In the year 198 AD, the turbulent struggle for dominance in central China reached a critical juncture with the collapse of Lü Bu’s short-lived power in Xuzhou (Xu Province). Once a feared warrior who had twice driven Liu Bei from Xuzhou and nearly toppled Cao Cao in Yan Province, Lü Bu now faced the full might of Cao Cao’s army. His downfall was not due to a single mistake, but a cascade of strategic errors, internal betrayals, and the superior statecraft of Cao Cao, aided by brilliant advisors like Guo Jia and Xun You. This campaign, vividly depicted in Luo Guanzhong’s Romance of the Three Kingdoms and corroborated by historical records such as Chen Shou’s Records of the Three Kingdoms (Sanguozhi) and Pei Songzhi’s annotations, marked the end of one of the most volatile warlords of the era and a major consolidation of Cao Cao’s power.
Horse Theft and the Break with Liu Bei
In the spring of 198 AD, Lü Bu sent troops with a large quantity of gold to Henei Commandery to purchase warhorses. As the convoy passed near Xiaopei, it was ambushed and robbed by soldiers under Liu Bei. Enraged, Lü Bu immediately ordered Gao Shun and Zhang Liao to launch a punitive campaign against Liu Bei.
In Romance of the Three Kingdoms, Luo Guanzhong attributes the robbery to Zhang Fei, who, resentful of Lü Bu’s earlier seizure of Xu Province, deliberately orchestrated the attack.
Then two of his officers, Song Xian and Wei Xu, reported, “At your command we went east of the mountains and bought three hundred splendid mounts, but near Xiaopei thieves took half of them. We found out later their chief was Zhang Fei claiming to be an outlaw.” Lü Bu marched at once to Xiaopei. Xuande, bewildered by this turn of events, mustered a force to meet him.
As the opposing lines formed, Xuande rode out. “Elder brother,” he said to Lü Bu, “what is the cause of this?” Lü Bu replied angrily, “My bowshot saved you from grave danger. Why are you stealing my horses?” “We’re short here,” Xuande answered. “I sent all over to buy some. My men would never steal from you.” “Can you deny,” Lu Bu cried, “that Zhang Fei has stolen one hundred and fifty of my best?” “Yes, I stole them! So what?” Zhang Fei cried, dashing out with spear poised. “Round-eyed rogue,” Lü Bu retorted, “this is the final insult!” “You mind my stealing your horses?” Zhang Fei taunted him. “What about your stealing Xuzhou from my brother?”
— Romance of the Three Kingdoms, Chapter 16
However, historical records do not specify Zhang Fei’s involvement—the Sanguozhi simply notes that Liu Bei’s forces seized the gold, provoking Lü Bu’s fury.
The defeat of Liu Bei and the Rekindling of the Yuan Shu Alliance
Gao Shun and Zhang Liao were both elite commanders, and Liu Bei could not withstand their assault. He sent envoys to Cao Cao for aid. Cao Cao dispatched Xiahou Dun, but his forces were defeated by Lü Bu’s army, forcing Xiahou Dun and Liu Bei to retreat and hold Xiaopei under siege.
Lü Bu’s attack on Liu Bei signaled a break with the Xuchang court, which Cao Cao represented. Realizing he could not stand alone against Cao Cao, Lü Bu once again sought alliance with Yuan Shu. The isolated and weakened Yuan Shu, still reeling from defeats by Cao Cao and Lü Bu’s earlier betrayal, eagerly accepted the renewed alliance.
Cao Cao’s Dual Campaign: Zhang Xiu and the March East
Despite Lü Bu’s siege of Xiaopei, Cao Cao chose to launch another campaign against Zhang Xiu in Nanyang—possibly driven by lingering resentment from the disastrous defeat at Wancheng in 197 AD, where his son Cao Ang, nephew Cao Anmin, and general Dian Wei were killed.
In spring 198 AD, Cao Cao led Cao Ren, Yu Jin, Yue Jin, and strategist Xun You on this expedition. This decision highlights Cao Cao’s strategic flexibility—he was willing to engage multiple fronts when he judged the timing favorable.
The Fall of Xiaopei and Cao Cao’s Eastern Campaign
Despite initial resistance, Liu Bei could not withstand the combined assault of Gao Shun and Zhang Liao. By September 198 AD, Xiaopei fell. Liu Bei was separated from his generals and fled alone to Xuchang, while his wives and children were once again captured by Lü Bu.
Following this victory, Lü Bu’s reputation surged. Zang Ba, the powerful warlord of Langya Commandery, allied with him, expanding Lü Bu’s influence. Upon hearing of Xiaopei’s fall, Cao Cao resolved to personally lead a massive eastern campaign. He assembled a large army, including Yu Jin, Yue Jin, Xun You, and Guo Jia, and marched toward Xu Province.
Cao Cao’s forces defeated Lü Bu at Xiaopei, recaptured the city, and advanced to Pengcheng, the western gateway to Xu Province.
The Siege of Xiapi: Strategy, Flood, and Betrayal
Faced with Cao Cao’s advance, Chen Gong, Lü Bu’s chief strategist, advised meeting the enemy in the field, arguing that their troops were well-rested and could achieve victory. Lü Bu, however, preferred to lure Cao Cao into an ambush near the Si River.
Cao Cao, however, moved swiftly. In less than a month, he captured Pengcheng, seized Hou Xie, the administrator appointed by Lü Bu, and pressed on toward Xiapi, Lü Bu’s capital.
Lü Bu led a cavalry charge but was decisively defeated, and his fierce general Cheng Lian was captured. Zang Ba, upon hearing of the defeat, marched from Langya to reinforce Xiapi.
Cao Cao laid siege to Xiapi, while Chen Deng, the Governor of Guangling, rose in support of Cao Cao as previously planned. Lü Bu held Chen Deng’s three younger brothers hostage, demanding Chen Deng withdraw. Chen Deng refused. Zhang Hong, one of Lü Bu’s officers, fearing the city’s inevitable fall, secretly released Chen Deng’s brothers at night to secure his own survival.
Zhang Yang of Henei, a long-time ally of Lü Bu, attempted to raise troops to relieve Xiapi, but his forces were too weak. He could only posture as if to attack Cao Cao, having no real impact on the siege.
Desperation and Failed Escape Attempts
As the siege dragged on, Lü Bu considered surrender, but Chen Gong warned him that Cao Cao would never spare him. Lü Bu then sent Xu Si and Wang Kai to Shouchun to plead for aid from Yuan Shu.
Fearing Yuan Shu might refuse due to the failed marriage alliance, Lü Bu attempted to personally deliver his daughter to Yuan Shu under cover of night. However, Cao Cao’s patrols blocked his escape, forcing him back into the city.
Xu Si and Wang Kai reached Shouchun. Yuan Shu initially rebuked them:
“Lü Bu refused our marriage; he deserves his defeat.”
But the envoys argued:
“We are like lips and teeth—when the lips are gone, the teeth are cold. If Lü Bu falls, you will be next.”
Convinced, Yuan Shu mobilized troops to march north—but his weakened state rendered the effort ineffectual.
Lü Bu considered breaking out with his cavalry to cut Cao Cao’s supply lines. His wife warned:
“Chen Gong and Gao Shun have never gotten along. If you leave, they will not cooperate. If disaster strikes, how can you still rule a region?”
Lü Bu heeded her advice and abandoned the plan.
Chen Gong’s Final Strategy and the Flood of Xiapi
Chen Gong then proposed a classic “twin-camp” strategy:
- Lü Bu would lead troops outside the city,
- While Chen Gong held the city with the remaining forces.
- If Cao Cao attacked Lü Bu, Chen Gong would sally forth to strike from behind. If Cao Cao besieged the city, Lü Bu could counterattack. Within a month, Cao Cao’s supplies would run out, and they could crush him.
This plan, recorded in the historical text Wei Shi Chun Qiu, is the basis for the “horns strategy” mentioned in Romance of the Three Kingdoms.
Chen Gong advised Lü Bu: “Cao Cao has come too far to mount a sustained assault. Station cavalry and soldiers outside, General, while I hole up inside. If he attacks you, I will strike from behind. If he attacks the city, you rescue me from his rear. In ten days their food should be gone, and we can catch them between us.” “Absolutely right!” Lü Bu said and prepared his armor. It was the coldest time of year; Lü Bu warned his men to take plenty of padding.
— Romance of the Three Kingdoms, Chapter 19
Lü Bu agreed and prepared to leave the city. Again, his wife intervened:
“Cao Cao treated Chen Gong like a beloved infant, yet Chen Gong still abandoned him for you. Now, your kindness to Chen Gong does not exceed Cao Cao’s. How can you leave your city, your wife, and your children behind? If anything goes wrong, will I still be your wife?”
And the novel Romance of the Three Kingdoms describes this plot in this way:
Lady Yan, Lü Bu’s principal wife, asked, “Where are you going, my lord?” Lü Bu explained the plan. “You are entrusting the city wholly to Chen Gong,” she said, “abandoning your wife to venture out alone? What if he seizes power? How could I remain true to my marriage vow?” Lü Bu, torn by indecision, remained in the city three days more.
— Romance of the Three Kingdoms, Chapter 19
Lü Bu, swayed by her words, abandoned the plan and chose to defend the city to the end.
The Turning Point: Flood and Morale Collapse
Cao Cao, facing a stalemate after months of siege and weary troops (having campaigned since January), considered withdrawing. But Guo Jia and Xun You urged him to continue:
“Lü Bu, though brave, lacks strategy. After repeated defeats, his spirit is broken. Chen Gong is intelligent, but his strategy is slow to put into action. Now is the moment—attack swiftly before they recover, and victory is ours.”
They also proposed flooding Xiapi by diverting the Si and Yi Rivers. Cao Cao approved, and workers dug the dikes day and night. Soon, floodwaters poured into Xiapi, devastating the city and crushing the defenders’ morale.
The Betrayal: Hou Cheng, Song Xian, and Wei Xu
Before the siege, Hou Cheng, one of Lü Bu’s officers, had recovered 15 horses stolen by his subordinates. Overjoyed, fellow officers brought gifts to celebrate, and Hou Cheng prepared wine and pork to host a feast. He first offered half a pig and five dou of wine to Lü Bu as a sign of respect.
But Lü Bu, who had banned alcohol, flew into a rage:
“You dare brew wine in secret? Are you all drinking together and plotting to kill me?”
Hou Cheng, terrified, dumped the wine and returned the gifts. From then on, he harbored deep resentment.
Now, with the city flooded and defeat imminent, Hou Cheng joined forces with Song Xian and Wei Xu, captured Chen Gong and Gao Shun, and surrendered to Cao Cao. The loss of his two most capable commanders—Chen Gong (the strategist) and Gao Shun (the general)—shattered Lü Bu’s will to fight.
The Surrender and Execution of Lü Bu
On the White Gate Tower, Lü Bu, seeing all hope lost, told his men to cut off his head and present it to Cao Cao. None could bring themselves to do it.
In December 198 AD, Lü Bu surrendered in person. Cao Cao had him bound tightly. Lü Bu pleaded:
“The ropes are too tight! Loosen them a little.”
Cao Cao replied:
“You bind a tiger, you cannot be too tight.”
Lü Bu then offered:
“You only feared me. Now I surrender. Let you command the infantry, and I the cavalry—then the empire can be pacified.”
Cao Cao hesitated—Lü Bu was indeed a peerless warrior. But Liu Bei, seated beside him, reminded him:
“Have you not seen how Lü Bu treated Ding Yuan and Dong Zhuo?”
Cao Cao nodded. Lü Bu was executed immediately.
The Aftermath: The Fall of a Warlord
After executing Lü Bu, Cao Cao turned to Chen Gong, who chose death over surrender and was also executed. Gao Shun, the third-ranking figure in Lü Bu’s regime, was executed as well.
Cao Cao then absorbed Lü Bu’s territories. He showed remarkable leniency toward former enemies, recruiting or accepting the surrender of:
- Chen Qun and Chen Ji (father and son),
- Chen Huan (former officer of Yuan Shu),
- Zhang Liao, Zang Ba, Wu Dun, Yin Li, Sun Guan, and Sun Kang.
With Zang Ba’s surrender, the Lü Bu coalition was fully dismantled. The warlord who had once nearly destroyed Cao Cao and twice routed Liu Bei was now reduced to dust.
By the end of 198 AD, all five commanderies of Xu Province were under Cao Cao’s control. His power now spanned five provinces, and he held absolute authority over Yan, Yu, and Xu Provinces—a crucial step toward his dominance of central China.
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