forsake my oath to my brother!” Cao Cao changed the subject: “Tell me, how many hairs have you in your beard?” Guan Yu replied, “A few hundred. In winter I wrap them in silk to keep them from breaking.” Cao Cao had a silk pouch embroidered and gave it to him. The next day at court, the emperor admired the little silk pouch peeking from his chest and laughed, “A fine beard indeed!” From that day on, all called him “Lord of the Beautiful Beard.”
Once, Cao Cao noticed that Guan Yu’s horse had grown thin. Guan Yu explained, “My armor is heavy; the horse tires easily.” Cao Cao sent forth a splendid steed—none other than Lü Bu’s famous Red Hare. Guan Yu bowed deeply in thanks. Cao Cao frowned: “After all my gifts you never bowed, yet at a horse you bow twice?” Guan Yu answered, “This horse runs a thousand li a day. If it can find my lord, I will repay all favors.” Cao Cao paused, chastened.
Zhang Liao reported to Cao Cao that Guan Yu’s heart still lay with Liu Bei. Cao Cao sent him to counsel Guan Yu once more. After an earnest debate—during which Guan Yu affirmed his pledge to return only after performing worthy service—Zhang Liao admitted defeat and returned. Cao Cao sighed, “A true hero never forgets his roots. Let him earn his merits; then, if he leaves, so be it.”
Meanwhile, at Yuan Shao’s camp, Liu Bei fretted for his stranded brother and captured family. Yuan Shao declared, “Spring is coming—let us march on Xuchang!” His adviser Tian Feng urged caution: “Xuchang is now lightly guarded; if we strike swiftly, we can restore the emperor. If we delay, Cao Cao’s forces will only grow.” Yuan Shao wavered, but Liu Bei pressed the righteous cause. Angered by Tian Feng’s repeated counsels, Yuan Shao imprisoned him. The court wept as Liu Bei departed under escort: “If we conquer, your clan will share the spoils. If we fail, none can save you.”
Yuan Shao sent Yan Liang as vanguard to attack the post at White Horse. The governor Liu Yan’s plea for aid reached Cao Cao, who raised 150,000 men and divided them into three corps. He detached 50,000 to White Horse and entrenched at Tu Mountain. Opposite them Yan Liang arrayed 100,000 troops on the plain. Alarmed, Cao Cao turned to Song Xian, a veteran of Lü Bu’s forces: “You know Yan Liang’s style—match him blow for blow.” Song Xian charged forth, but Yan Liang, resplendent under his banner, met him. In fewer than three moves, Yan Liang felled Song Xian. Cao Cao lamented, “What a mighty warrior!” Wei Xu leapt up to avenge his comrade but was cut down. Then Xu Huang charged in and fell upon Yan Liang. Again they clashed, and Xu Huang’s blade toppled Yan Liang from his horse.
Stunned, the north-army’s morale collapsed. Cao Cao pressed the attack, routing them completely. In triumph he summoned Cheng Yu: “Who among my men can cut down Yan Liang’s standard?” Cheng Yu replied, “Only Guan Yu.” Cao Cao grinned, “Summon him at once—the sooner he fights and wins, the sooner Liu Bei’s faction will fear to keep him.”
A messenger brought word to Guan Yu, who mounted the Red Hare, bore the Green Dragon Crescent Blade, and rode to the White Horse battle. Cao Cao greeted him with wine. Suddenly a herald announced Yan Liang’s demand for battle. Hurrying to the summit of Tu Mountain, Cao Cao and Guan Yu surveyed the field—Yan Liang’s flags gleaming in the distance, his lines dense with spears and swords. Cao Cao said, “Those plains soldiers of the north are formidable.” Guan Yu looked down and scoffed, “They are but mud chickens and pottery dogs.” Cao Cao pointed to the rider in gold armor, Yan Liang himself. Guan Yu smiled, leapt from his horse, and charged down. The north-army parted like waves before a rock. Guan Yu cut straight through the ranks to Yan Liang, who barely raised his banner before a single blow severed his head. Fastening the trophy to his saddle, Guan Yu swept back across the field, slaying all who stood in his path. North-army troops fled in terror; Cao Cao’s forces surged forward, slaughtering the rout. Victorious, Guan Yu re-ascended the hill and presented Yan Liang’s head to Cao Cao. “Truly a divine warrior!” Cao Cao exclaimed. Guan Yu replied, “I am unworthy. My brother Zhang Fei could do the same with any general, as easily as reaching into a pocket.” Alarmed, Cao Cao admonished his officers, “Never underestimate Zhang Fei when he arrives!” He had the moment inscribed on his cloak’s collar as a reminder.
Far away, Yan Liang’s surviving soldiers reported his death to Yuan Shao. In fury Yuan Shao denounced Liu Bei as a traitor and ordered him executed on the spot.
Thus ends this chapter—Liu Bei’s fate hangs in the balance!
