Cheng Yu presented his plan to Cao Cao: "Guan Yu is a warrior who can stand against ten thousand men. He cannot be taken by force alone—only by cunning. Send some of the surrendered soldiers from Liu Bei's army into Xiapi. Let them go to Guan Yu, claiming they escaped from the battle. They will hide within the city as our agents. Then lure Guan Yu out to fight, feign defeat, and draw him into an ambush. Cut off his retreat with elite troops, and then persuade him to surrender." Cao Cao approved the scheme and immediately dispatched several dozen of the surrendered soldiers from Xuzhou to Xiapi, where they offered their service to Guan Yu. Taking them for his own old troops, Guan Yu accepted them without suspicion.
The next day, Xiahou Dun led five thousand men as the vanguard and challenged Guan Yu to battle. Guan Yu refused to come out. Xiahou Dun then had his men hurl insults at the city walls. Enraged, Guan Yu led three thousand men out of the city to engage Xiahou Dun. After about ten exchanges, Xiahou Dun turned his horse and fled. Guan Yu gave chase, with Xiahou Dun fighting and retreating by turns. When Guan Yu had pursued him some twenty li, he feared that Xiapi might be left vulnerable and ordered his men to turn back. Suddenly, a cannon blast rang out. To his left, Xu Huang appeared; to his right, Xu Chu—both units blocked his path. Guan Yu fought to break through, but ambushers on both sides unleashed a hundred crossbows, and arrows flew like locusts. Unable to pass, Guan Yu reined in his men and turned back. Xu Huang and Xu Chu engaged him. Guan Yu fought fiercely and drove them both back, then led his troops toward Xiapi. But Xiahou Dun intercepted him again. Guan Yu battled until dusk, with no path home. He could only reach a low earthen hill, where he led his men to the summit to rest briefly. The army of Cao Cao surrounded the hill in a tight ring.
From the hill, Guan Yu gazed into the distance and saw flames rising to the sky within Xiapi. The false defectors had secretly opened the city gates; Cao Cao himself had led his main army into the city, ordering the fires lit to unsettle Guan Yu's resolve. Seeing the blaze in Xiapi, Guan Yu was seized with alarm. Several times during the night, he charged down the hill, but each time he was driven back by a hail of arrows.
When dawn broke, Guan Yu was preparing to reorganize his men for another assault when he saw a single rider galloping up the hill. It was Zhang Liao. Guan Yu greeted him and said, "Have you come to fight me, Wenyan?" "No," Zhang Liao replied. "I recall our old friendship and have come specifically to see you." He dismounted, laid aside his blade, and exchanged formal greetings with Guan Yu. They sat together on the hilltop. "Have you come to persuade me to surrender?" Guan Yu asked. "Not at all," Zhang Liao said. "In days past, you saved my life. How could I not now seek to save yours?" "Then you intend to help me?" Guan Yu pressed. "No, not that either," Zhang Liao answered. "If you won't help me, why have you come?" Guan Yu demanded. "Liu Bei's fate is unknown," Zhang Liao said. "Zhang Fei's life or death is also uncertain. Last night, Lord Cao took Xiapi, but he harmed none of the soldiers or civilians. He sent men to protect Liu Bei's family and forbade any disturbance. This is how he treats them, and I have come to tell you."
Guan Yu flushed with anger. "These words are only meant to persuade me! Though I am trapped here, I hold death as lightly as going home. Leave at once! I will charge down this hill and give battle!" Zhang Liao laughed loudly. "Brother, if you do this, will you not become a laughingstock in the eyes of all under Heaven?" "I will die for loyalty and righteousness," Guan Yu declared. "Why should the world mock me?" "If you die now," Zhang Liao said, "you will be guilty of three crimes. First: when you swore the oath with Lord Liu in the Peach Garden, you vowed to live and die together. Now Lord Liu has just been defeated, and if you die in battle, should he ever reappear and seek your aid, he will find no one. Would that not betray your sworn covenant? That is the first crime. Second: Lord Liu entrusted his family to your care. If you die in battle now, the two ladies will have no one to rely on. You would be failing the heavy trust he placed in you. That is the second crime. Third: your martial skill is beyond compare, and you are well-versed in the classics and history. Yet instead of thinking how to help Lord Liu restore the Han Dynasty, you would throw yourself into fire and water merely to prove your personal courage. How can that be counted as righteousness? That is the third crime. You bear these three crimes, brother, and I am bound to tell you."
Guan Yu fell silent for a long moment. "You say I have three crimes. What would you have me do?" "Cao Cao's armies surround you on all sides," Zhang Liao said. "If you do not surrender, you will die. Dying for nothing serves no purpose. It would be better to surrender to Cao Cao for now, while you seek news of Lord Liu. Once you know where he is, you can go to him. This way, first, you can protect the two ladies; second, you will not break the Peach Garden oath; third, you preserve your own life for future use. These are three benefits, brother. Consider them carefully."
"You speak of three benefits," Guan Yu replied. "I have three conditions. If the Chancellor accepts them, I will lay down my arms. If he refuses, I would rather suffer the three crimes and die." "The Chancellor is generous and magnanimous," Zhang Liao said. "What could he not accept? I would hear these three conditions." "First," Guan Yu said, "I swore with the Imperial Uncle to uphold the Han Dynasty together. I will surrender only to the Han Emperor, not to Cao Cao personally. Second, the two ladies must receive the Imperial Uncle's official stipend for their upkeep, and no one—high or low—shall be permitted to approach their residence. Third, as soon as I learn where the Imperial Uncle has gone, regardless of the distance—a thousand li or ten thousand—I must be allowed to go to him. If any of these three conditions is lacking, I will never surrender. I beg you, Wenyan, to report this quickly."
Zhang Liao agreed, mounted his horse, and returned to Cao Cao. First, he told him of Guan Yu's condition about surrendering to the Han Emperor, not to Cao Cao himself. Cao Cao laughed. "I am the Chancellor of Han. The Han is me. This condition can be accepted." Zhang Liao then spoke of the second condition regarding the ladies' stipend and the prohibition of visitors. "I will double the Imperial Uncle's stipend for them," Cao Cao said. "As for the strict separation of the inner and outer quarters, that is proper household discipline. Why should I doubt it?" Zhang Liao then relayed the third condition: that Guan Yu must be free to go to Liu Bei as soon as he learned of his whereabouts. Cao Cao shook his head. "If that is so, what use is it to keep Guan Yu? This condition is difficult to accept." "Have you not heard the old story of Yu Rang?" Zhang Liao asked. "When treated as a common man, he repaid as a common man; when treated as a man of honor, he repaid as a man of honor. Liu Bei treated Guan Yu with kindness and generosity. If you, Chancellor, show him even greater favor to win his heart, why worry that Guan Yu will not serve you?" "Your words are well spoken," Cao Cao said. "I accept all three conditions."
Zhang Liao returned to the hill to report to Guan Yu. "Even so," Guan Yu said, "I beg the Chancellor to withdraw his army for a time, and allow me to enter the city to see my sisters-in-law and inform them of these matters. Then I will surrender." Zhang Liao went back and relayed this to Cao Cao, who immediately ordered his army to withdraw thirty li. "This cannot be," Xun Yu protested. "There may be treachery." "Guan Yu is a man of honor," Cao Cao said. "He will not break his word." And he led his army away.
Guan Yu led his men into Xiapi. Seeing that the people were safe and undisturbed, he went directly to the residence to see his sisters-in-law. When Lady Gan and Lady Mi heard that Guan Yu had arrived, they hurried out to greet him. Guan Yu knelt at the foot of the steps. "I am guilty that you, my sisters-in-law, were frightened," he said. "Where is the Imperial Uncle?" the two ladies asked. "His whereabouts are unknown," Guan Yu replied. "What do you intend to do now, brother-in-law?" they asked. "I fought to the death outside the city and was trapped on Earth Hill," Guan Yu said. "Zhang Liao urged me to surrender, and I set three conditions. Cao Cao has accepted all of them and withdrawn his troops, allowing me to enter the city. I did not dare to act without first hearing your opinion." The two ladies asked what the three conditions were. Guan Yu recounted everything. Lady Gan said, "When Cao Cao's army entered the city yesterday, we thought we would surely die. But not a hair on our heads was touched, and not a single soldier dared enter our gate. Since you have already given your word, why ask us? Our only fear is that Cao Cao may not allow you to go in search of the Imperial Uncle." "Rest assured, sisters-in-law," Guan Yu said. "I have my own plan." "You must decide for yourself," the two ladies replied. "Do not trouble us women with such matters."
Guan Yu withdrew and led several dozen riders to meet Cao Cao. Cao Cao himself came out of the camp gate to receive him. Guan Yu dismounted and knelt, but Cao Cao hastily returned the bow. "I am a defeated general," Guan Yu said, "and I am deeply grateful for your mercy in sparing my life." "I have long admired your loyalty and righteousness," Cao Cao replied. "To meet you today fulfills my lifelong wish." "Zhang Liao conveyed my three conditions on my behalf," Guan Yu said. "I trust that the Chancellor will not break his word." "Once I have spoken, how dare I be false?" Cao Cao said. "If I learn the Imperial Uncle's whereabouts," Guan Yu said, "even if I must cross fire and water, I will go to him. At that time, I may not be able to take my leave in person. I beg your forgiveness in advance." "If Liu Bei is still alive, you must go to him," Cao Cao said. "But I fear he may have perished in the chaos of battle. Be at ease for now, and allow me to make inquiries." Guan Yu bowed in thanks. Cao Cao then held a feast in his honor.
The next day, the army set out for Xuchang. Guan Yu prepared the carriage and invited the two ladies to board. He personally escorted the carriage on the road. When they stopped for the night at an inn, Cao Cao, wishing to disrupt the proper order between lord and subject, arranged for Guan Yu to share a single room with the two ladies. But Guan Yu took a candle and stood outside the door, keeping vigil from nightfall until dawn, without the slightest sign of fatigue. Seeing this, Cao Cao respected him all the more.
When they arrived at Xuchang, Cao Cao assigned a mansion for Guan Yu's residence. Guan Yu divided the house into two courtyards. He stationed ten veteran soldiers at the inner gate, while he himself occupied the outer quarters. Cao Cao brought Guan Yu to court to pay homage to Emperor Xian, who appointed him a Lieutenant General. Guan Yu gave thanks and returned to his residence. The next day, Cao Cao held a grand banquet, gathering all his advisers and military officers. He treated Guan Yu as an honored guest, seating him in the place of highest honor. He also presented him with fine silks, brocades, and vessels of gold and silver. Guan Yu gave them all to the two ladies for safekeeping.
From the time Guan Yu arrived in Xuchang, Cao Cao treated him with great generosity: small feasts every three days, grand banquets every five. He also sent ten beautiful women to attend Guan Yu. Guan Yu sent them all into the inner courtyard to serve the two ladies. Every three days, he would bow respectfully at the inner gate and inquire after the ladies' well-being. Only after they had asked about the Imperial Uncle and said, "You may go now, brother-in-law," would Guan Yu dare to withdraw. When Cao Cao heard of this, he sighed in admiration once more.
One day, Cao Cao noticed that the green brocade battle robe Guan Yu wore was old. He took measurements and had a new robe made of rare brocade, which he presented to Guan Yu. Guan Yu accepted it but wore it beneath his old robe, with the old one on top. Cao Cao laughed and said, "Why are you so frugal, Yunchang?" "It is not frugality," Guan Yu replied. "This old robe was a gift from the Imperial Uncle. Wearing it is like seeing my brother's face. I dare not let your new gift, Chancellor, make me forget my elder brother's old gift. That is why I wear the old one on top." Cao Cao sighed. "Truly a man of honor!" But though his mouth praised him, his heart was displeased.
One day, while Guan Yu was at his residence, a servant hurriedly reported that the two ladies in the inner courtyard had collapsed in tears, and he was asked to come quickly. Guan Yu straightened his robes, knelt outside the inner gate, and asked why his sisters-in-law were weeping. "Last night, I dreamed that the Imperial Uncle had fallen into a pit," Lady Gan said. "When I woke and told Lady Mi, we both thought he must have already joined the Nine Springs of the underworld. That is why we wept." "Dreams are not to be trusted," Guan Yu said. "This is only because you miss him, sisters-in-law. Please do not grieve."
Just then, a messenger from Cao Cao arrived, inviting Guan Yu to a banquet. Guan Yu took his leave of the two ladies and went to see Cao Cao. Cao Cao noticed the traces of tears on Guan Yu's face and asked the reason. "My sisters-in-law wept for my elder brother," Guan Yu said. "How could I not be sad?" Cao Cao smiled and tried to console him, urging him frequently to drink wine. Guan Yu grew drunk. Stroking his long beard, he said, "To live without being able to serve my country, and to have turned my back on my brother—what kind of man is that?" Cao Cao asked, "How many hairs are in your beard, Yunchang?" "Several hundred," Guan Yu replied. "Every autumn, about three to five fall out. In winter, I wrap it in a black silk bag for fear it might break." Cao Cao had a bag made of fine silk and brocade for Guan Yu to protect his beard.
The next day at court, Emperor Xian saw the silk bag hanging at Guan Yu's chest and asked about it. "My beard is rather long," Guan Yu replied, "and the Chancellor gave me this bag to protect it." The Emperor ordered him to let down his beard before the court; it reached past his waist. "Truly a man of the magnificent beard!" the Emperor exclaimed. From that day on, everyone called Guan Yu "the Lord of the Magnificent Beard."
One day, Cao Cao invited Guan Yu to a feast. As he was seeing him out, Cao Cao noticed that Guan Yu's horse was thin. "Why is your horse so lean?" he asked. "I am rather heavy," Guan Yu replied, "and the horse cannot bear my weight. That is why it is always thin." Cao Cao ordered his attendants to bring a horse. In a moment, they led one out. The horse was the color of burning coals, magnificent and powerful. Cao Cao pointed to it. "Do you recognize this horse?" "Is this not Red Hare, the steed of Lü Bu?" Guan Yu asked. "It is," Cao Cao said. He then presented the horse, along with its saddle and bridle, to Guan Yu. Guan Yu knelt and bowed twice in gratitude.
Cao Cao was displeased. "I have given you beautiful women, gold, and silk many times, and you never once knelt to thank me. But today, when I give you a horse, you are overjoyed and bow twice. Why do you value an animal more than people?" "I know this horse can travel a thousand li in a single day," Guan Yu replied. "Now that I have it, if I learn where my elder brother is, I can see him in a single day." Cao Cao was startled and regretted his gift. Guan Yu took his leave and departed.
A poet of the time lamented: His might overshadowed the Three Kingdoms, a hero renowned; He divided his house in two, his righteous spirit profound. The treacherous Chancellor's empty courtesies were all in vain; For who could know that Guan Yu would never to Cao Cao's rule be bound?
Cao Cao asked Zhang Liao, "I have treated Guan Yu well, yet he always seems ready to leave. Why?" "Allow me to sound him out," Zhang Liao said. The next day, he went to see Guan Yu. After the formal greetings, Zhang Liao said, "I recommended you to the Chancellor, and he has not treated you poorly, has he?" "I am deeply grateful for the Chancellor's kindness," Guan Yu replied. "But though my body is here, my heart is always with the Imperial Uncle. I have never forgotten him." "You are wrong, brother," Zhang Liao said. "A man who cannot distinguish what is important is not a true man. Did Liu Bei treat you any better than the Chancellor? Why are you so set on leaving?" "I know that Lord Cao treats me very well," Guan Yu said. "But I received great kindness from the Imperial Uncle, and we swore to live and die together. I cannot betray him. I will not stay here forever. But before I go, I must perform some great deed to repay Lord Cao." "If Liu Bei has already passed from this world," Zhang Liao asked, "where will you go?" "I will follow him to the underworld," Guan Yu said. Zhang Liao knew that Guan Yu could not be kept. He withdrew, returned to Cao Cao, and reported everything. Cao Cao sighed. "To serve one's lord without forgetting one's roots—this is a man of honor under Heaven!" Xun Yu said, "He said he would leave only after rendering some service. If we do not let him render any service, he may not leave so easily." Cao Cao agreed.
Meanwhile, Liu Bei, who was staying with Yuan Shao, was in constant distress. "Why are you always so worried?" Yuan Shao asked. "I have no news of my brothers," Liu Bei replied. "My wife and children are trapped by the traitor Cao Cao. I cannot serve my country above, nor protect my family below. How can I not be worried?" "I have long wanted to march on Xuchang," Yuan Shao said. "Now that spring is warm, it is the perfect time to raise an army." He began to discuss plans for attacking Cao Cao. Tian Feng advised against it: "When Cao Cao attacked Xuzhou, Xuchang was empty. That was the time to strike. But now Xuzhou has fallen, and Cao Cao's army is at its peak. We must not underestimate him. It would be better to hold our ground and wait for an opening before we move." "Let me think on it," Yuan Shao said. He then asked Liu Bei, "Tian Feng advises me to hold fast. What do you think?" "Cao Cao is a traitor who has deceived the Emperor," Liu Bei said. "If you do not punish him, my lord, you may lose the cause of righteousness in the eyes of the world." "Well spoken, Xuande!" Yuan Shao said, and prepared to raise his army. Tian Feng again tried to dissuade him. Yuan Shao grew angry. "You scholars play with words and despise military matters. You would have me lose the cause of righteousness!" Tian Feng kowtowed and said, "If you do not listen to my good counsel, the campaign will not go well." Yuan Shao was furious and ordered Tian Feng executed. Liu Bei pleaded earnestly on his behalf, and Tian Feng was instead thrown into prison. When Ju Shou saw that Tian Feng had been imprisoned, he gathered his clan, distributed all his family wealth, and bid them farewell. "I go with the army," he said. "If we win, glory will follow. If we lose, I will not return alive." All wept as they saw him off.
Yuan Shao sent his great general Yan Liang as the vanguard to attack White Horse. Ju Shou advised, "Yan Liang is narrow-minded. Though brave, he cannot be entrusted with a command alone." "He is my finest general," Yuan Shao said. "You do not understand him." The main army advanced to Liyang. Liu Yan, the Grand Administrator of Dong Commandery, sent urgent appeals for help to Xuchang. Cao Cao hastily convened a council to prepare a counterattack. When Guan Yu heard of this, he went to the Chancellor's residence and said, "I hear that you are raising an army, Chancellor. I wish to serve as the vanguard." "I dare not trouble you yet, General," Cao Cao replied. "When the time comes, I will call upon you." Guan Yu withdrew.
Cao Cao led an army of 150,000 men, divided into three columns. On the march, he received more urgent dispatches from Liu Yan. Cao Cao took 50,000 men and advanced directly on White Horse, where he encamped near an earthen hill. From a distance, he could see the broad plain before the hills. Yan Liang's elite vanguard of 100,000 men was drawn up in battle formation. Cao Cao was stunned. He turned to Song Xian, a former general of Lü Bu, and said, "I have heard that you were a fierce warrior under Lü Bu. Now you may test yourself against Yan Liang." Song Xian accepted the order, grasped his spear, mounted his horse, and galloped to the front of the formation. Yan Liang stood beneath his command banner, sword in hand, astride his horse. When he saw Song Xian approaching, Yan Liang gave a great shout and charged to meet him. Before three exchanges were completed, Yan Liang raised his blade and cut Song Xian down on the spot.
Cao Cao was greatly alarmed. "Truly a brave warrior!" he exclaimed. Wei Xu said, "He has killed my comrade. Let me avenge him!" Cao Cao gave his permission. Wei Xu mounted his horse, grasped his lance, and rode directly to the front, cursing Yan Liang. Without a word, Yan Liang met him. In a single exchange, he struck Wei Xu on the head and split him in two, sending him tumbling from his horse. "Who dares face him now?" Cao Cao asked. Xu Huang answered the call and engaged Yan Liang. After twenty exchanges, Xu Huang was defeated and fled back to his own lines. All the other generals trembled. Cao Cao withdrew his forces, and Yan Liang also led his men away.
Cao Cao was deeply troubled by the loss of two generals. "I know one man who can match Yan Liang," Cheng Yu said. "Who?" Cao Cao asked. "None but Guan Yu," Cheng Yu replied. "I fear that if he renders a great service, he will leave," Cao Cao said. "If Liu Bei is still alive, he will surely have gone to Yuan Shao," Cheng Yu said. "If we send Guan Yu to break Yuan Shao's army, Yuan Shao will suspect Liu Bei and have him killed. With Liu Bei dead, where will Guan Yu go?" Cao Cao was overjoyed and immediately sent a messenger to summon Guan Yu. Guan Yu went to take his leave of the two ladies. "When you go now, brother-in-law," they said, "be sure to seek news of the Imperial Uncle."
Guan Yu agreed and departed. He took up the Green Dragon Crescent Blade, mounted Red Hare, and, with a few attendants, rode directly to White Horse to meet Cao Cao. Cao Cao told him how Yan Liang had killed two of his generals in succession and was an unstoppable force. "Allow me to observe him," Guan Yu said. Cao Cao set out wine to entertain him. Suddenly, a report came that Yan Liang was issuing a challenge. Cao Cao led Guan Yu up the earthen hill to observe. They sat together, with all the generals standing in a ring around them. Cao Cao pointed to Yan Liang's formation below—the banners were bright, the spears and swords stood like a forest, the whole array was imposing and disciplined. "The men of Hebei are truly magnificent!" Cao Cao said. "To me," Guan Yu replied, "they are no more than clay dogs and straw chickens!" Cao Cao pointed again. "Beneath that canopy, in embroidered robe and golden armor, sword in hand, astride his horse—that is Yan Liang." Guan Yu raised his eyes and looked. "To me," he said, "Yan Liang is no more than a man with a price on his own head, offering it for sale!" "Do not underestimate him," Cao Cao warned. Guan Yu stood up. "Though I am unworthy, I am willing to go into the midst of his ten thousand troops and take his head, presenting it to you, Chancellor." "This is no joking matter on the battlefield," Zhang Liao said. "Do not be reckless, Yunchang."
Guan Yu mounted his horse with fierce determination. He held the Green Dragon Crescent Blade reversed in his hand and galloped down the hill. His phoenix eyes blazed wide, his silkworm eyebrows bristled upright. He charged straight into the enemy formation. The Hebei army parted before him like waves breaking. Guan Yu made directly for Yan Liang. Yan Liang was still beneath his command canopy. Seeing Guan Yu charging at him, he was about to call out a challenge when Red Hare—swift as the wind—was already upon him. Before Yan Liang could even react, Guan Yu raised his blade and ran him through, sending him tumbling from his horse. Then, dismounting swiftly, Guan Yu cut off Yan Liang's head, tied it to his horse's neck, leaped back into the saddle, and charged out of the enemy formation, blade in hand, as though he were walking through an empty field. The Hebei soldiers and generals were stunned; without orders, they fell into chaos. Cao Cao's army seized the moment to attack, killing countless men and capturing horses and weapons in great numbers. Guan Yu rode back up the hill, and all the generals came to congratulate him. He presented Yan Liang's head before Cao Cao. "General, you are truly a god among men!" Cao Cao exclaimed. "I am nothing worth mentioning," Guan Yu replied. "But my brother, Zhang Yide, can take the head of an enemy general from amidst a million troops as easily as reaching into his own pocket." Cao Cao was startled. Turning to his attendants, he said, "From now on, if you ever encounter Zhang Yide, do not take him lightly." He then ordered this to be written on the inside of their robes so they would not forget.
The defeated Hebei soldiers fled, meeting Yuan Shao on the road. They reported that a red-faced, long-bearded warrior wielding a great sword had ridden alone into their formation, slain Yan Liang, and ridden out again, causing their great defeat. Yuan Shao was shocked. "Who is this man?" he asked. "It must be Guan Yunchang, Liu Bei's sworn brother," Ju Shou said. Yuan Shao flew into a rage. Pointing at Liu Bei, he shouted, "Your brother has killed my beloved general! You must be in league with him. What use have I for you?" He ordered the executioners to take Liu Bei out and behead him.
And so it was: He who had just been a guest of honor at the table now stood as a prisoner before the executioner's block. Whether Liu Bei would live or die would be revealed in the next chapter.