In the novel “Romance of the Three Kingdoms,” Guan Yu is one of the most renowned military generals. It can be argued that Guan Yu essentially stands as the top general throughout half of the epic, as other elite warriors exited the historical stage early. For instance, Sun Jian died from an arrow wound at Mount Xian, Lü Bu was captured at Baimen Tower and executed, and Dian Wei fell in battle at the Yu River during Zhang Xiu’s surprise attack on Cao Cao.
Guan Yu’s Prominence
Guan Yu was skilled in both literary and military arts, and he also possessed the ability to govern regions effectively. Liu Bei held him in high esteem, while Cao Cao, known for his appreciation of talent, also developed a deep fondness for Guan Yu. Thus, after defeating Liu Bei in Xuzhou and capturing Guan Yu, Cao Cao went to great lengths to win him over.
Cao Cao’s efforts to win over Guan Yu
Let’s examine how Cao Cao tried to lure Guan Yu to his side.
First, he directly promoted Guan Yu to the title of Marquis of Hanshou Ting. This enfeoffment was comparable to being a central committee member in modern terms. Administratively, Guan Yu served as the commander of an independent cavalry regiment, akin to the head of an armed forces department in a capital district. A lavish mansion, known as the Ting Hou residence, was built for him in Xuchang City.
Second, Cao Cao specifically gifted Guan Yu with Lu Bu’s legendary steed, the Red Hare horse.
Third, Cao Cao instructed the relevant departments to handle Guan Yu’s salary in an unconventional manner. In Chinese history, Guan Yu’s compensation is perhaps the most peculiar—instead of regular payments, he received “a gold ingot upon mounting his horse and a silver ingot upon dismounting.” This meant he was paid based on attendance, making him the only figure in Chinese history to be compensated according to the number of times he clocked in.
Fourth, each morning when Guan Yu arrived for work, Cao Cao would descend the steps to embrace him and offer a hand in support.
Many saw Chancellor Cao as an exemplary leader who genuinely valued talent, and even Cao Cao himself was moved by his own actions. He believed, “I have given you everything that Liu Bei could offer, and even things Liu Bei couldn’t. Surely, you will be loyal to me.”
Guan Yu’s defection to Liu Bei
However, to everyone’s surprise, when Guan Yu later received news of Liu Bei’s whereabouts, he embarked on a legendary journey—passing through five passes and slaying six generals—which wreaked havoc in Cao Cao’s northern territories before ultimately rejoining Liu Bei. Cao Cao was left baffled, unable to comprehend the special bond between Liu Bei and Guan Yu. He wondered why Guan Yu refused to stay with him and insisted on returning to Liu Bei. In reality, Cao Cao made a critical error by conflating loyalty with mere satisfaction.
The crucial letter from Liu Bei
In Chapter 26 of Romance of the Three Kingdoms, the letter Liu Bei sent to Guan Yu played a pivotal role. It was this very letter that directly prompted Guan Yu to leave Cao Cao.
The letter read:
“You and I, since swearing brotherhood in the Peach Garden, pledged to live and die together. Why now break our oath midway, severing grace and cutting righteousness? If you seek rank, fame, wealth, and honor, I offer my head to help you achieve your merit. Words cannot fully express my heart—I await your reply, even if it means my death.”
The letter’s strategic implications
Through this letter, Liu Bei accomplished several critical objectives:
Revealing his precarious situation:
At the time, Liu Bei was under Yuan Shao’s protection, living in dangerous circumstances. After Guan Yu slew Yan Liang and Wen Chou while serving under Cao Cao, Yuan Shao grew furious, repeatedly placing Liu Bei’s life in danger. By writing this letter, Liu Bei informed Guan Yu of his whereabouts and perilous situation, urging him to take action.
Testing Guan Yu’s Loyalty:
Although Liu Bei deeply trusted Guan Yu’s righteousness, the prolonged separation and Guan Yu’s favored status under Cao Cao left room for doubt. The lines, “Why now break our oath midway… I offer my head to help you achieve your merit,” appeared to reproach Guan Yu, but in truth, they served to probe whether he still honored their brotherhood and remained loyal.
Charting a Path for Reunion:
On the surface, the letter aimed to justify Liu Bei’s actions, but its deeper purpose was to guide Guan Yu back. It conveyed the message: “Your elder brother is still here—return swiftly.” Liu Bei hoped Guan Yu would reunite with him promptly to continue their shared cause.
The core difference: Material vs. Spiritual Needs
In contrast, Liu Bei never focused on lower-level needs with Guan Yu, such as houses, cars, money, positions, or indulgent pleasures like drinking and eating meat. Liu Bei never discussed such worldly interests with Zhuge Liang, Guan Yu, or others. Instead, he emphasized higher-level needs: the oath of brotherhood, dedicating themselves to the nation above, and bringing peace to the people below. They vowed not to seek birth on the same year, month, or day, but to die together on the same year, month, and day.
Serving the country represented an ideal, bringing peace to the people was a cause, and sharing life and death embodied emotion and future prospects—all higher-level needs were fully addressed.
Unlike Cao Cao, Liu Bei prioritized these higher-level demands, not just material ones. As a leader, relying solely on material incentives makes it difficult to foster genuine loyalty within a team. When faced with superior material benefits, members are likely to defect. Instead, we must emphasize ideals, causes, emotions, and futures, igniting self-actualization—this is the essence of effective leadership.
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