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Problems

Level 3 Instruction Set Architecture

3. Information Representation
3.1 Unsigned Binary Representation
Binary Storage
Integers
Base Conversions
Range for Unsigned Integers
Unsigned Addition
The Carry Bit
3.2 Two’s Complement Binary Representation
Two’s Complement Range
Base Conversions
The Number Line
The Overflow Bit
The Negative and Zero Bits
3.3 Operations in Binary
Logical Operators
Register Transfer Language
Arithmetic Operators
Rotate Operators
3.4 Hexadecimal and Character Representations
Hexadecimal
Base Conversions
ASCII Characters
Unicode Characters
3.5 Floating-Point Representation
Binary Fractions
Excess Representations
The Hidden Bit
Special Values
The IEEE 754 Floating-Point Standard

8
3.6 Models
Chapter Summary
Exercises
Problems

4. Computer Architecture
4.1 Hardware
Central Processing Unit (CPU)
Main Memory
Input/Output Devices
Data and Control
Instruction Format
4.2 Direct Addressing
The Stop Instruction
The Load Word Instruction
The Store Word Instruction
The Add Instruction
The Subtract Instruction
The And and Or Instructions
The Invert and Negate Instructions
The Load Byte and Store Byte Instructions
The Input and Output Devices
Big Endian Versus Little Endian
4.3 von Neumann Machines
The von Neumann Execution Cycle
A Character Output Program
von Neumann Bugs
A Character Input Program
Converting Decimal to ASCII
A Self-Modifying Program
4.4 Programming at Level ISA3
Read-Only Memory
The Pep/9 Operating System
Using the Pep/9 System
Chapter Summary

9
Exercises
Problems

Level 5 Assembly

5. Assembly Language
5.1 Assemblers
Instruction Mnemonics
Pseudo-Operations
The .ASCII and .END Pseudo-ops
Assemblers
The .BLOCK Pseudo-op
The .WORD and .BYTE Pseudo-ops
Using the Pep/9 Assembler
Cross Assemblers
5.2 Immediate Addressing and the Trap Instructions
Immediate Addressing
The DECI, DECO, and BR Instructions
The STRO Instruction
Interpreting Bit Patterns: The HEXO Instruction
Disassemblers
5.3 Symbols
A Program with Symbols
A von Neumann Illustration
5.4 Translating from Level HOL6
The Printf() Function
Variables and Types
Global Variables and Assignment Statements
Type Compatibility
Pep/9 Symbol Tracer
The Shift and Rotate Instructions
Constants and .EQUATE
Placement of Instructions and Data
Chapter Summary

10
Exercises
Problems

6. Compiling to the Assembly Level

6.1 Stack Addressing and Local Variables
Stack-Relative Addressing
Accessing the Run-Time Stack
Local Variables
6.2 Branching Instructions and Flow of Control
Translating the If Statement
Optimizing Compilers
Translating the If/Else Statement
Translating the While Loop
Translating the Do Loop
Translating the For Loop
Spaghetti Code
Flow of Control in Early Languages
The Structured Programming Theorem
The Goto Controversy
6.3 Function Calls and Parameters
Translating a Function Call
Translating Call-by-Value Parameters with Global Variables
Translating Call-by-Value Parameters with Local Variables
Translating Non-void Function Calls
Translating Call-by-Reference Parameters with Global Variables
Translating Call-by-Reference Parameters with Local Variables
Translating Boolean Types
6.4 Indexed Addressing and Arrays
Translating Global Arrays
Translating Local Arrays
Translating Arrays Passed as Parameters
Translating the Switch Statement
6.5 Dynamic Memory Allocation
Translating Global Pointers
Translating Local Pointers

11
 Translating Structures
Translating Linked Data Structures
Chapter Summary
Exercises
Problems

7. Language Translation Principles

7.1 Languages, Grammars, and Parsing
Concatenation
Languages
Grammars
A Grammar for C Identifiers
A Grammar for Signed Integers
A Context-Sensitive Grammar
The Parsing Problem
A Grammar for Expressions
A C Subset Grammar
Context Sensitivity of C
7.2 Finite-State Machines
An FSM to Parse an Identifier
Simplified FSMs
Nondeterministic FSMs
Machines with Empty Transitions
Multiple Token Recognizers
Grammars Versus FSMs
7.3 Implementing Finite-State Machines
The Compilation Process
A Table-Lookup Parser
A Direct-Code Parser
An Input Buffer Class
A Multiple-Token Parser
7.4 Code Generation
A Language Translator
Parser Characteristics
Chapter Summary

12
Exercises
Problems

Level 4 Operating System

8. Process Management
8.1 Loaders
The Pep/9 Operating System
The Pep/9 Loader
Program Termination
8.2 Traps
The Trap Mechanism
The RETTR Instruction
The Trap Handlers
Trap Addressing Mode Assertion
Trap Operand Address Computation
The No-Operation Trap Handlers
The DECI Trap Handler
The DECO Trap Handler
The HEXO and STRO Trap Handlers and Operating System
Vectors
8.3 Concurrent Processes
Asynchronous Interrupts
Processes in the Operating System
Multiprocessing
A Concurrent Processing Program
Critical Sections
A First Attempt at Mutual Exclusion
A Second Attempt at Mutual Exclusions
Peterson’s Algorithm for Mutual Exclusion
Semaphores
Critical Sections with Semaphores
8.4 Deadlocks
Resource Allocation Graphs

13
 Deadlock Policy
Chapter Summary
Exercises
Problems

9. Storage Management
9.1 Memory Allocation
Uniprogramming
Fixed-Partition Multiprogramming
Logical Addresses
Variable-Partition Multiprogramming
Paging
9.2 Virtual Memory
Large Program Behavior
Virtual Memory
Demand Paging
Page Replacement
Page-Replacement Algorithms
9.3 File Management
Disk Drives
File Abstraction
Allocation Techniques
9.4 Error-Detecting and Error-Correcting Codes
Error-Detecting Codes
Code Requirements
Single-Error-Correcting Codes
9.5 RAID Storage Systems
RAID Level 0: Nonredundant Striped
RAID Level 1: Mirrored
RAID Levels 01 and 10: Striped and Mirrored
RAID Level 2: Memory-Style ECC
RAID Level 3: Bit-Interleaved Parity
RAID Level 4: Block-Interleaved Parity
RAID Level 5: Block-Interleaved Distributed Parity
Chapter Summary

14
Exercises

Level 1 Logic Gate

10. Combinational Circuits

10.1 Boolean Algebra and Logic Gates
Combinational Circuits
Truth Tables
Boolean Algebra
Boolean Algebra Theorems
Proving Complements
Logic Diagrams
Alternate Representations
10.2 Combinational Analysis
Boolean Expressions and Logic Diagrams
Truth Tables and Boolean Expressions
Two-Level Circuits
The Ubiquitous NAND
10.3 Combinational Design
Canonical Expressions
Three-Variable Karnaugh Maps
Four-Variable Karnaugh Maps
Dual Karnaugh Maps
Don’t-Care Conditions
10.4 Combinational Devices
Viewpoints
Multiplexer
Binary Decoder
Demultiplexer
Adder
Adder/Subtracter
Arithmetic Logic Unit
Abstraction at Level LG1
Chapter Summary

15
Exercises

11. Sequential Circuits

11.1 Latches and Clocked Flip-Flops
The SR Latch
The Clocked SR Flip-Flop
The Master–Slave SR Flip-Flop
The Basic Flip-Flops
The JK Flip-Flop
The D Flip-Flop
The T Flip-Flop
Excitation Tables
11.2 Sequential Analysis and Design
A Sequential Analysis Problem
Preset and Clear
Sequential Design
A Sequential Design Problem
11.3 Computer Subsystems
Registers
Buses
Memory Subsystems
Address Decoding
A Two-Port Register Bank
Chapter Summary
Exercises

Level 2 Microcode

12. Computer Organization

12.1 Constructing a Level-ISA3 Machine
The CPU Data Section
The von Neumann Cycle
The Store Byte Direct Instruction
Bus Protocols

16
 The Store Word Direct Instruction
The Add Immediate Instruction
The Load Word Indirect Instruction
The Arithmetic Shift Right Instruction
The CPU Control Section
12.2 Performance
The Data Bus Width and Memory Alignment
Memory Alignment
The Definition of an n-Bit Computer
Cache Memories
The System Performance Equation
RISC Versus CISC
12.3 The MIPS Machine
The Register Set
The Addressing Modes
The Instruction Set
MIPS Computer Organization
Pipelining
12.4 Conclusion
Simplifications in the Model
The Big Picture
Chapter Summary
Exercises
Problems

Appendix
Solutions to Selected Exercises
Index

17
Preface
The fifth edition of Computer Systems offers a clear, detailed, step-by-step
exposition of the central ideas in computer organization, assembly
language, and computer architecture. The book is based in large part on a
virtual computer, Pep/9, which is designed to teach the basic concepts of
the classic von Neumann machine. The strength of this approach is that the
central concepts of computer science are taught without getting entangled
in the many irrelevant details that often accompany such courses. This
approach also provides a foundation that encourages students to think
about the underlying themes of computer science. Breadth is achieved by
emphasizing computer science topics that are related to, but not usually
included in, the treatment of hardware and its associated software.

Summary of Contents
Computers operate at several levels of abstraction; programming at a high
level of abstraction is only part of the story. This book presents a unified
concept of computer systems based on the level structure of FIGURE
P.1 .
The book is divided into seven parts, corresponding to the seven levels
of Figure P.1:

Level App7 Applications

Level HOL6 High-order languages
Level ISA3 Instruction set architecture
Level Asmb5 Assembly
Level OS4 Operating system
Level LG1 Logic gate
Level Mc2 Microcode

18
The text generally presents the levels top-down, from the highest to the
lowest. Level ISA3 is discussed before Level Asmb5, and Level LG1 is
discussed before Level Mc2 for pedagogical reasons. In these two
instances, it is more natural to revert temporarily to a bottom-up approach
so that the building blocks of the lower level will be in hand for
construction of the higher level.

Level App7
Level App7 is a single chapter on application programs. It presents the
idea of levels of abstraction and binary information and establishes the
framework for the remainder of the book. A few concepts of relational
databases are presented as an example of a typical computer application.

Level HOL6

19
Level HOL6 consists of one chapter, which reviews the C programming
language. The chapter assumes that the student has experience in some
imperative language, such as Java or Python—not necessarily C. The
instructor can readily translate the C examples to other common Level
HOL6 languages if necessary.
This chapter emphasizes the C memory model, including global versus
local variables, functions with parameters, and dynamically allocated
variables. The topic of recursion is treated because it depends on the
mechanism of memory allocation on the run-time stack. A fairly detailed
explanation is given on the details of the memory allocation process for
function calls, as this mechanism is revisited at a lower level of abstraction
later in the book.

Level ISA3
Level ISA3 is the instruction set architecture level. Its two chapters
describe Pep/9, a virtual computer designed to illustrate computer
concepts. Pep/9 is a small complex instruction set computer (CISC); a von
Neumann machine. The central processing unit (CPU) contains an
accumulator, an index register, a program counter, a stack pointer, and an
instruction register. It has eight addressing modes: immediate, direct,
indirect, stack-relative, stack-relative deferred, indexed, stack-indexed, and
stack-deferred indexed. The Pep/9 operating system, in simulated read-
only memory (ROM), can load and execute programs in hexadecimal
format from students’ text files. Students run short programs on the Pep/9
simulator and learn that executing a store instruction to ROM does not
change the memory value.
Students learn the fundamentals of information representation and
computer organization at the bit level. Because a central theme of this
book is the relationship of the levels to one another, the Pep/9 chapters
show the relationship between the ASCII representation (Level ISA3) and
C variables of type char (Level HOL6). They also show the relationship
between two’s complement representation (Level ISA3) and C variables of
type int (Level HOL6).

Level Asmb5
Level Asmb5 is the assembly level. The text presents the concept of the
assembler as a translator between two levels—assembly and machine. It
introduces Level Asmb5 symbols and the symbol table.
The unified approach really comes into play here. Chapters 5 and 6
present the compiler as a translator from a high-order language to

20
assembly language. Previously, students learned a specific Level HOL6
language, C, and a specific von Neumann machine, Pep/9. These chapters
continue the theme of relationships between the levels by showing the
correspondence between (a) assignment statements at Level HOL6 and
load/store instructions at Level Asmb5, (b) loops and if statements at Level
HOL6 and branching instructions at Level Asmb5, (c) arrays at Level
HOL6 and indexed addressing at Level Asmb5, (d) procedure calls at
Level HOL6 and the run-time stack at Level Asmb5, (e) function and
procedure parameters at Level HOL6 and stack-relative addressing at
Level Asmb5, (f) switch statements at Level HOL6 and jump tables at
Level Asmb5, and (g) pointers at Level HOL6 and addresses at Level
Asmb5.
The beauty of the unified approach is that the text can implement the
examples from the C chapter at this lower level. For example, the run-time
stack illustrated in the recursive examples of Chapter 2 corresponds
directly to the hardware stack in Pep/9 main memory. Students gain an
understanding of the compilation process by translating manually between
the two levels.
This approach provides a natural setting for the discussion of central
issues in computer science. For example, the book presents structured
programming at Level HOL6 versus the possibility of unstructured
programming at Level Asmb5. It discusses the goto controversy and the
structured programming/efficiency tradeoff, giving concrete examples
from languages at the two levels.
Chapter 7, “Language Translation Principles,” introduces students to
computer science theory. Now that students know intuitively how to
translate from a high-level language to assembly language, we pose the
fundamental question underlying all of computing: What can be
automated? The theory naturally fits in here because students now know
what a compiler (an automated translator) must do. They learn about
parsing and finite-state machines—deterministic and nondeterministic—in
the context of recognizing C and Pep/9 assembly language tokens. This
chapter includes an automatic translator between two small languages,
which illustrates lexical analysis, parsing, and code generation. The lexical
analyzer is an implementation of a finite-state machine. What could be a
more natural setting for the theory?

Level OS4
Level OS4 consists of two chapters on operating systems. Chapter 8 is a
description of process management. Two sections, one on loaders and

21
another on trap handlers, illustrate the concepts with the Pep/9 operating
system. Seven instructions have unimplemented opcodes that generate
software traps. The operating system stores the process control block of
the user’s running process on the system stack, and the interrupt service
routine interprets the instruction. The classic state transition diagram for
running and waiting processes in an operating system is thus reinforced
with a specific implementation of a suspended process. The chapter
concludes with a description of concurrent processes and deadlocks.
Chapter 9 describes storage management, both main memory and disk
memory.

Level LG1
Level LG1 uses two chapters to present combinational and sequential
circuits. Chapter 10 emphasizes the importance of the mathematical
foundation of computer science by starting with the axioms of Boolean
algebra. It shows the relationship between Boolean algebra and logic gates
and then describes some common logic devices, including a complete
logic design of the Pep/9 arithmetic logic unit (ALU). Chapter 11
illustrates the fundamental concept of a finite-state machine through the
state transition diagrams of sequential circuits. It concludes with a
description of common computer subsystems such as bidirectional buses,
memory chips, and two-port memory banks.

Level Mc2
Chapter 12 describes the microprogrammed control section of the Pep/9
CPU. It gives the control sequences for a few sample instructions and
addressing modes and provides a large set of exercises for the others. It
also presents concepts of load/store architectures, contrasting the MIPS
reduced instruction set computer (RISC) machine with the Pep/9 CISC
machine. It concludes with performance issues by describing cache
memories, pipelining, dynamic branch prediction, and superscalar
machines.

Use in a Course
This book offers such broad coverage that instructors may wish to omit
some of the material when designing a course. I use Chapters 1–7 in a
computer systems course and Chapters 10–12 in a computer organization
course.
In the book, Chapters 1–5 must be covered sequentially. Chapters 6

22
(“Compiling to the Assembly Level”) and 7 (“Language Translation
Principles”) can be covered in either order. I often skip ahead to Chapter 7
to initiate a large software project, writing an assembler for a subset of
Pep/9 assembly language, so students will have sufficient time to complete
it during the semester. Chapter 11 (“Sequential Circuits”) is obviously
dependent on Chapter 10 (“Combinational Circuits”), but neither depends
on Chapter 9 (“Storage Management”), which may be omitted. FIGURE
P.2 , a chapter dependency graph, summarizes the possible chapter
omissions.

Changes Made for the Fifth Edition

Improvements are in every chapter of this edition, and fall into one of two
categories: a change in the virtual machine from Pep/8 to Pep/9 and other
changes in content. The changes in content are too numerous to list, but
major changes include the following:

› HOL6 language—This edition changes the HOL6 language from C++

to C. The C language is more common as a systems programming
language and is more appropriate for a computer systems text. The
previous edition refers to the memory model of C++ consisting of
global variables allocated at a fixed location in memory, local
variables and parameters allocated on the run-time stack, and dynamic
variables allocated from the heap. But C++ is an OO language with a
more complex memory model. The above model more accurately
describes C than C++. The switch is visible in three places.
Input/output (I/O) in the example programs use scanf() and printf()
instead of cin and cout. The pass-by reference mechanism in C has the
address operator & explicit in the actual parameter with a
corresponding pointer type in the formal parameter. Memory

23
 allocation from the heap uses malloc instead of new.
› Sidebars—In this edition, the brief biographies formerly found in each
chapter have been replaced with a different set of sidebars. Each
sidebar is a real-world example of the concepts described in that
chapter. As most of the chapters describe the Pep/9 virtual machine,
the sidebars for those chapters show some corresponding
implementations for the Intel x86 architecture. The new sidebars give
a consistent running example of this architecture so students have a
better idea of how the concepts of the virtual machine relate to real-
world implementations.
› New and expanded topics—Chapter 1 now emphasizes how binary
information is quantified in both space and time by presenting the
performance equation and the concept of bandwidth. QR codes and
color displays are detailed examples of these concepts. Chapter 3
describes Unicode as well as UTF-32 and UTF-8 encoding. Chapter 4
discusses big-endian and little-endian order. Chapter 7 uses Java
instead of C++ as the implementation language for the example
translator. The microcode examples in Chapter 12 use the new
UnitPre and UnitPost feature of the Pep/9 CPU simulator. The two-
byte data bus now has simulator support, and that topic leads to an
extended discussion of memory alignment issues and the new .ALIGN
assembler directive.
Pep/8, the virtual machine for the two previous editions, has been
superseded by Pep/9. As the instruction sets of the two machines are
different, Pep/8 source and object programs are not compatible with those
of Pep/9. Only a few instructions are affected, however, so much remains
the same, including the set of eight addressing modes. The changes for
Pep/9 include the following:

› Replacement of RETn with RET—In Pep/8, there are eight versions of

the return statement, RET0, RET1, . . ., RET7. RETn deallocates n bytes
from the run-time stack and then executes a return from a function
call. The reasoning is that returns are always preceded by a
deallocation of local variables, so programs are shorter if the assembly
language programmer is not required to write an ADDSP instruction to
explicitly deallocate the locals before the return.
While this ISA design may be justified on architectural principles, it
turned out to be deficient pedagogically. The problem is that students
must learn two different concepts: the deallocation mechanism for

24
 data and the return mechanism for flow of control. Combining these
two different concepts into one statement can be confusing during the
learning process. Pep/9 now requires students to explicitly deallocate
locals with the ADDSP statement. An added stylistic advantage is that
the explicit ADDSP to deallocate locals at the end of a function
corresponds directly to the SUBSP at the beginning of the function to
allocate locals.
› Memory-mapped I/O—Of all the instructions in the Pep/8 instruction
set, the most unrealistic are CHARI and CHARO for character input
and output. Most real computer systems map input and output devices
to main memory, which is now the design of Pep/9. In the new
instruction set, there are no native input and output instructions.
Instead, the Pep/8 instruction
CHARI alpha,ad

is replaced by the Pep/9 instructions

LDBA charIn,d ;Load byte to A from charIn
STBA alpha,ad ;Store byte from A to alpha

where charIn is the input device. The Pep/8 instruction

CHARO beta,ad

is replaced by the Pep/9 instructions

LDBA beta,ad ;Load byte to A from beta
STBA charOut,d ;Store byte to charOut

where charOut is the output device.

In the above code fragments, ad represents any valid addressing mode
for the instruction. Symbols charIn and charOut are defined in the Pep/9
operating system and stored as machine vectors at the bottom of
memory. Their values are included automatically in the symbol table
of the assembler.
One disadvantage of memory-mapped I/O is that every CHARI and
CHARO statement in a Pep/8 program must now be written as two
statements, making programs longer. This disadvantage is mitigated
by the fact that the trap instructions DECI, DECO, and STRO work as
before, as the native I/O statements are hidden inside their trap
routines.
The advantage is that students learn firsthand how memory-mapped

25
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Small fishes from the Mediterranean. Six species.
Cæsio.—Body oblong, covered with ciliated scales of moderate
size. Cleft of the mouth more or less oblique, with the jaws equal in
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Fig. 161.—Erythrichthys nitidus.

Fig. 162.—Enlarged scale.

 Fig. 163.—Protractile mouth.
Small fishes from various tropical and temperate seas. Four
species: the species figured occurs, but is not common, on the
coasts of Western Austria, Tasmania, and New Zealand.
Oligorus.—Body oblong, covered with small scales. Cleft of the
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without canines; teeth on the vomer and palatine bones. One dorsal,
with eleven spines; anal with three; caudal fin rounded. Præoperculum
with a single smooth or obtusely denticulated margin.
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other rivers of South Australia. It attains to a length of more than
three feet, and to a weight of nearly 100 lbs. The second (O. gigas)
is found in the sea, on the coast of New Zealand, and called by the
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but occasionally large specimens of more than a hundredweight are
caught. At certain localities it is so plentiful that it may form an
important article of trade. Dr. Hector, who has had opportunity of
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from the Murray-Cod, from which it appears that it would be better
placed in a distinct genus.
 Fig. 164.—The Murray-Cod, Oligorus macquariensis.
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Fig. 165.—Arripis salar, South Australia.

 Three species are known, from the coasts of Southern Australia
and New Zealand. They are named by the colonists Salmon or Trout,
from their elegant form and lively habits, and from the sport they
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specimens of double that weight are taken. The smaller specimens
are the more delicate and better flavoured. When not fresh, they are
liable to assume poisonous properties; and cases of poisoning are
not unfrequently caused by them.
Huro.—Body oblong, compressed, covered with scales of
moderate size. All the teeth villiform; bones of the head without
serrature. Mouth rather oblique, with the lower jaw projecting. Two
dorsal fins, the first with six spines.
The “Black Bass” of Lake Huron (Huro nigricans).
Ambassis.—Body short, strongly compressed, covered with large
thin deciduous scales. Mouth oblique, with the lower jaw longest; teeth
villiform, without conspicuously larger canines; teeth on the vomer and
palatine bones. Two dorsal fins, the first with seven, the anal with
three spines; a horizontal spine pointing forwards in front of the dorsal
fin. The lower limb of the præoperculum with a double serrated
margin.
This genus comprises the smallest of all Percoids, some of the
species not much exceeding one inch in length. They are most
abundant on the coasts of the tropical Indo-Pacific, and in the fresh
waters belonging to that area. The species are numerous (some
thirty having been described), and very difficult to distinguish. Their
coloration is very plain, a silvery hue prevailing over the whole fish.
Apogon.—Body rather short, covered with large deciduous scales.
Mouth oblique, with the lower jaw longest; teeth villiform, without
canines; teeth on the vomer and palatine bones. Two dorsal fins, the
first with six or seven, the anal with two spines. Præoperculum with a
double edge on the margin, one or both edges being serrated. Seven
branchiostegals.
 Fig. 166.—Apogon frenatus.
Although of similarly small size, the fishes of this genus represent
a more highly developed form of the Percoid type than Ambassis.
Their distribution coincides very much with that of Ambassis, but
they are chiefly marine, comparatively few of the species entering
fresh water. They belong to the kind of fishes which, from their habit,
are termed “Coral Fishes,” being found in greatest abundance on, or
in the neighbourhood of, coral reefs, in company with Chætodonts,
Pomacentridæ, and others. Their colours also are ornamental and
highly diversified, as is generally the case in coral fishes, the majority
of the species showing transverse or longitudinal bands or large
spots, and numerous other smaller markings which, in the dead fish,
soon disappear. Nearly one hundred species have been described,
of which a few only occur in the Atlantic, one extending northwards
into the Mediterranean.
Chilodipterus, Acropoma, and Scombrops are allied genera, but
with canine teeth in one or both jaws.
 Pomatomus.—Body oblong, covered with scales of moderate size.
Eye very large. All the teeth villiform, without canines; teeth on the
vomer and palatine bones. Two dorsal fins, the first with seven, the
anal with two spines. No serration on any of the bones of the head.
Branchiostegals seven.
One species only is known, P. telescopium, which grows to a
length of nearly two feet. It is not uncommon in the Mediterranean
and neighbouring parts of the Atlantic, but only occasionally caught,
as it lives habitually at a greater depth than any other Percoid as far
as is known at present, probably at depths from 80 to 200 fathoms; a
habit sufficiently indicated by its exceedingly large eye.
Priacanthus.—Body short, compressed, covered with small
rough scales, which extend also over the short snout. Lower jaw and
chin prominent. Eye large. All the teeth villiform, without canines;
teeth on the vomer and palatine bones. One dorsal fin with ten
spines, anal with three. Præoperculum serrated, with a more or less
prominent, flat, triangular spine at the angle.
A very natural genus, easily recognised, and without direct
relation to the other Percoid genera. The species, of which
seventeen are known, are spread over nearly all the tropical seas,
and belong to the more common fishes. They scarcely exceed a
length of twelve inches, and are very uniformly coloured, red, pink,
and silvery prevailing.

The following three genera form a group by themselves, which,

however, is defined rather by its geographical limits and similarity of
general appearance than by distinctive anatomical characters. The
species are abundant in the fresh waters of the United States, and
well known by the name of “Sun Fishes.” They rarely exceed a
length of six inches, and are not used as food. The number of
species is uncertain.
Centrarchus.—Body short, compressed, with scales of
moderate size. All the teeth villiform, without canines; teeth on the
vomer, palatines, and on the tongue. One dorsal fin; anal generally
 with more than three spines. Præoperculum without serrature;
operculum not lobed.
Bryttus.—Body short, compressed, with scales of moderate size.
All the teeth villiform, without canines; teeth on the vomer and palatine
bones. One dorsal fin with nine or ten, anal with three spines.
Præoperculum not serrated; operculum with a rounded
membranaceous coloured lobe behind.
Pomotis.—Body short, compressed, with scales of moderate
length. All the teeth villiform, without canines; teeth on the vomer, but
none on the palatine bones. One dorsal, with from nine to eleven
spines, anal with three. Præoperculum entire or minutely serrated;
operculum with a rounded membranaceous coloured lobe behind.

A North American Freshwater genus, Aphredoderus, occupies a

perfectly isolated position in the system, and is evidently the type of
a distinct family. It resembles the “Sun-fishes” of the same country
with regard to the structure of the vertical fins, but has the vent
situated in front of the ventrals, which are composed of more than
five soft rays. The body is oblong, compressed, covered with ctenoid
scales. The dorsal fin is single, and has three spines in front.
Infraorbital and præoperculum with spinous teeth. Villiform teeth in
the jaws, on the vomer and palatine bones. A. sayanus from the
southern streams and fresh waters of the Atlantic States.
To complete the list of Percoid genera, we have to mention the
following:—Siniperca, Etelis, Niphon, Aprion, Apsilus, Pentaceros,
Velifer, Datnioides, Percilia, Lanioperca.

Second Family—Squamipinnes.
Body compressed and elevated, covered with scales, either finely
ctenoid or smooth. Lateral line continuous, not continued over the
caudal fin. Mouth in front of the snout, generally small, with lateral
cleft. Eye lateral, of moderate size. Six or seven branchiostegals.
Teeth villiform or setiform, in bands, without canines or incisors.
Dorsal fin consisting of a spinous and soft portion of nearly equal
development; anal with three or four spines, similarly developed as
the soft dorsal, both being many-rayed. The vertical fins more or less
densely covered with small scales. The lower rays of the pectoral fin
branched, not enlarged; ventrals thoracic, with one spine and five
soft rays. Stomach coecal.
The typical forms of this family are readily recognised by the form
of their body, and by a peculiarity from which they derive their name
Squamipinnes; the soft, and frequently also the spinous part of their
dorsal and anal fins are so thickly covered with scales that the
boundary between fins and body is entirely obliterated. The majority
are inhabitants of the tropical seas, and abound chiefly in the
neighbourhood of coral-reefs. The beauty and singularity of
distribution of the colours of some of the genera, as Chætodon,
Heniochus, Holacanthus, is scarcely surpassed by any other group
of fishes. They remain within small dimensions, and comparatively
few are used as food. They are carnivorous, feeding on small
invertebrates. Only a few species enter brackish water.
Extinct representatives of this family are not scarce at Monte
Bolca and in other tertiary formations. All, at least those admitting of
definite determination, belong to existing genera, viz. Holacanthus,
Pomacanthus, Ephippium, Scatophagus. Very singular is the
occurrence of Toxotes in the Monte Bolca strata.
The following genera have no teeth on the palate:—
Chætodon.—One dorsal fin, without any notch in its upper
margin, and with the soft and spinous portions similarly developed;
none of the spines elongate. Snout short or of moderate length.
Præoperculum without, or with a fine, serration, and without spine at
the angle. Scales generally large or of moderate size.
 Fig. 167.—Chætodon ephippium.
Seventy species are known from the tropical parts of the Atlantic
and Indo-Pacific, nearly all being beautifully ornamented with bands
or spots. Of the ornamental markings a dark or bicoloured band,
passing through the eye and ascending towards the back, is very
generally found in these fishes; it frequently occurs again in other
marine Acanthopterygians, in which it is not rarely a sign of the
immature condition of the individual. The Chætodonts are most
numerous in the neighbourhood of the coral-reefs of the Indo-Pacific,
the species figured (C. ephippium) being as common in the East
Indian Archipelago as in Polynesia, like many others of its
congeners.
Chelmo differs from Chætodon only in having the snout produced
into a more or less long tube.
 Fig. 168.—Chelmo marginalis, from the coast of Australia.
Only four species are known, locally distributed in the tropical
seas. Ch. rostratus, the oldest species known, is said to have the
instinct of throwing a drop of water from its bill so as to light upon
any insect resting on a leaf, and thus make it fall, that it may instantly
dart upon it. This statement is erroneous, and probably rests upon
the mistaken notion that the long bill is especially adapted for this
manœuvre, which, indeed, is practised by another fish of this family
(Toxotes). The long slender bill of Chelmo (which is a true saltwater
fish) rather enables it to draw from holes and crevices animals which
otherwise could not be reached by it.
Heniochus.—One dorsal, with from eleven to thirteen spines, the
fourth of which is more or less elongate and filiform. Snout rather short
or of moderate length. Præoperculum without spine. Scales of
moderate size.
Four species are known from the tropical Indo-Pacific. H.
macrolepidotus is one of the most common fishes of that area; the
species figured (H. varius) retains in a conspicuous manner horn-like
protuberances on bones of the head, with which the young of all the
species of this genus seem to be armed.

Fig. 169.—Heniochus varius.

Holacanthus.—Præoperculum with a strong spine at the angle.
One dorsal, with from twelve to fifteen spines. Scales of moderate or
small size.
Forty species are known, which, in their geographical distribution
accompany, and are quite analogous to, the Chætodonts. One of the
most common and most beautiful is called “Emperor of Japan” by the
Dutch, which name has been adopted by Bloch for its specific
designation, Holacanthus imperator. Its body is blue, longitudinally
traversed by about thirty yellow bands; the ocular band, and the side
behind the head, are black, edged with yellow; the caudal fin is
yellow. It is a large species of this genus, sometimes attaining a
length of 15 inches, and as an article of food is one of the most
esteemed of all the Indian species. With regard to beauty of colours
it is surpassed by another allied species, H. diacanthus, which
likewise ranges from the east coast of Africa to Polynesia.
 Pomacanthus differs from Holacanthus in having from eight to ten
spines only in the dorsal fin.
The single species (P. paru) on which this genus is founded is
one of the most common fishes of the West Indies, and offers one of
the most remarkable instances of variation of colour within the limits
of the same species: some specimens being ornamented with more
or less distinct yellowish cross-bands, others with yellow crescent-
shaped spots; in others black spots predominate.

Fig. 170.—Scatophagus multifasciatus.

Scatophagus.—Two dorsal fins, united at the base, the first with
ten or eleven spines; only the second is scaly. A recumbent spine
before the dorsal, pointing forwards. Anal with four spines. Snout
rather short. Præoperculum without spine. Scales very small.

Four species are known, from the Indian Ocean, of which S.

argus is the most generally known, in fact, one of the most common
Indian shore-fishes. It freely enters large rivers, and is said not to be
particular in the selection of its food. The species figured (S.
multifasciatus) represents S. argus on the coasts of Australia.
 Fig. 171.—Bony enlargement
of cranial bones of Ephippus. a,
Enlargement of the frontal, and b,
of the supraoccipital bones; c,
interorbital septum; d, basis
cranii. ⅓ nat. size.
Ephippus.—Snout short, with the upper profile parabolic. Dorsal
fin deeply emarginate between the spinous and soft portions, the
former with nine spines, the third of which is rather elongate, and
flexible; spinous portion not scaly; anal spines three. Pectoral fin
short. Præoperculum without spine. Scales of moderate size, or rather
small.

Two or three species are known from the warmer parts of the
Atlantic and Indian Oceans. The Atlantic species (E. faber) shows
the remarkable peculiarity that in old specimens (12 and more inches
long) the occipital crest, and sometimes some of the anterior neural
and hæmal spines are enormously enlarged into a globular bony
mass. This can hardly be regarded as a pathological change of the
bone, as it has been found in all old specimens, without exception.
Drepane is allied to Ephippus, but has very long falciform
pectoral fins. The single species D. punctata is common in the Indian
Ocean and on the coasts of Australia. Hypsinotus, from Japan,
appears to inhabit a greater depth than the other Squamipinnes.
 Scorpis and Atypichthys are genera distinguished from the
preceding by the presence of vomerine teeth. They belong to the
coast-fauna of Australia, New Zealand, and Chili.
Toxotes.—Body short, compressed, covered with scales of
moderate size. Snout pointed, with a wide lateral mouth and projecting
lower jaw. One dorsal, with five strong spines situated on the posterior
part of the back; the soft portion and the anal fin scaly, the latter with
three spines. Villiform teeth in the jaws, on the vomer and palatine
bones. Scales of moderate size, cycloid.

Fig. 172.—Toxotes jaculator.

Two species are known from the East Indies, one (T. jaculator),
which is the more common, ranging to the north coast of Australia. It
has received its name from its habit of throwing a drop of water at an
insect which it perceives close to the surface, in order to make it fall
into it. The Malays, who call it “Ikan sumpit,” keep it in a bowl, in
order to witness this singular habit, which it continues even in
captivity.

Third Family—Mullidæ.
 Body rather low and slightly compressed, covered with large thin
scales, without or with an extremely fine serrature. Two long erectile
barbels are suspended from the hyoid, and are received between the
rami of the lower jaw and opercles. Lateral line continuous. Mouth in
front of the snout, with the cleft lateral and rather short; teeth very
feeble. Eye lateral, of moderate size. Two short dorsal fins remote
from each other, the first with feeble spines; anal similar to the
second dorsal. Ventrals with one spine and five rays. Pectorals short.
Branchiostegals four; stomach siphonal.
The “Red Mullets” form a very natural family, which, on account
of slight modifications of the dentition, has been divided into several
sub-genera—Upeneoides, Upeneichthys, Mullus, Mulloides, and
Upeneus. They are marine fishes, but many species enter brackish
water to feed on the animalcules abounding in the flora of brack-
water. About forty different species are known chiefly from tropical
seas, the European species (M. barbatus, see p. 43, Fig. 7),
extending far northwards into the temperate zone. None attain to a
large size, specimens of from two to three lbs. being not common,
but all are highly esteemed as food.
The most celebrated is the European species (of which there is
one only, M. surmuletus being probably the female). The ancient
Romans called it Mullus, the Greeks τριγλη. The Romans priced it
above any other fish; they sought for large specimens far and wide,
and paid ruinous prices for them.
“Mullus tibi quatuor emptus
Librarum, cœnæ pompa caputque fuit,
Exclamare libet, non est hic improbe, non est
Piscis: homo est; hominem, Calliodore, voras.”
Martial, x. 31.

Then, as nowadays, it was considered essential for the

enjoyment of this delicacy that the fish should exhibit the red colour
of its integuments. The Romans brought it, for that purpose, living
into the banqueting room, and allowed it to die in the hands of the
guests, the red colour appearing in all its brilliancy during the death
struggle of the fish. The fishermen of our times attain the same
object by scaling the fish immediately after its capture, thus causing
a permanent contraction of the chromatophors containing the red
pigment (see p. 183).

Fourth Family—Sparidæ.
Body compressed, oblong, covered with scales, the serrature of
which is very minute, and sometimes altogether absent. Mouth in
front of the snout, with the cleft lateral. Eye lateral, of moderate size.
Either cutting teeth in front of the jaws, or molar teeth on the side;
palate generally toothless. One dorsal fin, formed by a spinous and
soft portion of nearly equal development. Anal fin with three spines.
The lower rays of the pectoral fin are generally branched, but in one
genus simple. Ventrals thoracic, with one spine and five rays.
The “Sea-breams” are recognised chiefly by their dentition, which
is more specialised than in the preceding families, and by which the
groups, into which this family has been divided, are characterised.
They are inhabitants of the shores of all the tropical and temperate
seas. Their coloration is very plain. They do not attain to a large size,
but the majority are used as food.
The extinct forms found hitherto are rather numerous; the oldest
come from the cretaceous formation of Mount Lebanon; some
belong to living genera, as Sargus, Pagellus; of others from Eocene
and Miocene formations no living representative is known—
Sparnodus, Sargodon, Capitodus, Soricidens, Asima.
First Group—Cantharina.—More or less broad cutting,
sometimes lobate, teeth in front of the jaws; no molars or vomerine
teeth; the lower pectoral rays are branched. Partly herbivorous,
partly carnivorous. The genera belonging to this group are:—
Cantharus from the European and South African coasts, of which
one species (C. lineatus), is common on the coasts of Great Britain,
and locally known by the names “Old Wife,” “Black Sea-bream;” Box,
Scatharus, and Oblata from the Mediterranean and neighbouring
parts of the Atlantic; Crenidens and Tripterodon from the Indian
Ocean; Pachymetopon, Dipterodon, and Gymnocrotaphus from the
Cape of Good Hope; Girella and Tephræops from Chinese,
Japanese, and Australian Seas; Doydixodon from the Galapagos
Islands and the coasts of Peru.

Fig. 173.—Tephræops richardsonii, from King George’s Sound.

Second Group—Haplodactylina.—In both jaws flat and generally
tricuspid teeth; no molars; vomerine teeth. The lower pectoral rays
simple, not branched. Vegetable feeders. Only one genus is known,
Haplodactylus, from the temperate zone of the Southern Pacific.
Third Group—Sargina.—Jaws with a single series of incisors in
front, and with several series of rounded molars on the side. One
genus is known, Sargus, which comprises twenty species; several of
them occur in the Mediterranean and the neighbouring parts of the
Atlantic, and are popularly called “Sargo,” “Sar,” “Saragu:” names
derived from the word Sargus, by which name these fishes were well
known to the ancient Greeks and Romans. One of the largest
species is the “Sheep’s-head” (Sargus ovis), from the coasts of the
United States, which attains to a weight of 15 lbs., and is highly
esteemed on account of the excellency of its flesh. Singularly
enough, this genus occurs also on the east coast of Africa, one of
these East-African species being identical with S. noct from the
Mediterranean. These fishes evidently feed on hard-shelled animals,
which they crush with their molar teeth.
Fig. 174.—The Sheep’s-head, Sargus ovis, of North America.
 Fig. 175.—Scale of
Lethrinus.
Fourth Group—Pagrina.—Jaws with conical teeth in front and
molar teeth on the sides. Feeding, as the preceding, on hard-shelled
animals, like Mollusks and Crustaceans. This group is composed of
several genera:—
Lethrinus.—Cheeks scaleless. Body oblong, covered with scales
of moderate size (L. lat. 45–50). Canine teeth in front; lateral teeth in a
single series, broadly conical or molar-like. Formula of the fins: D.
10/9, A. 3/8.
More than twenty species are known, all of which, with one
exception, occur in the tropical Indo-Pacific. The species, forming
this exception, occurs, singularly enough, on the west coast of
Africa, where more than one Indian genus reappears in isolated
representative species. Some Lethrini attain to a length of three feet.
Sphærodon is closely allied to Lethrinus, but has scales on the
cheek. One species from the Indo-Pacific.
Pagrus.—Body oblong, compressed, with scales of moderate
size. Several pairs of strong canine-like teeth in both jaws; molars
arranged in two series. Cheeks scaly. The spines of the dorsal fin,
eleven or twelve in number, are sometimes elongate, and can be
received in a groove; anal spines three.
Thirteen species are known, chiefly distributed in the warmer
parts of the temperate zones, and more scantily represented
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