As Cao Ren seethed with rage over the loss of his generals, he mustered every soldier under his command and marched day and night across the Yellow River, determined to level the city of Xinye.
Meanwhile, Shan Fu had returned victorious to the county seat. He addressed Liu Bei: "Cao Ren has garrisoned his forces at Fancheng. Now that he knows both of his generals have been slain, he will surely lead a massive army against us." Liu Bei asked, "How should we meet this threat?" Shan Fu replied, "If he brings his entire force to bear, Fancheng will be left vulnerable. We can seize the opportunity to take it." When Liu Bei inquired about the plan, Shan Fu leaned close and whispered his scheme. Liu Bei was overjoyed and began making preparations. Soon, a scout reported, "Cao Ren has crossed the river with a great army." Shan Fu said, "Just as I expected." He then urged Liu Bei to lead his forces out to meet the enemy. The two armies drew up in battle formation. Zhao Yun rode out and challenged the enemy commander to parley. Cao Ren ordered Li Dian to take the field. Zhao Yun and Li Dian crossed swords for about a dozen bouts, but Li Dian knew he was no match for his opponent and wheeled his horse back toward his own lines. Zhao Yun gave chase, but archers on both flanks loosed a volley to cover the retreat, and both sides withdrew to their camps. Li Dian reported to Cao Ren: "Their troops are elite and should not be taken lightly. It would be wiser to return to Fancheng." Cao Ren flew into a rage: "Before the battle even began, you sowed doubt among our men, and now you have sold the field! This crime deserves death!" He ordered the executioners to drag Li Dian away for beheading, but the other officers pleaded so earnestly that he was spared. Cao Ren then relegated Li Dian to command the rear guard, while he himself led the vanguard.
The next day, Cao Ren sounded the drums and advanced, deploying his troops in a specific battle formation. He sent a messenger to ask Liu Bei, "Do you recognize this formation?" Shan Fu climbed to a high vantage point and studied it. He said to Liu Bei, "This is the Eight-Door Golden Lock Formation. The eight gates are: Rest, Life, Wound, Block, Scenery, Death, Shock, and Open. Entering through the Life, Scenery, or Open gates brings fortune; entering through the Wound, Shock, or Rest gates brings injury; entering through the Block or Death gates brings annihilation. Though the eight gates are arranged with precision, the center lacks a commander to direct them. If we strike from the southeast corner through the Life gate and exit through the western Scenery gate, the formation will fall into chaos." Liu Bei relayed the orders, instructing his soldiers to hold the formation's corners. He commanded Zhao Yun to take five hundred men, enter from the southeast, and cut straight through to the west. Zhao Yun, spear in hand, spurred his horse and led his troops directly toward the southeast corner. With a thunderous war cry, they smashed into the enemy's center. Cao Ren fled north, but Zhao Yun did not pursue. Instead, he burst out through the western gate, then circled back to attack the southeast corner again. Cao Ren's army was thrown into complete disarray. Liu Bei waved his forces forward for a general assault, and Cao Ren's troops were routed. Shan Fu ordered the pursuit to halt and withdrew his own men.
After this defeat, Cao Ren finally believed Li Dian's warnings. He summoned Li Dian for counsel, saying, "There must be a man of great ability in Liu Bei's camp to have broken my formation." Li Dian replied, "Though I am here, I am deeply worried about Fancheng." Cao Ren said, "Tonight, we will raid their camp. If we win, we can plan further; if we lose, we will retreat to Fancheng." Li Dian objected, "That is unwise. Liu Bei will surely be prepared." Cao Ren retorted, "With such hesitation, how can we wage war?" He ignored Li Dian's advice, leading the vanguard himself and ordering Li Dian to follow with the rear guard. They set out to raid the camp at the second watch of the night.
Meanwhile, Shan Fu was discussing strategy with Liu Bei in their camp when a sudden, sharp wind arose. Shan Fu said, "Cao Ren will certainly attack our camp tonight." Liu Bei asked, "How shall we counter him?" Shan Fu smiled. "I have already made all the calculations." He then issued secret orders to his officers. At the second watch, as Cao Ren's troops approached the camp, they saw flames erupting all around, consuming the stockade's outer walls. Realizing they had walked into a trap, Cao Ren urgently ordered a retreat. Zhao Yun's men fell upon them from the rear. Cao Ren could not even regroup his forces at the camp; he fled toward the northern river. As he reached the riverbank, searching for boats to cross, a fresh detachment of soldiers appeared on the shore, led by Zhang Fei. Cao Ren fought desperately. Li Dian shielded him as they scrambled onto a boat and crossed the river. Many of Cao Ren's men drowned in the water. After reaching the far shore, Cao Ren rushed to Fancheng and called for the gates to be opened. But a drumroll sounded from the walls, and a general led out his troops, shouting, "I have taken Fancheng long ago!" The startled soldiers looked up to see Guan Yu. Cao Ren was horrified. He wheeled his horse and fled. Guan Yu gave chase, and Cao Ren lost many more men before fleeing through the night to Xuchang. Along the way, he learned that a strategist named Shan Fu was behind all the schemes.
Leaving Cao Ren's defeat aside, Liu Bei celebrated a great victory. He led his forces into Fancheng, where the county magistrate, Liu Mi, came out to welcome him. After settling the people, Liu Bei was invited to Liu Mi's home for a banquet. Liu Mi was from Changsha and a member of the Han imperial clan. During the feast, Liu Bei noticed a young man standing in attendance, whose bearing was noble and impressive. He asked Liu Mi, "Who is this?" Liu Mi replied, "This is my nephew, Kou Feng, son of the Marquis of Luohou, Lord Kou. His parents both died, so he relies on me." Liu Bei took a liking to him and expressed a desire to adopt him as a son. Liu Mi gladly agreed. Kou Feng then bowed to Liu Bei as his father, and was renamed Liu Feng. Liu Bei brought him back to meet Guan Yu and Zhang Fei, instructing him to address them as uncles. Guan Yu said, "Brother, since you already have a son, why adopt another? It will surely breed trouble later." Liu Bei replied, "If I treat him as my own son, he will serve me as his father. What trouble can arise?" Guan Yu was displeased. Liu Bei then consulted with Shan Fu and ordered Zhao Yun to take a thousand men and hold Fancheng. Liu Bei led the rest of his troops back to Xinye.
When Cao Ren and Li Dian returned to Xuchang, they knelt before Cao Cao, weeping and confessing their losses. Cao Cao said, "Victory and defeat are common in warfare. But who is it that schemes for Liu Bei?" Cao Ren replied that it was Shan Fu. Cao Cao asked, "Who is this Shan Fu?" Cheng Yu laughed. "That is not his real name. This man studied swordsmanship in his youth. In the final years of the Zhongping era, he killed someone to avenge a friend. He fled with his hair disheveled and his face painted, but was captured by officials. When he refused to give his name, they tied him to a cart and paraded him through the market, beating drums, hoping someone would recognize him. Though some knew him, none dared speak, but his companions secretly freed him. He then changed his name and fled, humbling himself to study, seeking out famous teachers, and once debated with Sima Hui. This man is Xu Shu (Xu Shu (徐庶, a brilliant strategist who briefly served Liu Bei, famous for recommending Zhuge Liang before being forced to serve Cao Cao)) of Yingchuan, styled Yuanzhi. 'Shan Fu' is an alias." Cao Cao asked, "How does Xu Shu's talent compare to yours?" Cheng Yu replied, "He is ten times my better." Cao Cao lamented, "What a pity that such a worthy man has gone to Liu Bei! His wings have grown. What can be done?" Cheng Yu said, "Though Xu Shu is with Liu Bei, if the Chancellor wishes to summon him, it will not be difficult." Cao Cao asked, "How can we make him come to us?" Cheng Yu replied, "Xu Shu is a man of utmost filial piety. His father died when he was young, and only his aged mother remains. His younger brother, Xu Kang, has already died, leaving his mother with no one to care for her. If the Chancellor sends someone to bring Xu Shu's mother to Xuchang and has her write a letter summoning her son, Xu Shu will surely come."
Cao Cao was delighted and immediately sent men to fetch Xu Shu's mother. Within days, she arrived, and Cao Cao treated her with great courtesy. He said to her, "I have heard that your son, Xu Yuanzhi, is a genius of the age. Now he is in Xinye, aiding the rebel Liu Bei against the court. It is like a beautiful gem cast into the mud—truly a waste. I request that you write a letter to summon him back to Xuchang. I will recommend him before the Emperor, and he will receive great rewards." He ordered his attendants to bring out the writing materials and pressed Xu Shu's mother to write. She asked, "What kind of man is Liu Bei?" Cao Cao replied, "A petty man from Pei Commandery, who falsely claims to be the Imperial Uncle. He is utterly without faith or honor—outwardly a gentleman, inwardly a petty man." Xu Shu's mother cried out in a stern voice, "How can you be so deceitful! I have long heard that Liu Xuande is a descendant of Prince Jing of Zhongshan, the great-grandson of Emperor Jing of the Han. He humbles himself before worthy men, treats others with respect, and his name for benevolence is renowned throughout the land. Children, old men, herd boys, and woodcutters all know his name. He is a true hero of our age. My son serves him, and has found a worthy master. You, though you call yourself the Chancellor of Han, are in truth a traitor to Han. And yet you call Liu Bei a rebel, and wish to make my son turn from the light to the darkness? Have you no shame?" With these words, she picked up a stone inkstone and hurled it at Cao Cao. Cao Cao flew into a rage and ordered the guards to drag her out and behead her. Cheng Yu quickly stopped them. He advised Cao Cao, "The old woman offended you to seek death. If the Chancellor kills her, you will gain a reputation for cruelty, and she will be celebrated for her virtue. Once she dies, Xu Shu will serve Liu Bei with all his heart to avenge her. It is better to keep her alive. Then Xu Shu's heart will be torn between his mother and his master. Even if he aids Liu Bei, he will not do so with full effort. And if we keep his mother here, I have a plan to lure Xu Shu to us, where he will serve the Chancellor." Cao Cao agreed and spared Xu Shu's mother, sending her to a separate chamber to be cared for.
Cheng Yu visited her daily, claiming that he had once sworn brotherhood with Xu Shu, and treated her as his own mother. He frequently sent her gifts, always accompanied by a personal note. Xu Shu's mother would reply in kind. Having obtained samples of her handwriting, Cheng Yu forged a letter in her style. He sent a trusted agent to Xinye with the forged letter, seeking out the camp of "Shan Fu." The guards brought the man to Xu Shu. Xu Shu, learning that his mother had sent a letter, hastily summoned the messenger. The man said, "I am a humble runner from the post station. I bear a letter from your honored mother." Xu Shu tore open the seal and read: "Recently, your brother Xu Kang died, and I am left with no one to turn to. In my grief, I was unexpectedly tricked by Cao Cao's men and brought to Xuchang. They accused you of rebellion and cast me into prison. I was saved only by Cheng Yu's intercession. If you surrender to Cao Cao, I will be spared death. When this letter reaches you, remember the toil of your mother's care, and come with all speed to fulfill your filial duty. Then we can slowly plan to return to our old home and avoid great disaster. My life hangs by a thread. I await your rescue! I can say no more." Xu Shu finished reading, and tears flowed like a spring. Clutching the letter, he went to see Liu Bei. "I am originally Xu Shu of Yingchuan, styled Yuanzhi. I changed my name to Shan Fu to escape persecution.
I once went to see Liu Jing-sheng, who claimed to welcome worthy men, but when I discussed affairs with him, I found him useless, so I took my leave. That night, I went to Sima Hui's cottage and told him my story. He chided me for not recognizing a true master and told me that Governor Liu was here—why not serve him? I then sang madly in the market to draw your attention. I was fortunate that you did not reject me and gave me such an important role. But now my mother has been lured to Xuchang by Cao Cao's treacherous scheme and is imprisoned, facing death. Her own hand has summoned me, and I cannot refuse to go. It is not that I do not wish to serve you with all my strength to repay your kindness, but my aged mother is captive, and I cannot give my full effort. I must take my leave now, hoping for a future reunion." Liu Bei wept bitterly. "The bond between mother and son is Heaven's own nature. Yuanzhi, do not worry about me. After you have seen your mother, perhaps we may meet again and receive your counsel." Xu Shu bowed in thanks and prepared to leave. Liu Bei said, "Please stay one more night. Tomorrow I will see you off." Sun Qian secretly advised Liu Bei, "Yuanzhi is a genius of the age. He has been in Xinye for a long time and knows all the secrets of our army. If he goes to Cao Cao, he will surely be given an important post, and we will be in great danger. My lord, you should insist that he stay and not let him go. If Cao Cao sees that Yuanzhi does not come, he will surely kill his mother.
When Yuanzhi learns of her death, he will seek revenge and attack Cao Cao with all his might." Liu Bei replied, "No. To have another man kill his mother, and then use the son—that is not benevolent. To keep him here and prevent him from fulfilling his filial duty—that is not righteous. I would rather die than commit such unkind and unjust acts." All who heard this were deeply moved.
Liu Bei invited Xu Shu to drink, but Xu Shu said, "Now that I know my mother is imprisoned, even the finest golden nectar and jade dew cannot pass my lips." Liu Bei replied, "When I heard you were leaving, it felt as though I had lost my own hands. Even dragon's liver and phoenix marrow would have no taste for me." The two men wept facing each other, and sat together until dawn. The officers had already prepared a farewell feast outside the city walls.
Liu Bei and Xu Shu rode out of the city side by side. When they reached the Pavilion of Parting, they dismounted to say their farewells. Liu Bei raised his cup and said to Xu Shu, "My fortune is shallow and my fate thin, and I cannot keep you by my side. I hope you will serve your new master well and achieve great fame." Xu Shu wept. "My talent is shallow and my wisdom small. I am deeply grateful for your generous trust. That I must part with you halfway is solely because of my mother. Even if Cao Cao forces me, I will never devise a single strategy for him." Liu Bei said, "Since you are leaving, I too will retreat into the deep mountains and forests." Xu Shu replied, "The only reason I could join you in your quest for the kingly enterprise was this heart of mine. But now, because of my mother, my heart is in turmoil. Even if I stayed, it would be of no use. You should seek another great sage to help you achieve your great ambition. Why be so disheartened?" Liu Bei said, "There is no sage in the realm who surpasses you." Xu Shu replied, "I am but a worthless piece of wood. How dare I accept such praise?" As they parted, he turned to the other officers and said, "I hope you will all serve our lord well, so that your names may be recorded on bamboo and silk, and your deeds inscribed in history. Do not follow my example of failing to see things through to the end." All the officers were deeply saddened. Liu Bei could not bear to part with him. He escorted him a mile, then another mile. Xu Shu declined, saying, "Do not trouble yourself to see me further, my lord. I will take my leave here." Liu Bei grasped Xu Shu's hand from his horse and said, "After you leave, we will be separated by the ends of the earth. When will we ever meet again?" He wept as he spoke, and Xu Shu also wept as they parted. Liu Bei stood his horse at the edge of a grove, watching Xu Shu and his attendants ride away in haste. He cried out, "Yuanzhi is gone! What am I to do?" He strained his eyes, still weeping, but a grove of trees blocked his view. Liu Bei pointed his whip at the trees and said, "I want to cut down every last one of these trees!" When his men asked why, he replied, "Because they block my view of Xu Yuanzhi!"
As he gazed into the distance, he saw Xu Shu suddenly rein in his horse and turn back. Liu Bei exclaimed, "Yuanzhi is returning! Perhaps he has changed his mind?" Joyfully, he spurred his horse forward and called out, "Your return, sir, must mean you have a plan." Xu Shu reined in his horse and said to Liu Bei, "My thoughts were so tangled that I forgot to mention one thing. There is a remarkable man here, just twenty li outside Xiangyang, at a place called Longzhong. Why do you not seek him out?" Liu Bei asked, "Would you trouble yourself to invite him here for me?" Xu Shu replied, "This is not a man who can be summoned by a messenger. You must go to him yourself. If you can win him over, it would be as if the Zhou dynasty had gained Lü Wang, or the Han had gained Zhang Liang." Liu Bei asked, "How does his talent compare to yours?" Xu Shu replied, "Compared to him, I am but a worn-out nag next to a unicorn, a common crow beside a phoenix. He often compares himself to Guan Zhong and Yue Yi. But in my view, even those two great men fall short of him. He possesses the talent to order the heavens and the earth—a man for all the realm!" Liu Bei was overjoyed. "Please, tell me his name." Xu Shu said, "He is from Yangdu in Langye Commandery. His surname is Zhuge, his given name Liang, and his style name Kongming. He is a descendant of Zhuge Feng, the Colonel-Director of Retainers of the Han. His father, Zhuge Gui, styled Zigong, was a Deputy Governor of Taishan Commandery and died young. Kongming followed his uncle, Zhuge Xuan.
Zhuge Xuan was an old friend of Liu Jing-sheng of Jing Province, so he went to him and made his home in Xiangyang. After Zhuge Xuan died, Kongming and his younger brother, Zhuge Jun, took up farming in Nanyang. He often recites the 'Liangfu Song.' The place where he lives has a ridge called the Crouching Dragon Ridge, so he calls himself the Master of the Crouching Dragon. He is a peerless genius of the age. You should humble yourself and go to see him at once. If such a man is willing to assist you, why worry about the realm not being pacified?" Liu Bei exclaimed, "Sima Hui once told me, 'If you can obtain either the Crouching Dragon or the Young Phoenix, you can secure the realm.' Are you speaking of these two?" Xu Shu replied, "The Young Phoenix is Pang Tong of Xiangyang. The Crouching Dragon is none other than Zhuge Kongming." Liu Bei leaped with excitement. "Now I understand the words 'Crouching Dragon' and 'Young Phoenix.' To think that such a great sage was so close at hand! If you had not told me, I would have been blind!" A poet of later times praised Xu Shu for recommending Zhuge Liang as he rode away.
History records a verse: "He bitterly lamented that he would never meet such a worthy again. At the crossroads, they wept, their feelings deep. A single word from him was like the thunder of spring, waking the Crouching Dragon from his slumber in Nanyang."
Having recommended Kongming, Xu Shu bid Liu Bei farewell once more and rode away. Liu Bei, hearing Xu Shu's words, now understood Sima Hui's prophecy. It was as if he had awakened from a drunken stupor, or emerged from a dream. He led his officers back to Xinye, prepared generous gifts, and set out with Guan Yu and Zhang Fei for Nanyang to call upon Kongming.
As for Xu Shu, after parting from Liu Bei, he was moved by his lord's attachment. Fearing that Kongming might refuse to come out and serve, he rode straight to the foot of Crouching Dragon Ridge and entered the thatched cottage to see Kongming. Kongming asked his purpose. Xu Shu said, "I originally wished to serve Governor Liu, but my mother has been imprisoned by Cao Cao, who has summoned me with a letter. I have no choice but to leave. Before I departed, I recommended you to Liu Xuande. He will come to pay his respects very soon. I hope you will not refuse him, but will deploy your great talents to aid him. That would be a blessing indeed." Kongming's face darkened. "Do you take me for a sacrificial offering?" He shook his sleeves and withdrew into his hut. Xu Shu left, ashamed, mounted his horse, and hurried on his way to Xuchang to see his mother.
Truly, a single word of recommendation for a friend, born of love for his lord, and a journey of a thousand li, driven by longing for his mother. What happened next will be told in the following chapter.